Office of the Revisor of Statutes
Minnesota Statutes and Minnesota Rules Index (topics)
BROKERS (SECURITIES)
Acknowledgments, local public funds, investment restrictions, Minn. Statutes 2019 118A.04
Address, supplying to commissioner, Minn. Statutes 2019 45.0112
Adverse claims, liability, Minn. Statutes 2019 336.8-115
Agents
Registration, Central Registration Depository, Minn. Rules 2876.4060
Regulation D, defined, Minn. Rules 2876.1021
Securities manuals, nationally recognized, Minn. Rules 2876.2020
Senior-specific certifications, prohibition, Minn. Rules 2876.5025
Banks, affiliate discount brokers, individual retirement accounts, Minn. Statutes 2019 48.15
Broker-dealers
Agents, see under SECURITIES
Central Registration Depository, Minn. Rules 2876.4060
Financial statements, Minn. Rules 2876.6052
Money from sales, receipt of, Minn. Rules 2876.4110
Notice to Commerce Department, required by statute, Minn. Rules 2876.4020
Persons exempt from registration, permitted activities, Minn. Rules 2876.4020
Registration, Minn. Rules 2876.4062, 2876.4100, 2876.4101
Service of process on, consent to, Minn. Rules 2876.6110
Supervision, Minn. Rules 2876.5021
Annuities transactions, Minn. Statutes 2019 72A.203 to 72A.2036
Conduct, Minn. Rules 2876.5021
Definition, exclusions, Minn. Rules 2876.1020
Definitions, Minn. Statutes 2019 80A.41
Direct common control, Minn. Rules 2876.4021
Disciplinary actions, Minn. Statutes 2019 80A.67
Errors and omissions insurance requirements, Minn. Statutes 2019 80A.91
Examinations, Minn. Statutes 2019 80A.67
Fair dealing, Minn. Rules 2876.5021
Financial exploitation of seniors or vulnerable adults
Definitions, Minn. Statutes 2019 45A.01
Delaying disbursements, Minn. Statutes 2019 45A.06, 45A.07
Governmental disclosures, Minn. Statutes 2019 45A.02, 45A.03
Third-party disclosures, Minn. Statutes 2019 45A.04, 45A.05
Financial statements, Minn. Rules 2876.6052
Generally, Minn. Statutes 2019 80A.66
Liability, Minn. Statutes 2019 80A.74, 80A.76, 80A.77
Money from sales, receipt of, Minn. Rules 2876.4110
Records and record keeping, Minn. Rules 2876.4114
Registration
Amendments requiring an order of the administrator, Minn. Rules 2876.4100
Applications for, Minn. Rules 2876.4062
Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2019 80A.67
Fees, Minn. Statutes 2019 80A.65
Fees, delay or underpayment, prompt remedy, Minn. Rules 2876.4101
Generally, Minn. Statutes 2019 80A.56
Misrepresentations, Minn. Statutes 2019 80A.73
Procedure, Minn. Statutes 2019 80A.61
Succession to, Minn. Statutes 2019 80A.62
Withdrawal, Minn. Statutes 2019 80A.64
Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2019 118A.06
Service of process on, consent to, Minn. Rules 2876.6110
Business of financial planning, regulation, Minn. Rules 2876.5024
Central Registration Depository, Minn. Rules 2876.4060
Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2019 48.15
Contracts and agreements, local public funds, investment, Minn. Statutes 2019 118A.05, 118A.07
Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2019 80B.05
Credit services organizations, exclusion, Minn. Statutes 2019 332.52
Debt management services providers, exclusion, Minn. Statutes 2019 332A.02
Definitions
Commercial Code, Minn. Statutes 2019 336.8-102
Public retirement plan investments, Minn. Statutes 2019 356A.06
Transfers to minors, Minn. Statutes 2019 527.21
Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2019 48.15
Exemptions, real estate licensure, Minn. Statutes 2019 82.56
Federal covered investment advisers
Conduct, Minn. Rules 2876.5023
Definitions, Minn. Statutes 2019 80A.41
Depositories for filings and fees, Minn. Rules 2876.4060
Fiduciary duty, Minn. Rules 2876.5023
Investment advisory contracts, Minn. Rules 2876.5022
Notices, filing, Minn. Statutes 2019 80A.60, Minn. Rules 2876.4050
Financial planners, Minn. Rules 2876.5024
Funding portal registration, Minn. Statutes 2019 80A.61
Incorporations by reference, effective dates, Minn. Rules 2876.1030
Investment adviser representatives, registration, Minn. Statutes 2019 80A.61
Investment advisers
