# COMAR 02.02.03.10: COMAR 02.02.03.10. Registration of Securities of Investment Companies

> Maryland · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_10

## Section

- **Citation:** COMAR 02.02.03.10
- **Heading:** COMAR 02.02.03.10. Registration of Securities of Investment Companies
- **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 02.02.03.10

## Text

A. Filing Fee.
(1) Subject to the registration provisions of the Maryland Securities Act, Corporations and Associations Article, §§ 11-502 , 11-503 , and 11-504 , Annotated Code of Maryland, a registrant that files pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510 .1, Annotated Code of Maryland, shall pay a $100 filing fee with the initial application for registration.
(2) A registrant that renews its registration statement pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510 .1(b), shall pay a $100 filing fee in addition to any fee that is required to be paid pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510 .1(b)(1) or (2).
B. A registrant that files a registration statement for an indefinite amount of securities pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510 .1, shall promptly notify the Commissioner of the registrant's fiscal year and of any subsequent changes to its fiscal year.
C. A registrant that pays a fee pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510 .1(b)(2), shall file a report of sales on Form USR-1, as approved by the North American Securities Administrators Association.
D. A registration statement filed pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510 .1, shall cover only one class of securities. Multiple classes of securities offered by the same issuer shall be registered separately.
E. Renewal. A registrant that renews its registration statement pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510 .1(b), shall file with the Commissioner a current prospectus and statement of additional information or other offering document, as applicable.
F. Termination. The registrant shall provide the Commissioner with written notification of the termination of the offering in this State
news its registration statement pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510 .1(b), shall file with the Commissioner a current prospectus and statement of additional information or other offering document, as applicable.
F. Termination. The registrant shall provide the Commissioner with written notification of the termination of the offering in this State. Upon termination, the registrant shall pay a final sales fee pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510 .1(b)(1) or (2), and comply with §C of this regulation , if applicable.

## 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)

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/STATE_MD_COMAR_02_02_03_10. Check the current official text before relying on it. Not legal advice.