Current through Register Vol. 51, No. 19, September 20, 2024
A. Except as otherwise provided in the
Commission's regulations, the application documents shall include the
information required under §B of this regulation, for a person who is:
(1) The applicant;
(2) A director, officer, or key management
individual employed by the applicant;
(3) A partner of the applicant;
(4) Any other person who owns, controls, or
directs a legal or beneficial interest of 5 percent or more in the
applicant;
(5) A
principal;
(6) A principal
employee;
(7) A principal
entity;
(8) A holding company of
the applicant; or
(9) An affiliate
of the applicant.
B. An
individual listed under §A of this regulation shall furnish the
individual's:
(1) Full name and any previous
names or aliases;
(2) Date of
birth;
(3) Physical
description;
(4) Home and business
addresses and telephone numbers;
(5) Driver's license number and state of
issuance;
(6) Social Security
number;
(7) Photograph in a type
and size required by the Commission;
(8) Fingerprints for a criminal records
check:
(a) For a State resident, from an
electronic fingerprinting service approved by the Commission; or
(b) For an out-of-State resident, one FBI and
one State fingerprint card, taken within the previous 45 days before submission
to the Commission; and
(9) Any other document or information
required by the Commission.
C. A person listed under §A of this
regulation that is not an individual shall furnish, with its application
documents:
(1) Pursuant to any applicable
requirements of the Maryland State Department of Assessment and Taxation,
evidence that the person is in good standing to conduct business in the
State;
(2) For a corporation,
documentation showing the:
(a) State in which
the applicant is incorporated; and
(b) Name and address of the applicant's
resident agent for service of process in Maryland; and
(3) For a nonprofit corporation, only the
information required under §B of this regulation for an individual who is
a director or officer of the applicant.
D. A licensee who has notified the Commission
of an intended change in employment status shall provide the information as set
forth in §B of this regulation.
E. The Commission may require an applicant to
furnish the information listed in §B of this regulation for the
applicant's family and associates.
F. Inadvertent, nonsubstantive errors that
might be made in furnishing the information required by this regulation may not
be used as a reason by the Commission for disqualifying the
applicant.
