1. A. Time of Filing. An amendment to a broker-dealer or agent filing required by the Maryland Securities Act, Corporations and Associations Article, §11-411(d), Annotated Code of Maryland, shall be filed within 30 days of the event that gave rise to the need to amend the filing.

2. B. Place of Filing.

   1. (1) Broker-Dealers.

      1. (a) NASD Members. A broker-dealer that is a member of the NASD shall file an amendment with the CRD.
      2. (b) Non-NASD Members. A broker-dealer that is not a member of the NASD shall file an amendment with the Commissioner.

   2. (2) Broker-Dealer Agents.

      1. (a) NASD Registered Representatives. A broker-dealer agent who is registered with the NASD shall file an amendment with the CRD.
      2. (b) Others. A broker-dealer agent who is not registered with the NASD shall file an amendment with 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)