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Order Extending Applicability of Local Issuer Exemption

arrowInterpretive Opinion/No Action Position Extending Updating Requirement for Franchise Financial Statements

arrowMaryland Intrastate Small Business Exemption - MISBE

arrowBusiness Opportunies - Abandonment Order

arrow graphicExempt Reporting Investment Advisors

arrowInvestment Adviser “Switch” Information

Investment Adviser Information

Filing requirements for Form D

Senior or Retiree Designations and Credentials rule

Link to the Investing Online Resource Center

Notice to Prospective Participants in Multi-Level Marketing Companies

Interpretive Opinion/No Action Position regarding Chapter 168, Laws of Maryland of 2010, Regarding the Delivery Requirements under the Maryland Franchise Registration and Disclosure Law


Securities Division
200 St. Paul Place, Baltimore, MD 21202
(410) 576-6360
(888) 743-0023 Attorney General's main switchboard (toll-free)

The primary mission of the Securities Division is to protect Maryland investors from investment fraud and misrepresentation.

Stockbroker registration Administrative Actions

NASAA's Senior Investor Resource Center

FINRA Investor Alerts

SEC - Investor bulletins

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Test Your Investment Fraud Awareness

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Financial Planner registration Investor education
Securities registration


Franchise registration

Helpful links (includes both legal and investor education links)

Business Opportunities oversight Fees




To report potential violations of the Maryland Securities Act, call us at 410-576-6360.


Attorney General of Maryland 1 (888) 743-0023 toll-free / TDD: (410) 576-6372
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