1. A. Filing Fee.

   1. (1) Subject to the registration provisions of the Maryland Securities Act, Corporations and Associations Article, §§11-502, 11-503, and 11-504, Annotated Code of Maryland, a registrant that files pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1, Annotated Code of Maryland, shall pay a $100 filing fee with the initial application for registration.
   2. (2) A registrant that renews its registration statement pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1(b), shall pay a $100 filing fee in addition to any fee that is required to be paid pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1(b)(1) or (2).
2. B. A registrant that files a registration statement for an indefinite amount of securities pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1, shall promptly notify the Commissioner of the registrant's fiscal year and of any subsequent changes to its fiscal year.
3. C. A registrant that pays a fee pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1(b)(2), shall file a report of sales on Form USR-1, as approved by the North American Securities Administrators Association.
4. D. A registration statement filed pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1, shall cover only one class of securities. Multiple classes of securities offered by the same issuer shall be registered separately.
5. E. Renewal. A registrant that renews its registration statement pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1(b), shall file with the Commissioner a current prospectus and statement of additional information or other offering document, as applicable.
6. F. Termination. The registrant shall provide the Commissioner with written notification of the termination of the offering in this State. Upon termination, the registrant shall pay a final sales fee pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1(b)(1) or (2), and comply with §C of this regulation, if applicable.

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Regulation .03 repealed effective April 15, 1991 (18:7 Md.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