Subtitle 3 - FRAUDULENT AND OTHER PROHIBITED PRACTICES
- Section 11-301 - Offers, sales, or purchases
- Section 11-302 - Advisory activities
- Section 11-303 - Misleading filings
- Section 11-304 - Unlawful representations concerning registration, notice filing, or exemption
- Section 11-305 - Senior investment protection
- Section 11-306 - Dishonest or unethical practices by broker-dealer or agent prohibited
- Section 11-307 - Reporting financial exploitation of adults