BROKERS (SECURITIES)

Broker-dealers

Bonds (officers and fiduciaries), Minn. Law 2006 c 196 art 1 s 26

Definitions, Minn. Law 2006 c 196 art 1 s 2

Disciplinary actions, Minn. Law 2006 c 196 art 1 s 27

Examinations, Minn. Law 2006 c 196 art 1 s 27

Financial reports, Minn. Law 2006 c 196 art 1 s 26

Financial requirements, Minn. Law 2006 c 196 art 1 s 26

Insurance, Minn. Law 2006 c 196 art 1 s 26

Liability

For violations, Minn. Law 2006 c 196 art 1 s 36, 37

Immunity, for defamation in required records, Minn. Law 2006 c 196 art 1 s 34

Records and record keeping, Minn. Law 2006 c 196 art 1 s 26

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Law 2006 c 196 art 1 s 27

Fees, Minn. Law 2006 c 196 art 1 s 25

Generally, Minn. Law 2006 c 196 art 1 s 17

Misrepresentations, Minn. Law 2006 c 196 art 1 s 33

Procedure, Minn. Law 2006 c 196 art 1 s 21

Succession to, Minn. Law 2006 c 196 art 1 s 22

Withdrawal, Minn. Law 2006 c 196 art 1 s 24

Federal covered investment advisers

Definitions, Minn. Law 2006 c 196 art 1 s 2

Notices, filing, Minn. Law 2006 c 196 art 1 s 20

Investment advisers

Bond (officers and fiduciaries), Minn. Law 2006 c 196 art 1 s 26

Definitions, Minn. Law 2006 c 196 art 1 s 2

Disciplinary actions, Minn. Law 2006 c 196 art 1 s 27

Examinations, Minn. Law 2006 c 196 art 1 s 27

Financial reports, Minn. Law 2006 c 196 art 1 s 26

Financial requirements, Minn. Law 2006 c 196 art 1 s 26

Fraud, Minn. Law 2006 c 196 art 1 s 29

Insurance, Minn. Law 2006 c 196 art 1 s 26

Liability

Immunity, for defamation in required records, Minn. Law 2006 c 196 art 1 s 34

Unregistered advisers, Minn. Law 2006 c 196 art 1 s 36, 37

Records and record keeping, Minn. Law 2006 c 196 art 1 s 26

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Law 2006 c 196 art 1 s 27

Fees, Minn. Law 2006 c 196 art 1 s 25

Generally, Minn. Law 2006 c 196 art 1 s 19

Misrepresentations, Minn. Law 2006 c 196 art 1 s 33

Procedure, Minn. Law 2006 c 196 art 1 s 21

Succession to, Minn. Law 2006 c 196 art 1 s 22

Withdrawal, Minn. Law 2006 c 196 art 1 s 24