1. A. Definitions. As used in this regulation:

   1. (1) “Effective date” means the date that a registration statement is declared effective by the Commissioner.
   2. (2) “Expiration/renewal date” means the date that is 1 year from the effective date.
2. B. Scope of Regulation. This regulation applies to registration statements filed pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1, Annotated Code of Maryland. Regulations concerning registration of securities of investment companies may be found in Regulation .10, below.

3. C. Filing Requirements. Subject to the provisions of the Maryland Securities Act, Corporations and Associations Article, §§11-511, 11-512, and 11-513, Annotated Code of Maryland, an effective registration statement that is registered pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-502, 11-503, or 11-504, may be renewed for a successive 1-year period by submitting to the Division, within the 30 days before its expiration/renewal date, the following:

   1. (1) A manually signed U-1 application;
   2. (2) The appropriate registration fee in the amount and made payable in the manner specified in the Maryland Securities Act, Corporations and Associations Article, §11-506(a), Annotated Code of Maryland; and
   3. (3) All registration or offering documents that have been amended during the registration period that have not been previously filed with the Division.
4. D. Retroactive Effectiveness. An application for renewal may not be given effectiveness retroactive to its expiration/renewal date for any reason, including, but not limited to, the late or deficient filing of any of the documents or materials specified in §C, above.
5. E. Termination. The registrant shall provide the Commissioner with written notification of the termination of the offering in this State.

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

Effective date:

Regulations .01—.05 effective June 1, 1962

Regulation .03 repealed effective April 15, 1991 (18:7 Md. R. 770)

Regulation .06 effective December 1, 1968

Regulation .07 effective December 1, 1972; repealed effective July 1,

1983 (10:6 Md. R. 551)

Regulation .07 adopted effective May 7, 1984 (11:9 Md. R. 795)

Regulation .08 effective December 1, 1974

Regulation .09 adopted effective August 6, 1990 (17:15 Md. R. 1853)

Regulation .09E adopted effective April 1, 1991 (18:6 Md. R. 684)

Regulation .10 adopted effective August 6, 1990 (17:15 Md. R. 1853)

Regulation .10D—F amended effective April 1, 1991 (18:6 Md. R. 684)

Regulation .11 adopted effective May 9, 1994 (21:9 Md. R. 749)

Regulation .12 adopted effective May 9, 1994 (21:9 Md. R. 749)

Regulation .21 adopted effective October 20, 1978 (5:21 Md. R. 1585)

Regulation .21 repealed effective August 6, 1990 (17:15 Md. R. 1853)