BROKERS (SECURITIES)

Acknowledgments

Local public funds, investment restrictions, Minn. Statutes 2009 118A.04

Address, supplying to commissioner, Minn. Statutes 2009 45.0112

Adverse claims, liability, Minn. Statutes 2009 336.8-115

Banks, affiliate discount brokers

Individual retirement accounts, Minn. Statutes 2009 48.15

Broker-dealers

Agents, see under SECURITIES

Definitions, Minn. Statutes 2009 80A.41

Disciplinary actions, Minn. Statutes 2009 80A.67

Errors and omissions insurance requirements, Minn. Statutes 2009 80A.91

Examinations, Minn. Statutes 2009 80A.67

Generally, Minn. Statutes 2009 80A.66

Interested shareholders, exclusion, Minn. Statutes 2009 302A.011

Liability, Minn. Statutes 2009 80A.74, 80A.76, 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2009 80A.67

Fees, Minn. Statutes 2009 80A.65

Generally, Minn. Statutes 2009 80A.56

Misrepresentations, Minn. Statutes 2009 80A.73

Procedure, Minn. Statutes 2009 80A.61

Succession to, Minn. Statutes 2009 80A.62

Withdrawal, Minn. Statutes 2009 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2009 118A.06

Business licenses, exception, Minn. Statutes 2009 116J.70

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2009 48.15

Contracts and agreements

Local public funds, investment, Minn. Statutes 2009 118A.05, 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2009 80B.05

Credit services organizations, exclusion, Minn. Statutes 2009 332.52

Debt management services providers, exclusion, Minn. Statutes 2009 332A.02

Definitions

Commercial Code, Minn. Statutes 2009 336.8-102

Public retirement plan investments, Minn. Statutes 2009 356A.06

Transfers to minors, Minn. Statutes 2009 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2009 48.15

Exemptions, real estate licensure, Minn. Statutes 2009 82.23

Federal covered investment advisers

Definitions, Minn. Statutes 2009 80A.41

Notices, filing, Minn. Statutes 2009 80A.60

Investment advisers

Address and telephone number, Minn. Statutes 2009 45.0112

Definitions, Minn. Statutes 2009 80A.41

Disciplinary actions, Minn. Statutes 2009 80A.67

Examinations, Minn. Statutes 2009 80A.67

Fraud, Minn. Statutes 2009 80A.69

Generally, Minn. Statutes 2009 80A.66

Liability, Minn. Statutes 2009 80A.74, 80A.76, 80A.77

Licenses, Minn. Statutes 2009 45.0111, 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2009 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2009 80A.67

Fees, Minn. Statutes 2009 80A.65

Generally, Minn. Statutes 2009 80A.58

Misrepresentations, Minn. Statutes 2009 80A.73

Procedure, Minn. Statutes 2009 80A.61

Succession to, Minn. Statutes 2009 80A.62

Withdrawal, Minn. Statutes 2009 80A.64

Liability, adverse claims, Minn. Statutes 2009 336.8-115

Licenses

Business license, exception, Minn. Statutes 2009 116J.70

Real estate broker licensure, exemption, Minn. Statutes 2009 82.23

Reciprocity, Minn. Statutes 2009 45.0292

Temporary licenses, Minn. Statutes 2009 45.0111

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2009 334.19

Notice given

Address and telephone number, Minn. Statutes 2009 45.0112

Public retirement plans, investment restrictions, Minn. Statutes 2009 356A.06

Professional fund raisers, exclusion, Minn. Statutes 2009 309.50

Real estate licensure, Minn. Statutes 2009 82.23

Records and record keeping

Child support enforcement, access, Minn. Statutes 2009 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2009 336.8-102

Street name or nominee name, Minn. Statutes 2009 527.21, 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2009 45.0112

Warranties, Minn. Statutes 2009 336.8-108