SECURITIES

abandoned and unclaimed property, sales, Minn. Law 2005 1Sp c 1 art 4 s 95, 96

Accredited investors, Minn. Law 2008 c 256 s 2, 3, 8, 10, 11

Advertisements, filing, Minn. Law 2006 c 196 art 1 s 31

Agents

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

Liability

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

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

Registration

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

Generally, Minn. Law 2006 c 196 art 1 s 18

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

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

Termination or transfer of employment, Minn. Law 2006 c 196 art 1 s 23

Agents, errors, insurance for, Minn. Law 2009 c 178 art 1 s 49

Agents, registration, Minn. Law 2008 c 256 s 9

Beneficiaries, disclaimers of interest in property, Minn. Law 2009 c 67

Broker-dealers, see under BROKERS (SECURITIES)

Broker-dealers, registration, Minn. Law 2008 c 256 s 8, 12, 15

Commerce Department

Cease and desist orders, Minn. Law 2006 c 196 art 1 s 41

Forms, Minn. Law 2006 c 196 art 1 s 42

Hearings, Minn. Law 2006 c 196 art 1 s 42

Injunctions, Minn. Law 2006 c 196 art 1 s 40

Interpretative opinions, Minn. Law 2006 c 196 art 1 s 42

Investigations, Minn. Law 2006 c 196 art 1 s 39

Investor education, Minn. Law 2006 c 196 art 1 s 38

Orders generally, Minn. Law 2006 c 196 art 1 s 42

Records, use, Minn. Law 2006 c 196 art 1 s 38

Registration exemptions, changes in, Minn. Law 2006 c 196 art 1 s 41

Rulemaking authority, Minn. Law 2006 c 196 art 1 s 42

Continuing education, Minn. Law 2008 c 256 s 14

Cooperatives, transactions exempt from registration, Minn. Law 2008 c 256 s 3

Data

Cooperation with other agencies, Minn. Law 2006 c 196 art 1 s 45

Public records, classification as, Minn. Law 2006 c 196 art 1 s 44

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

Electronic signatures, federal law, Minn. Law 2006 c 196 art 1 s 5

Employee benefit plans, transactions exempt from registration, Minn. Law 2008 c 256 s 3

Exempt transactions, Minn. Law 2010 c 215 art 4 s 9, 2010 c 384 s 45

Federal agencies, references to, Minn. Law 2006 c 196 art 1 s 4

Federal covered investment advisers, Minn. Law 2006 c 196 art 1 s 2, 20, 2008 c 256 s 13

Federal covered securities, Minn. Law 2008 c 256 s 4, 2008 c 363 art 6 s 5

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

Filings, Minn. Law 2006 c 196 art 1 s 11, 16

Registration, exemption, Minn. Law 2006 c 196 art 1 s 6

Federal law, citations to, Minn. Law 2006 c 196 art 1 s 3

Filings

Advertisements, Minn. Law 2006 c 196 art 1 s 31

Copies, Minn. Law 2006 c 196 art 1 s 43

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

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

Misleading filings, Minn. Law 2006 c 196 art 1 s 32

Records, Minn. Law 2006 c 196 art 1 s 43

Fraud

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

Generally, Minn. Law 2006 c 196 art 1 s 28

Investment advice, Minn. Law 2006 c 196 art 1 s 29

Funding portals, Minn. Law 2013 c 106 s 1, 4

Hearings, Minn. Law 2006 c 196 art 1 s 42

Investigations, Minn. Law 2006 c 196 art 1 s 39

Investment adviser representatives, Minn. Law 2008 c 256 s 2, 15, 18, 2013 c 106 s 3, 4

Investment advisers, see under BROKERS (SECURITIES), Minn. Law 2008 c 256 s 15, 16

3(c)(1) fund advisers, Minn. Law 2013 c 106 s 3

Information on, Minn. Law 2013 c 106 s 5

Investor education, Minn. Law 2006 c 196 art 1 s 38

Lawsuits

Burden of proof, Minn. Law 2006 c 196 art 1 s 30

Injunctions, Minn. Law 2006 c 196 art 1 s 40

MNvest offerings and issuers, Minn. Law 2015 1Sp c 1 art 3 s 12, 13

National Association of Securities Dealers, Minn. Law 2004 c 285 art 4 s 2, 3, 2004 c 290 s 21, 22

