BROKERS (SECURITIES)

Acknowledgments

Local public funds, investment restrictions, Minn. Statutes 2004 118A.04

Address, supplying to commissioner, Minn. Statutes 2004 45.0112

Adverse claims, liability, Minn. Statutes 2004 336.8-115

Agreements by, local public funds, investment

Collateral, repurchase or reverse repurchase, Minn. Statutes 2004 118A.05, 118A.07

Banks, affiliate discount brokers

Individual retirement accounts, Minn. Statutes 2004 48.15

Broker-dealers

Agents, see under SECURITIES

Charges and rates, Minn. Statutes 2004 80A.06

Civil liability, Minn. Statutes 2004 80A.23

Criminal penalty, Minn. Statutes 2004 80A.22

Definitions, Minn. Statutes 2004 80A.14, 118A.04

Interested shareholders, exclusion, Minn. Statutes 2004 302A.011

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2004 118A.06

Business licenses, exception, Minn. Statutes 2004 116J.70

Charges, broker-dealers, Minn. Statutes 2004 80A.06

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2004 48.15

Contracts, local public funds, investment, collateral, repurchase or reverse repurchase, Minn. Statutes 2004 118A.05, 118A.07

Credit services organizations, exclusion, Minn. Statutes 2004 332.52

Debt prorating companies, exclusion, Minn. Statutes 2004 332.13

Definitions

Affiliated by direct common control, Minn. Statutes 2004 80A.04

Commercial Code, Minn. Statutes 2004 336.8-102

Deposit and investment of local public funds, Minn. Statutes 2004 118A.04

Public retirement plan investments, Minn. Statutes 2004 356A.06

Securities regulation, generally, Minn. Statutes 2004 80A.14

Transfers to minors, Minn. Statutes 2004 527.21

Disclosure

Commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2004 48.15

Disclosures to clients, Minn. Statutes 2004 80A.06

Exceptions, Minn. Statutes 2004 80A.06

Exemptions, real estate licensure, Minn. Statutes 2004 82.23

Federal covered advisers

Advisory activities and principal transactions, Minn. Statutes 2004 80A.02

Defined, Minn. Statutes 2004 80A.14

Licenses, Minn. Statutes 2004 80A.04, 80A.05

Reports given, record keeping, Minn. Statutes 2004 80A.06

Institutional buyers, defined, Minn. Statutes 2004 80A.14

Investment advisers

Address, supplying to commissioner, Minn. Statutes 2004 45.0112

Advisory activities and principal transactions, Minn. Statutes 2004 80A.02

Censure, Minn. Statutes 2004 80A.07

Defined, Minn. Statutes 2004 80A.14

Disclosures to clients, Minn. Statutes 2004 80A.06

Fees, Minn. Statutes 2004 45.0295, 80A.28

Institutional funds, investment management services, Minn. Statutes 2004 309.66

Licenses

Amendments, Minn. Statutes 2004 80A.28

Denial, suspension, revocation, Minn. Statutes 2004 80A.07

Fees, Minn. Statutes 2004 80A.28

Procedure, Minn. Statutes 2004 80A.05

Reciprocity, Minn. Statutes 2004 45.0292

Requirements, Minn. Statutes 2004 80A.04

Temporary licenses, Minn. Statutes 2004 45.0111

Notice given, address and telephone number, Minn. Statutes 2004 45.0112

Payments to, disclosure, exceptions, Minn. Statutes 2004 80A.06

Professional fund raisers, exclusion, Minn. Statutes 2004 309.50

Record keeping, reports, Minn. Statutes 2004 80A.06

Reports given, record keeping, Minn. Statutes 2004 80A.06

Surety bonds, Minn. Statutes 2004 80A.05

Telephone number, supplying to commissioner, Minn. Statutes 2004 45.0112

Investment metals, defined, Minn. Statutes 2004 80A.14

Liability, adverse claims, Minn. Statutes 2004 336.8-115

Licenses

Amendment to license, Minn. Statutes 2004 80A.28

Applications, Minn. Statutes 2004 80A.05

Business license, exception, Minn. Statutes 2004 116J.70

Consent to service of process, Minn. Statutes 2004 80A.05

Corrective amendments, Minn. Statutes 2004 80A.06

Denial, suspension, revocation, Minn. Statutes 2004 80A.07

Effective date, Minn. Statutes 2004 80A.05

Expiration, Minn. Statutes 2004 80A.04

Fees, Minn. Statutes 2004 80A.28

Filing fees, return, Minn. Statutes 2004 80A.05

Procedure, Minn. Statutes 2004 80A.05

Real estate broker licensure, exemption, Minn. Statutes 2004 80A.041, 82.23

Reciprocity, Minn. Statutes 2004 45.0292

Renewal, Minn. Statutes 2004 80A.04

Requirements, Minn. Statutes 2004 80A.04

Surety bonds, Minn. Statutes 2004 80A.05

Temporary licenses, Minn. Statutes 2004 45.0111

Margin accounts

Interest rates on loans, exemption, Minn. Statutes 2004 334.19

Notice given

Address and telephone number, Minn. Statutes 2004 45.0112

Public retirement plans, investment restrictions, Minn. Statutes 2004 356A.06

Notice received

Local public funds, Minn. Statutes 2004 118A.04, 118A.06

Public retirement plans, investment restrictions, Minn. Statutes 2004 356A.06

Payment received

Disclosure, exceptions, Minn. Statutes 2004 80A.06

Professional fund raisers, exclusion, Minn. Statutes 2004 309.50

Real estate licensure, Minn. Statutes 2004 82.23

Records and record keeping

Child support enforcement, access, Minn. Statutes 2004 256.978

Records and record keeping, reports, Minn. Statutes 2004 80A.06

Remuneration from person other than client

Disclosure, Minn. Statutes 2004 80A.06

Securities intermediaries, brokers defined as, Minn. Statutes 2004 336.8-102

Street name or nominee name, defined, Minn. Statutes 2004 527.21

Telephone number, supplying to commissioner, Minn. Statutes 2004 45.0112

Violations and penalties, corporate takeovers

Fraudulent and deceptive practices, Minn. Statutes 2004 80B.05

Warranties, Minn. Statutes 2004 336.8-108