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Office of the Revisor of Statutes

2020 Minnesota Statutes Index (topics)

BROKERS (SECURITIES)

Acknowledgments, local public funds, investment restrictions, Minn. Statutes 2020 118A.04

Address, supplying to commissioner, Minn. Statutes 2020 45.0112

Adverse claims, liability, Minn. Statutes 2020 336.8-115

Banks, affiliate discount brokers, individual retirement accounts, Minn. Statutes 2020 48.15

Broker-dealers

Agents, see under SECURITIES

Annuities transactions, Minn. Statutes 2020 72A.203 to 2020 72A.2036

Definitions, Minn. Statutes 2020 80A.41

Disciplinary actions, Minn. Statutes 2020 80A.67

Errors and omissions insurance requirements, Minn. Statutes 2020 80A.91

Examinations, Minn. Statutes 2020 80A.67

Financial exploitation of seniors or vulnerable adults

Definitions, Minn. Statutes 2020 45A.01

Delaying disbursements, Minn. Statutes 2020 45A.06, 2020 45A.07

Governmental disclosures, Minn. Statutes 2020 45A.02, 2020 45A.03

Third-party disclosures, Minn. Statutes 2020 45A.04, 2020 45A.05

Generally, Minn. Statutes 2020 80A.66

Interested shareholders, exclusion, Minn. Statutes 2020 302A.011

Liability, Minn. Statutes 2020 80A.74, 2020 80A.76, 2020 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2020 80A.67

Fees, Minn. Statutes 2020 80A.65

Generally, Minn. Statutes 2020 80A.56

Misrepresentations, Minn. Statutes 2020 80A.73

Procedure, Minn. Statutes 2020 80A.61

Succession to, Minn. Statutes 2020 80A.62

Withdrawal, Minn. Statutes 2020 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2020 118A.06

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2020 48.15

Contracts and agreements, local public funds, investment, Minn. Statutes 2020 118A.05, 2020 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2020 80B.05

Credit services organizations, exclusion, Minn. Statutes 2020 332.52

Debt management services providers, exclusion, Minn. Statutes 2020 332A.02

Definitions

Commercial Code, Minn. Statutes 2020 336.8-102

Public retirement plan investments, Minn. Statutes 2020 356A.06

Transfers to minors, Minn. Statutes 2020 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2020 48.15

Exemptions, real estate licensure, Minn. Statutes 2020 82.56

Federal covered investment advisers

Definitions, Minn. Statutes 2020 80A.41

Notices, filing, Minn. Statutes 2020 80A.60

Funding portal registration, Minn. Statutes 2020 80A.61

Investment adviser representatives, registration, Minn. Statutes 2020 80A.61

Investment advisers

Address and telephone number, Minn. Statutes 2020 45.0112

Definitions, Minn. Statutes 2020 80A.41

Disciplinary actions, Minn. Statutes 2020 80A.67

Examinations, Minn. Statutes 2020 80A.67

Financial exploitation of seniors or vulnerable adults

Definitions, Minn. Statutes 2020 45A.01

Delaying disbursements, Minn. Statutes 2020 45A.06, 2020 45A.07

Governmental disclosures, Minn. Statutes 2020 45A.02, 2020 45A.03

Third-party disclosures, Minn. Statutes 2020 45A.04, 2020 45A.05

Fraud, Minn. Statutes 2020 80A.69

Generally, Minn. Statutes 2020 80A.66

Liability, Minn. Statutes 2020 80A.74, 2020 80A.76, 2020 80A.77

Licenses, Minn. Statutes 2020 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2020 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2020 80A.67

Fees, Minn. Statutes 2020 80A.65

Generally, Minn. Statutes 2020 80A.58

Misrepresentations, Minn. Statutes 2020 80A.73

Procedure, Minn. Statutes 2020 80A.61

Succession to, Minn. Statutes 2020 80A.62

Withdrawal, Minn. Statutes 2020 80A.64

Liability, adverse claims, Minn. Statutes 2020 336.8-115

Licenses

Real estate broker licensure, exemption, Minn. Statutes 2020 82.56

Reciprocity, Minn. Statutes 2020 45.0292

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2020 334.19

Private fund advisers

Definition, Minn. Statutes 2020 80A.41

Registration, Minn. Statutes 2020 80A.58

Private funds, records and reports, Minn. Statutes 2020 80A.66

Professional fund raisers, exclusion, Minn. Statutes 2020 309.50

Public retirement plans, investment restrictions, notice given, Minn. Statutes 2020 356A.06

Real estate licensure, Minn. Statutes 2020 82.56

Records and record keeping, child support enforcement, access, Minn. Statutes 2020 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2020 336.8-102

Street name or nominee name, Minn. Statutes 2020 527.21, 2020 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2020 45.0112

Warranties, Minn. Statutes 2020 336.8-108