Ch. 805

LAWS OF MARYLAND

(1)  A NOTICE WITH THE COMMISSIONER DESIGNATING THE
REGISTERED

(2) THE APPLICATION FOR INITIAL REGISTRATION OF SUCH
AGENTS AS INVESTMENT ADVISER REPRESENTATIVES OF THE INVESTMENT
ADVISER;

(2)  , TOGETHER WITH A CONSENT TO SERVICE OF PROCESS
UNDER § 11-802(A) OF THIS TITLE; AND

(3)  , SHALL DESIGNATE SUCH AGENTS AS REPRESENTATIVES

OF THE INVESTMENT ADVISER, AND SHALL CONTAIN SUCH OTHER

INFORMATION AS THE COMMISSIONER BY RULE OR ORDER MAY REQUIRE.

[(b)] (C) The Commissioner in his discretion may publish an
announcement of the applicants for registration in the newspapers
he determines.

[(c)] (D) If a denial order is not in effect and a
proceeding is not pending under §§ 11-412 through 11-414 of this
subtitle, registration becomes effective at noon of the 30th day
after an application is filed. The Commissioner by rule or order
may specify an earlier effective date, and he by order may defer
the effective date until noon of the 30th day after the filing of
any amendment.

11-406.

(a)  A broker-dealer OR INVESTMENT ADVISER may obtain a
renewal registration by filing with the Commissioner or any
entity he designates by rule or order an application containing
whatever information the Commissioner by rule requires to keep
current the information contained in the application for initial
registration.

(b)  A broker-dealer or issuer may obtain a renewal
registration for the agents associated with it by filing with the
Commissioner or any entity he designates by rule or order an
application containing the names of the agents associated with it
and a certification that, to the best knowledge, information, and
belief of the broker-dealer or issuer:

(1)  There has been no change in the information
contained in the agents' applications for the registration then
currently in effect; or

(2)  If there has been any such change, specifying the
change.

(C) AN INVESTMENT ADVISER MAY OBTAIN A RENEWAL REGISTRATION
FOR THE INVESTMENT ADVISER REPRESENTATIVES ASSOCIATED WITH IT BY
FILING WITH THE COMMISSIONER OR ANY ENTITY HE DESIGNATES BY RULE
OR ORDER AN APPLICATION CONTAINING THE NAMES OF THE

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