Regulation .11 Registration of Agents.
Regulation .11 Registration of Agents.LinkCopy Citation
A person engaged in sales activity relating to the offer or sale of federal covered securities under this chapter shall:
A.
Register as a broker-dealer agent under Corporations and Associations Article, §11-401, Annotated Code of Maryland, and COMAR 02.02.02.04;
B.
Register as an issuer agent under Corporations and Associations Article, §11-401, Annotated Code of Maryland, and COMAR 02.02.03.11; or
C.
Qualify for an exclusion under Corporations and Associations Article, §11-101, Annotated Code of Maryland, or an exemption under another provision.