Skip to Main Content
<< Back | Return to Main COMAR Search Page

8 records match your request.

FileAbstract
02.02.07.00.htm 02.02.07.00. Title 02 OFFICE OF THE ATTORNEY GENERAL Subtitle 02 DIVISION OF SECURITIES Chapter 07 Investigations Corporations and Associations Article, §11-203 and 11-701; Business Regulation Article, §14-106, 14-111, 14-206, and 14-212; Annotated Code of Maryland
02.02.07.01.htm 02.02.07.01. 01 Scope.. A. This chapter applies to investigations instituted by the Securities Commissioner under the:. 1) Maryland Securities Act, Corporations and Associations Article, Title 11, Annotated Code of Maryland (the Maryland Securities Act)2) Maryland Business Opportunities Sales Act, Business Regulation Article, Title 14, Subtitle 1, Annotated Code of Maryland (the Business Opportunities Act) or3) Maryland Franchise Registration and Disclosure Law, Business Regulation
02.02.07.02.htm 02.02.07.02. 02 Definitions.. A. In this chapter, the following terms have the meanings indicated.. B. Terms Defined.. 1) "Document" means the original of a paper or other tangible item or material on which information is written or recorded and includes, by example, correspondence, memoranda, reports, circulars, announcements, financial statements or projections, books, ledgers, records, tabulations, maps, charts, photographs, mechanical transcriptions, electronic and computer media, and
02.02.07.03.htm 02.02.07.03. 03 Subpoenas.. A. Type of Subpoena. As part of an investigation, the Commissioner may issue a subpoena to any person to:1) Testify under oath;. 2) Answer written interrogatories under oath;. 3) Produce documents and tangible things; and. 4) Permit inspection and copying of documents.. B. Content of Subpoena. A subpoena shall:. 1) Describe generally the nature of the investigation;. 2) If the subpoena requires testimony under oath, specify the date, time, and place for the taking o
02.02.07.04.htm 02.02.07.04. 04 Testimony Under Oath.. A. Presiding Officer. Testimony under oath shall be taken before the Commissioner or an officer designated by the Commissioner.B. Attendance at Testimony. A witness who testifies under oath in compliance with a subpoena may be accompanied and represented by counsel. Members of the Division involved in the investigation may be present during the taking of testimony. Other persons may not attend unless permitted in the discretion of the Commissioner.
02.02.07.05.htm 02.02.07.05. 05 Production of Things and Documents.. A. Assertion of Privilege. If a person responding to a subpoena for production of things or documents withholds a record or document on the basis of a privilege, the person shall state, with respect to each document:1) The name and title of the author of the document;. 2) The names and titles of all persons to whom the document was addressed;. 3) The names and titles of all persons to whom copies of the document were sent;.
02.02.07.06.htm 02.02.07.06. 06 Use and Confidential Treatment of Subpoenaed Materials.. A. Use of Subpoenaed Materials. The Division may use information, documents, and things obtained by subpoena in furtherance of an investigation conducted by the Division and of joint investigations conducted by the Division in cooperation with other state and federal agencies.B. Confidential Treatment. Information, documents, and things obtained by subpoena may be held confidential and are not subject to disclosure to the e
02.02.07.9999.htm 02.02.07.9999. Administrative History Effective date: December 5, 1994 (21:24 Md. R. 1986). Regulation .02B amended effective June 15, 1998 (25:12 Md. R. 944).
<< Back | Return to Main COMAR Search Page