Offers

Application of law to, Minn. Law 2006 c 196 art 1 s 47, 50

Exemptions from law, Minn. Law 2006 c 196 art 1 s 8

Publication, Minn. Law 2006 c 196 art 1 s 47

Orders, judicial review, Minn. Law 2006 c 196 art 1 s 46

Private fund advisers, Minn. Law 2013 c 106 s 1, 3, 5

Purchases

Application of law, Minn. Law 2006 c 196 art 1 s 47

Purchasers, liability, Minn. Law 2006 c 196 art 1 s 36, 37

Records and record keeping

Commerce Department use of, Minn. Law 2006 c 196 art 1 s 38

Public records, classification as, Minn. Law 2006 c 196 art 1 s 44

Registration

Application of law to, Minn. Law 2006 c 196 art 1 s 50

By coordination, Minn. Law 2006 c 196 art 1 s 12, 16

By qualification, Minn. Law 2006 c 196 art 1 s 13, 16, 2008 c 256 s 5

Denial, suspension, and revocation, Minn. Law 2006 c 196 art 1 s 15

Exempt transactions, Minn. Law 2006 c 196 art 1 s 7, 2008 c 256 s 3

Exemptions

By rule or order, Minn. Law 2006 c 196 art 1 s 8

Commerce Department enforcement powers, Minn. Law 2006 c 196 art 1 s 41

Denial, suspension, revocation, conditions or limitations, Minn. Law 2006 c 196 art 1 s 9

Generally, exempt securities, Minn. Law 2006 c 196 art 1 s 6

Federal covered securities, Minn. Law 2008 c 256 s 4, 2008 c 363 art 6 s 5

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

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

Register, Minn. Law 2006 c 196 art 1 s 43

Requirements, generally, Minn. Law 2006 c 196 art 1 s 10

Small corporate offerings, Minn. Law 2006 c 196 art 1 s 11

Stop orders, Minn. Law 2006 c 196 art 1 s 15

Waivers, Minn. Law 2006 c 196 art 1 s 16

Registration fees, refunds, Minn. Law 2007 c 57 art 3 s 35

Registration statements, filing, Minn. Law 2006 c 196 art 1 s 14

Registration, stop orders, unfair terms of offering, Minn. Law 2013 c 106 s 2

Rescission offers, Minn. Law 2010 c 384 s 45, 46

Rulemaking about, authority, Minn. Law 2008 c 256 s 17

Rules about, judicial review, Minn. Law 2006 c 196 art 1 s 46

Sales

Application of law, Minn. Law 2006 c 196 art 1 s 47, 50

Rescission offers, Minn. Law 2006 c 196 art 1 s 37

Sellers, liability to purchasers, Minn. Law 2006 c 196 art 1 s 36, 37

Service of process, Minn. Law 2006 c 196 art 1 s 48

Severability of law, Minn. Law 2006 c 196 art 1 s 49

Small corporate offerings, registration, Minn. Law 2006 c 196 art 1 s 11, 2008 c 256 s 4, 2008 c 363 art 6 s 5

Technical corrections, Minn. Law 2008 c 256 s 5 to 2008 c 256 s 7, 9, 19 to 21

Transactions, exemptions from registration, Minn. Law 2006 c 196 art 1 s 7, 8

Uniform Securities Act, Minn. Law 2006 c 196

Uniform Securities Act, name change, Minn. Law 2008 c 256 s 1

Violations and penalties

Application of law to, Minn. Law 2006 c 196 art 1 s 50

Civil liability, Minn. Law 2006 c 196 art 1 s 36, 37

Civil penalties, Minn. Law 2006 c 196 art 1 s 41

Criminal penalties, generally, Minn. Law 2006 c 196 art 1 s 35

Fraud, Minn. Law 2006 c 196 art 1 s 28, 29

Injunctions, Minn. Law 2006 c 196 art 1 s 40

Investigations, Minn. Law 2006 c 196 art 1 s 39

Lawsuits, burden of proof, Minn. Law 2006 c 196 art 1 s 30