§ 11–416
Statutes in effect as of October 1, 2026.
Md. Code Ann., Corps. & Ass'ns § 11-416 (2026)
Title 11. Maryland Securities Act
Subtitle 4. Requirements of Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers
§ 11–416LinkCopy Citation
An order may not be entered under any part of §§ 11-412 through 11-415 of this subtitle, except § 11-413(a), without:
(1)
Appropriate prior notice to the applicant or registrant, or person submitting a notice filing, as well as the employer or prospective employer if the applicant or registrant is an agent or investment adviser representative;
(2)
Opportunity for hearing; and
(3)
Written findings of fact and conclusions of law.