Address and telephone number, Minn. Statutes 2019 45.0112
Agency cross transactions, Minn. Rules 2876.5023
Assets, appraisals of, Minn. Rules 2876.4112
Balance sheets, Minn. Rules 2876.4113
Bonds, Minn. Rules 2876.4115
Brochures, Minn. Rules 2876.4117
Conduct, Minn. Rules 2876.5023
Credentials, Minn. Rules 2876.4120
Custody of client funds, Minn. Rules 2876.4113, 2876.4116
Definitions, Minn. Statutes 2019 80A.41
Disciplinary actions, Minn. Statutes 2019 80A.67
Disclosures to clients and prospective clients, Minn. Rules 2876.4117
Discretionary authority over client funds, Minn. Rules 2876.4113
Examinations, Minn. Statutes 2019 80A.67, Minn. Rules 2876.4120
Exercising discretion, Minn. Rules 2876.4112
Federal covered investment advisers, see same under this topic
Fiduciary duty, Minn. Rules 2876.5023
Financial exploitation of seniors or vulnerable adults
Definitions, Minn. Statutes 2019 45A.01
Delaying disbursements, Minn. Statutes 2019 45A.06, 45A.07
Governmental disclosures, Minn. Statutes 2019 45A.02, 45A.03
Third-party disclosures, Minn. Statutes 2019 45A.04, 45A.05
Financial reporting requirements, Minn. Rules 2876.4113
Financial requirements, Minn. Rules 2876.4112
Financial statements, Minn. Rules 2876.6052
Fraud, Minn. Statutes 2019 80A.69
Generally, Minn. Statutes 2019 80A.66
Investment advisory contracts, Minn. Rules 2876.5022
Letters of credit, Minn. Rules 2876.4115
Liability, Minn. Statutes 2019 80A.74, 80A.76, 80A.77
Licenses, Minn. Statutes 2019 45.0292
Limited liability companies, Minn. Rules 2876.4116
Limited partnerships, Minn. Rules 2876.4116
Mutual funds, Minn. Rules 2876.4116
Net capital, Minn. Rules 2876.4112
Net worth, Minn. Rules 2876.4112
Open-end companies, Minn. Rules 2876.4116
Out-of-state advisers, Minn. Rules 2876.4112, 2876.4113
Prior liquidated firms, Minn. Rules 2876.4120
Professional fund raisers, exclusion, Minn. Statutes 2019 309.50
Records and record keeping, Minn. Rules 2876.4114
Registration
Amendments requiring an order of the administrator, Minn. Rules 2876.4100
Applications for, Minn. Rules 2876.4061
Central Registration Depository, Minn. Rules 2876.4060
Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2019 80A.67
Fees, Minn. Statutes 2019 80A.65
Fees, delay or underpayment, prompt remedy, Minn. Rules 2876.4101
Generally, Minn. Statutes 2019 80A.58
Misrepresentations, Minn. Statutes 2019 80A.73
Procedure, Minn. Statutes 2019 80A.61
Succession to, Minn. Statutes 2019 80A.62
Withdrawal, Minn. Statutes 2019 80A.64
Registration depository, Minn. Rules 2876.4060
Senior-specific certifications, prohibition, Minn. Rules 2876.5025
Service of process on, consent to, Minn. Rules 2876.6110
Supervisory or control individuals, examinations, Minn. Rules 2876.4120
Surety bonds, Minn. Rules 2876.4115
Trusts, advisers retained by, Minn. Rules 2876.4116
Liability, adverse claims, Minn. Statutes 2019 336.8-115
Licenses
Real estate broker licensure, exemption, Minn. Statutes 2019 82.56
Reciprocity, Minn. Statutes 2019 45.0292
Manuals, nationally recognized, Minn. Rules 2876.2020
Margin accounts, interest rates on loans, exemption, Minn. Statutes 2019 334.19
Mutual funds, investment advisers of, Minn. Rules 2876.4116
Nationally recognized securities manuals, defined, Minn. Rules 2876.2020
Private fund advisers
Definition, Minn. Statutes 2019 80A.41
Registration, Minn. Statutes 2019 80A.58
Private funds, records and reports, Minn. Statutes 2019 80A.66
Professional fund raisers, exclusion, Minn. Statutes 2019 309.50
Proxy statements, domestic stock insurance companies, procedures, Minn. Rules 2715.7310
Public retirement plans, investment restrictions, notice given, Minn. Statutes 2019 356A.06
Real estate licensure, Minn. Statutes 2019 82.56
Records and record keeping, child support enforcement, access, Minn. Statutes 2019 256.978
Registration, Central Registration Depository, Minn. Rules 2876.4060
Securities intermediaries, brokers defined as, Minn. Statutes 2019 336.8-102
Street name or nominee name, Minn. Statutes 2019 527.21, 527.32
Telephone number, supplying to commissioner, Minn. Statutes 2019 45.0112
Warranties, Minn. Statutes 2019 336.8-108