Terms Used In Maryland Code, CORPORATIONS AND ASSOCIATIONS 11-306

  • Person: includes an individual, receiver, trustee, guardian, personal representative, fiduciary, representative of any kind, corporation, partnership, business trust, statutory trust, limited liability company, firm, association, or other nongovernmental entity. See
A person who engages in the business of effecting transactions in securities for the account of others or for the person’s own account or who acts as a broker-dealer or agent may not engage in dishonest or unethical practices in the securities or investment advisory business.
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