Investment Adviser Alert

November 5, 2021

The Maryland Securities Division is proposing a rule to require investment adviser representatives to satisfy annual continuing education requirements.  Investment advisory firms registered to conduct business in Maryland should consider submitting a comment letter to the Division to voice any concerns the firm may have with this proposal.  The Division is accepting comments on the proposed rule until November 22, 2021.  Please contact Michael Shaw at 410-783-6382 or mpshaw@nilesbarton.com for assistance in drafting or reviewing your firm’s comment letter. 

Click here to read the proposal.