BROKERS (SECURITIES)

Acknowledgments

Local public funds, investment restrictions, Minn. Statutes 2005 118A.04

Address, supplying to commissioner, Minn. Statutes 2005 45.0112

Adverse claims, liability, Minn. Statutes 2005 336.8-115

Banks, affiliate discount brokers

Individual retirement accounts, Minn. Statutes 2005 48.15

Broker-dealers

Agents, see under SECURITIES

Charges and rates, Minn. Statutes 2005 80A.06

Civil liability, Minn. Statutes 2005 80A.23

Criminal penalty, Minn. Statutes 2005 80A.22

Definitions, Minn. Statutes 2005 80A.14

Interested shareholders, exclusion, Minn. Statutes 2005 302A.011

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2005 118A.06

Business licenses, exception, Minn. Statutes 2005 116J.70

Charges, broker-dealers, Minn. Statutes 2005 80A.06

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2005 48.15

Contracts and agreements

Local public funds, investment, Minn. Statutes 2005 118A.05, 118A.07

Credit services organizations, exclusion, Minn. Statutes 2005 332.52

Debt prorating companies, exclusion, Minn. Statutes 2005 332.13

Definitions

Affiliated by direct common control, Minn. Statutes 2005 80A.04

Commercial Code, Minn. Statutes 2005 336.8-102

Public retirement plan investments, Minn. Statutes 2005 356A.06

Securities regulation, generally, Minn. Statutes 2005 80A.14

Transfers to minors, Minn. Statutes 2005 527.21

Disclosure

Commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2005 48.15

Disclosures to clients, Minn. Statutes 2005 80A.06

Exceptions, Minn. Statutes 2005 80A.06

Exemptions, real estate licensure, Minn. Statutes 2005 82.23

Federal covered advisers

Advisory activities and principal transactions, Minn. Statutes 2005 80A.02

Licenses, Minn. Statutes 2005 80A.04, 80A.05

Reports given, record keeping, Minn. Statutes 2005 80A.06

Investment advisers

Address, supplying to commissioner, Minn. Statutes 2005 45.0112

Advisory activities and principal transactions, Minn. Statutes 2005 80A.02

Censure, Minn. Statutes 2005 80A.07

Disclosures to clients, Minn. Statutes 2005 80A.06

Fees, Minn. Statutes 2005 80A.28

Institutional funds, investment management services, Minn. Statutes 2005 309.66

Licenses

Amendments, Minn. Statutes 2005 80A.28

Denial, suspension, revocation, Minn. Statutes 2005 80A.07

Fees, Minn. Statutes 2005 80A.28

Procedure, Minn. Statutes 2005 80A.05

Reciprocity, Minn. Statutes 2005 45.0292

Requirements, Minn. Statutes 2005 80A.04

Temporary licenses, Minn. Statutes 2005 45.0111

Notice given, address and telephone number, Minn. Statutes 2005 45.0112

Payments to, disclosure, exceptions, Minn. Statutes 2005 80A.06

Professional fund raisers, exclusion, Minn. Statutes 2005 309.50

Record keeping, reports, Minn. Statutes 2005 80A.06

Reports given, record keeping, Minn. Statutes 2005 80A.06

Surety bonds, Minn. Statutes 2005 80A.05

Telephone number, supplying to commissioner, Minn. Statutes 2005 45.0112

Liability, adverse claims, Minn. Statutes 2005 336.8-115

Licenses

Amendment to license, Minn. Statutes 2005 80A.28

Applications, Minn. Statutes 2005 80A.05

Business license, exception, Minn. Statutes 2005 116J.70

Consent to service of process, Minn. Statutes 2005 80A.05

Corrective amendments, Minn. Statutes 2005 80A.06

Denial, suspension, revocation, Minn. Statutes 2005 80A.07

Effective date, Minn. Statutes 2005 80A.05

Expiration, Minn. Statutes 2005 80A.04

Fees, Minn. Statutes 2005 80A.28

Filing fees, return, Minn. Statutes 2005 80A.05

Procedure, Minn. Statutes 2005 80A.05

Real estate broker licensure, exemption, Minn. Statutes 2005 80A.041, 82.23

Reciprocity, Minn. Statutes 2005 45.0292

Renewal, Minn. Statutes 2005 80A.04

Requirements, Minn. Statutes 2005 80A.04

Surety bonds, Minn. Statutes 2005 80A.05

Temporary licenses, Minn. Statutes 2005 45.0111

Margin accounts

Interest rates on loans, exemption, Minn. Statutes 2005 334.19

Notice given

Address and telephone number, Minn. Statutes 2005 45.0112

Public retirement plans, investment restrictions, Minn. Statutes 2005 356A.06

Payment received

Disclosure, exceptions, Minn. Statutes 2005 80A.06

Professional fund raisers, exclusion, Minn. Statutes 2005 309.50

Real estate licensure, Minn. Statutes 2005 82.23

Records and record keeping

Child support enforcement, access, Minn. Statutes 2005 256.978

Records and record keeping, reports, Minn. Statutes 2005 80A.06

Remuneration from person other than client

Disclosure, Minn. Statutes 2005 80A.06

Securities intermediaries, brokers defined as, Minn. Statutes 2005 336.8-102

Street name or nominee name, Minn. Statutes 2005 527.21, 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2005 45.0112

Violations and penalties, corporate takeovers

Fraudulent and deceptive practices, Minn. Statutes 2005 80B.05

Warranties, Minn. Statutes 2005 336.8-108