BROKERS (SECURITIES)

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

Broker-dealers

Agents

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

Conduct, Minn. Rules 2876.5021

Definition, exclusions, Minn. Rules 2876.1020

Direct common control, Minn. Rules 2876.4021

Fair dealing, Minn. Rules 2876.5021

Financial statements, Minn. Rules 2876.6052

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

Fees, delay or underpayment, prompt remedy, Minn. Rules 2876.4101

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

Federal covered investment advisers

Conduct, Minn. Rules 2876.5023

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. Rules 2876.4050

Financial planners, Minn. Rules 2876.5024

Incorporations by reference, effective dates, Minn. Rules 2876.1030

Investment advisers

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

Disclosures to clients and prospective clients, Minn. Rules 2876.4117

Discretionary authority over client funds, Minn. Rules 2876.4113

Examinations, 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 reporting requirements, Minn. Rules 2876.4113

Financial requirements, Minn. Rules 2876.4112

Financial statements, Minn. Rules 2876.6052

Investment advisory contracts, Minn. Rules 2876.5022

Letters of credit, Minn. Rules 2876.4115

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

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

Fees, delay or underpayment, prompt remedy, Minn. Rules 2876.4101

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

Manuals, nationally recognized, Minn. Rules 2876.2020

Mutual funds, investment advisers of, Minn. Rules 2876.4116

Nationally recognized securities manuals, defined, Minn. Rules 2876.2020

Proxy statements, domestic stock insurance companies, procedures, Minn. Rules 2715.7310

Registration, Central Registration Depository, Minn. Rules 2876.4060