1. A. Scope. This regulation governs applications for renewal registration as a broker-dealer in Maryland.

2. B. NASD Members. An applicant that is a member of the NASD shall:

   1. (1) File with the CRD the fee required by the Maryland Securities Act, Corporations and Associations Article, §11-407, Annotated Code of Maryland; and
   2. (2) File with the Commissioner other information the Commissioner may reasonably require.

3. C. Non-NASD Members.

   1. (1) An applicant that is not a member of the NASD shall file with the Commissioner an application upon Form 200 (Renewal of Registration of Non-NASD Broker-Dealer).

   2. (2) The application shall contain:

      1. (a) A financial statement prepared in accordance with 17 CFR §240.17a-5(d) (SEC Rule 17a-5(d), Annual Filing of Audited Financial Statements), which is incorporated by reference;
      2. (b) The fee required by the Maryland Securities Act, Corporations and Associations Article, §11-407, Annotated Code of Maryland; and
      3. (c) Other information the Commissioner may reasonably require.
4. D. Completion of Filing. An application for renewal registration as a broker-dealer is not considered filed for purposes of the Maryland Securities Act, Corporations and Associations Article, §11-406, Annotated Code of Maryland, until the required fee and all required submissions have been received by the Commissioner.

Authority: Corporations and Associations Article, §11-203, Annotated Code of Maryland

Effective date: June 1, 19652

Regulations .01—.06 and new Regulations .01—.10 adopted effective January 17, 1994 (21:1 Md. R. 26)

Regulation .01B, D amended effective June 15, 1998 (25:12 Md. R. 944)

Regulation .04B, D amended effective June 15, 1998 (25:12 Md. R. 944)

Regulation .08B, C amended effective June 15, 1998 (25:12 Md. R. 944)