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

2. B. Agents of NASD Members. An applicant for renewal registration as an agent for a broker-dealer 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. Agents of Non-NASD Members.

   1. (1) An applicant for renewal registration as an agent for a broker-dealer that is not a member of the NASD shall file an application for renewal registration with the Commissioner upon Form 200a (Application for Renewal of Agents of Non-NASD Member Broker-Dealers).

   2. (2) The application shall contain:

      1. (a) The fee required by the Maryland Securities Act, Corporations and Associations Article, §11-407, Annotated Code of Maryland; and
      2. (b) Other information the Commissioner may reasonably require.
4. D. Completion of Filing. An application for renewal registration as an agent 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)