# COMAR 02.02.03.04: COMAR 02.02.03.04. Quarterly Reports on Registered Securities

> Maryland · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_04

## Section

- **Citation:** COMAR 02.02.03.04
- **Heading:** COMAR 02.02.03.04. Quarterly Reports on Registered Securities
- **Jurisdiction:** Maryland
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Code of Maryland Regulations / Title 02 OFFICE OF THE ATTORNEY GENERAL / Subtitle 02 DIVISION OF SECURITIES / Chapter 03 Registration Regulations / COMAR 02.02.03.04

## Text

A. Except as provided in §B of this regulation , so long as a registration statement covering securities registered by notification or qualification is effective, the person who filed the registration statement shall file quarterly reports which shall keep reasonably current the information contained in the registration statement and disclose the progress of the offering, (see form SRQ-1, which is annexed hereto), and in addition, the reports shall contain a list of persons who have purchased securities within that given monthly period. This shareholder list shall include the name, the address and the telephone number of the purchaser and the number of units, shares, or beneficial interests purchased and the date of the purchase.
B. When an offering of securities registered by notification or qualification has been completed, the person who filed the registration statement may be relieved of the necessity of filing further reports pursuant to §A of this regulation by notifying the Commissioner in writing of the fact that the offering has been completed, and by submitting a final shareholder list and status of the offering report.
C. The quarterly reports required by §A of this regulation shall be filed with the Division of Securities within 7 days from the end of each quarterly period.
D. The Securities Commissioner may, by rule or order, further modify, condition, withdraw, or waive the conditions of this regulation when he deems it in the public interest.
Cross References 02.02.03.12H(1)

## Nearby sections

- [COMAR 02.02.03.01 COMAR 02.02.03.01. Prospectus](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_01.md)
- [COMAR 02.02.03.02 COMAR 02.02.03.02. Acceptability of Uniform Forms in Registration by Coordination](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_02.md)
- [COMAR 02.02.03.04 COMAR 02.02.03.04. Quarterly Reports on Registered Securities](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_04.md)
- [COMAR 02.02.03.05 COMAR 02.02.03.05. Financial Statements Filed As Part of Registration Statements for Registration of Securities by Qualification Notification](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_05.md)
- [COMAR 02.02.03.06 COMAR 02.02.03.06. Escrow Requirements](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_06.md)
- [COMAR 02.02.03.07 COMAR 02.02.03.07. Registration by Coordination of Shelf Registrations Pursuant to SEC Rule 415](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_07.md)
- [COMAR 02.02.03.08 COMAR 02.02.03.08. Filing of Sales and Advertising Literature](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_08.md)
- [COMAR 02.02.03.09 COMAR 02.02.03.09. Procedure for Renewal of Registration Statement](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_09.md)
- [COMAR 02.02.03.10 COMAR 02.02.03.10. Registration of Securities of Investment Companies](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_10.md)
- [COMAR 02.02.03.11 COMAR 02.02.03.11. Initial and Renewal Registration as Issuer Agent](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_11.md)
- [COMAR 02.02.03.12 COMAR 02.02.03.12. Small Corporate Offering Registration](https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_12.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_04. Check the current official text before relying on it. Not legal advice.