Volume 795, Page 4852 View pdf image |
H.B. 877 VETOES if the Commissioner determines that the examination is not necessary or appropriate in 11-414. (A) [If the Commissioner finds that any registrant or applicant for registration has (1) HAS ABANDONED THE APPLICATION; (2) IS NO LONGER IN EXISTENCE; (3) HAS CEASED TO DO BUSINESS AS A BROKER-DEALER, AGENT, (4) IS SUBJECT TO AN ADJUDICATION OF MENTAL INCOMPETENCE OR (5) CANNOT BE LOCATED AFTER REASONABLE SEARCH. (B) THE COMMISSIONER MAY DEEM ABANDONED A NOTICE FILING THAT A (1) HAS ABANDONED THE NOTICE FILING; (2) IS NO LONGER IN EXISTENCE; (3) HAS CEASED TO DO BUSINESS AS A FEDERAL COVERED ADVISER; (4) IS SUBJECT TO ADJUDICATION OF MENTAL INCOMPETENCE OR TO (5) CANNOT BE LOCATED AFTER A REASONABLE SEARCH. 11-415. (a) Withdrawal from registration as a broker-dealer, agent, investment adviser, or (1) A revocation or suspension proceeding is pending when the application (2) A proceeding to revoke, suspend, or impose conditions on the - 4852 -
|
||||
Volume 795, Page 4852 View pdf image |
Tell Us What You Think About the Maryland State Archives Website!
|
An Archives of Maryland electronic publication.
For information contact
mdlegal@mdarchives.state.md.us.