BROKERS (SECURITIES)

Acknowledgments

Local public funds, investment restrictions, Minn. Statutes 2006 118A.04

Address, supplying to commissioner, Minn. Statutes 2006 45.0112

Adverse claims, liability, Minn. Statutes 2006 336.8-115

Banks, affiliate discount brokers

Individual retirement accounts, Minn. Statutes 2006 48.15

Broker-dealers

Agents, see under SECURITIES

Bonds (officers and fiduciaries), Minn. Statutes 2006 80A.66

Definitions, Minn. Statutes 2006 80A.41

Disciplinary actions, Minn. Statutes 2006 80A.67

Examinations, Minn. Statutes 2006 80A.67

Financial reports, Minn. Statutes 2006 80A.66

Financial requirements, Minn. Statutes 2006 80A.66

Insurance, Minn. Statutes 2006 80A.66

Interested shareholders, exclusion, Minn. Statutes 2006 302A.011

Liability, Minn. Statutes 2006 80A.74, 80A.76, 80A.77

Records and record keeping, Minn. Statutes 2006 80A.66

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2006 80A.67

Fees, Minn. Statutes 2006 80A.65

Generally, Minn. Statutes 2006 80A.56

Misrepresentations, Minn. Statutes 2006 80A.73

Procedure, Minn. Statutes 2006 80A.61

Succession to, Minn. Statutes 2006 80A.62

Withdrawal, Minn. Statutes 2006 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2006 118A.06

Business licenses, exception, Minn. Statutes 2006 116J.70

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2006 48.15

Contracts and agreements

Local public funds, investment, Minn. Statutes 2006 118A.05, 118A.07

Corporate takeovers

Fraudulent and deceptive practices, Minn. Statutes 2006 80B.05

Credit services organizations, exclusion, Minn. Statutes 2006 332.52

Debt prorating companies, exclusion, Minn. Statutes 2006 332.13

Definitions

Commercial Code, Minn. Statutes 2006 336.8-102

Public retirement plan investments, Minn. Statutes 2006 356A.06

Transfers to minors, Minn. Statutes 2006 527.21

Disclosure

Commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2006 48.15

Exemptions, real estate licensure, Minn. Statutes 2006 82.23

Federal covered investment advisers

Definitions, Minn. Statutes 2006 80A.41

Notices, filing, Minn. Statutes 2006 80A.60

Investment advisers

Address and telephone number, Minn. Statutes 2006 45.0112

Bond (officers and fiduciaries), Minn. Statutes 2006 80A.66

Definitions, Minn. Statutes 2006 80A.41

Disciplinary actions, Minn. Statutes 2006 80A.67

Examinations, Minn. Statutes 2006 80A.67

Financial reports, Minn. Statutes 2006 80A.66

Financial requirements, Minn. Statutes 2006 80A.66

Fraud, Minn. Statutes 2006 80A.69

Institutional funds, investment management services, Minn. Statutes 2006 309.66

Insurance, Minn. Statutes 2006 80A.66

Liability, Minn. Statutes 2006 80A.74, 80A.76, 80A.77

Licenses, Minn. Statutes 2006 45.0111, 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2006 309.50

Records and record keeping, Minn. Statutes 2006 80A.66

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2006 80A.67

Fees, Minn. Statutes 2006 80A.65

Generally, Minn. Statutes 2006 80A.58

Misrepresentations, Minn. Statutes 2006 80A.73

Procedure, Minn. Statutes 2006 80A.61

Succession to, Minn. Statutes 2006 80A.62

Withdrawal, Minn. Statutes 2006 80A.64

Liability, adverse claims, Minn. Statutes 2006 336.8-115

Licenses

Business license, exception, Minn. Statutes 2006 116J.70

Real estate broker licensure, exemption, Minn. Statutes 2006 82.23

Reciprocity, Minn. Statutes 2006 45.0292

Temporary licenses, Minn. Statutes 2006 45.0111

Margin accounts

Interest rates on loans, exemption, Minn. Statutes 2006 334.19

Notice given

Address and telephone number, Minn. Statutes 2006 45.0112

Public retirement plans, investment restrictions, Minn. Statutes 2006 356A.06

Professional fund raisers, exclusion, Minn. Statutes 2006 309.50

Real estate licensure, Minn. Statutes 2006 82.23

Records and record keeping

Child support enforcement, access, Minn. Statutes 2006 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2006 336.8-102

Street name or nominee name, Minn. Statutes 2006 527.21, 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2006 45.0112

Warranties, Minn. Statutes 2006 336.8-108