BROKERS (SECURITIES)

Broker-dealers

Dishonest or unethical business practices, Minn. Law 2026 c 124 art 2 s 3

Generally, Minn. Law 2026 c 124 art 2 s 2

Broker-dealers, continuing education, Minn. Law 2024 c 114 art 2 s 41, 2025 1Sp c 4 art 7 s 10

Broker-dealers, registration, Minn. Law 2022 c 93 art 2 s 34

Customer information security program, Minn. Law 2024 c 114 art 2 s 1 to 2024 c 114 art 2 s 8

Federal covered investment advisers, definitions, Minn. Law 2026 c 56 s 19

Investment adviser representatives, registration, Minn. Law 2024 c 114 art 2 s 40

Investment advisers, Minn. Law 2026 c 124 art 2 s 2

Continuing education, Minn. Law 2024 c 114 art 2 s 41, 2025 1Sp c 4 art 7 s 10

Registration, Minn. Law 2024 c 114 art 2 s 40

Exemptions, Minn. Law 2025 1Sp c 4 art 7 s 7

Fees, Minn. Law 2025 1Sp c 4 art 7 s 8

Investment advisers, financial exploitation of seniors or vulnerable adults, definitions, Minn. Law 2019 c 59 s 1

Investment advisers, registration, Minn. Law 2022 c 93 art 2 s 34

Private fund advisers

Fees, Minn. Law 2025 1Sp c 4 art 7 s 9

Registration, Minn. Law 2025 1Sp c 4 art 7 s 7