Code of Maryland Regulations
Title 02 - OFFICE OF THE ATTORNEY GENERAL
Subtitle 02 - DIVISION OF SECURITIES
Chapter 02.02.09 - Federal Covered Securities
Section 02.02.09.11 - Registration of Agents
Universal Citation: MD Code Reg 02.02.09.11
Current through Register Vol. 51, No. 6, March 22, 2024
A person engaged in sales activity relating to the offer or sale of federal covered securities under this chapter shall:
A. Register as a broker-dealer agent under Corporations and Associations Article, § 11-401, Annotated Code of Maryland, and COMAR 02.02.02.04G;
B. Register as an issuer agent under Corporations and Associations Article, § 11-401, Annotated Code of Maryland, and COMAR 02.02.03.11G; or
C. Qualify for an exclusion under Corporations and Associations Article, § 11-101, Annotated Code of Maryland, or an exemption under another provision.
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