- A. A broker-dealer registered or required to be registered in Maryland shall make and keep books and records as set forth in 17 CFR §240.17a-3 (SEC Rule 17a-3, Records to be Made by Certain Exchange Members, Brokers and Dealers), which is incorporated by reference.
- B. A broker-dealer registered or required to be registered in Maryland shall preserve all records required to be made under this regulation as set forth in 17 CFR §240.17a-4 (SEC Rule 17a-4, Records to be Preserved by Certain Exchange Members, Brokers and Dealers), which is incorporated by reference.
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)