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Code of Maryland Regulations
Title 02
§ 02
Chapter 05
Md. Code Regs. 02.02.05
Investment Adviser Regulations
Effective Dec 27, 2021
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.01
Definitions.
.02
Indirect Consideration.
.03
Dishonest or Unethical Practices.
.04
Custody of Client Funds or Securities.
.05
Information to be Furnished to Clients (“Brochure Rule”).
.06
Agency Cross Transactions.
.07
Exemption from the Maryland Securities Act, Corporations and Associations Article, §11-302(a)(4), for Certain Broker-Dealers.
.08
Exemption from the Maryland Securities Act, Corporations and Associations Article, §11-302(e)(1)(i) for Performance-Based Compensation.
.09
Transactions Considered Not to be Assignments.
.10
Electronic Filing with Designated Entity.
.11
Applications for Investment Advisers and Notice Filings for Federal Covered Advisers.
.12
Initial and Renewal Registration as Investment Adviser Representative.
.13
Investment Adviser Supervision.
.14
Examination Requirements for Investment Advisers and Investment Adviser Representatives.
.15
Financial Requirements for Certain Investment Advisers.
.16
Record-Keeping Requirements for Investment Advisers.
.17
Financial Reporting Requirements for Certain Investment Advisers.
.18
Correction of Documents Filed by Investment Advisers and Investment Adviser Representatives.
.19
Withdrawal of Investment Adviser and Investment Adviser Representative Registrations.
.20
Exemption from the Maryland Securities Act, Corporations and Associations Article, §11-101(i)(2), Annotated Code of Maryland, for Certain Individuals.
.21
Exemption from the Maryland Securities Act, Corporations and Associations Article, §11-101(h)(2)(iii)3, Annotated Code of Maryland, for Certain Individuals.
.22
Cancellation of Investment Adviser and Investment Adviser Representative Applications.