Subtitle 4 - REQUIREMENTS OF BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED ADVISERS
- Section 11-401 - Transaction of business by unregistered person unlawful
- Section 11-402 - Agent required to be registered
- Section 11-403 - Expiration
- Section 11-404 - Agent or representative terminating connection with broker-dealer, issuer, or investment representative; beginning connection with another principal
- Section 11-405 - Application; effective date of registration
- Section 11-406 - Renewal registration
- Section 11-407 - Filing fee
- Section 11-408 - Successors
- Section 11-409 - Capital and financial requirements
- Section 11-410 - Surety
- Section 11-411 - Post-registration provisions
- Section 11-412 - Denial, revocation, or suspension of registration
- Section 11-413 - Summary postponement or suspension
- Section 11-414 - Cancellation of registration or application; abandonment of notice filing
- Section 11-415 - Withdrawal from registration
- Section 11-416 - Prerequisites to order
- Section 11-417 - Fine for violation of title
- Section 11-418 - [Repealed]