Skip to main content
CourtGPT logoCourtGPT
Directory
Law
For Attorneys
Blog
AppointmentsSign InSign Up
Section 11-416 - Prerequisites to Order — Maryland Law | CourtGPT
  1. Home/
  2. Laws/
  3. Maryland/
  4. Corporations and Associations/
  5. Title 11 - Maryland Securities Act/
  6. Subtitle 4 - Requirements of Broker-dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers/
  7. Section 11-416 - Prerequisites to Order
Maryland Legal Code

Section 11-416 - Prerequisites to Order

Ask AI about this
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.