BROKERS (SECURITIES)

Acknowledgments

Local public funds, investment restrictions, Minn. Statutes 2010 118A.04

Address, supplying to commissioner, Minn. Statutes 2010 45.0112

Adverse claims, liability, Minn. Statutes 2010 336.8-115

Banks, affiliate discount brokers

Individual retirement accounts, Minn. Statutes 2010 48.15

Broker-dealers

Agents, see under SECURITIES

Definitions, Minn. Statutes 2010 80A.41

Disciplinary actions, Minn. Statutes 2010 80A.67

Errors and omissions insurance requirements, Minn. Statutes 2010 80A.91

Examinations, Minn. Statutes 2010 80A.67

Generally, Minn. Statutes 2010 80A.66

Interested shareholders, exclusion, Minn. Statutes 2010 302A.011

Liability, Minn. Statutes 2010 80A.74, 80A.76, 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2010 80A.67

Fees, Minn. Statutes 2010 80A.65

Generally, Minn. Statutes 2010 80A.56

Misrepresentations, Minn. Statutes 2010 80A.73

Procedure, Minn. Statutes 2010 80A.61

Succession to, Minn. Statutes 2010 80A.62

Withdrawal, Minn. Statutes 2010 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2010 118A.06

Business licenses, exception, Minn. Statutes 2010 116J.70

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2010 48.15

Contracts and agreements

Local public funds, investment, Minn. Statutes 2010 118A.05, 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2010 80B.05

Credit services organizations, exclusion, Minn. Statutes 2010 332.52

Debt management services providers, exclusion, Minn. Statutes 2010 332A.02

Definitions

Commercial Code, Minn. Statutes 2010 336.8-102

Public retirement plan investments, Minn. Statutes 2010 356A.06

Transfers to minors, Minn. Statutes 2010 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2010 48.15

Exemptions, real estate licensure, Minn. Statutes 2010 82.56

Federal covered investment advisers

Definitions, Minn. Statutes 2010 80A.41

Notices, filing, Minn. Statutes 2010 80A.60

Investment advisers

Address and telephone number, Minn. Statutes 2010 45.0112

Definitions, Minn. Statutes 2010 80A.41

Disciplinary actions, Minn. Statutes 2010 80A.67

Examinations, Minn. Statutes 2010 80A.67

Fraud, Minn. Statutes 2010 80A.69

Generally, Minn. Statutes 2010 80A.66

Liability, Minn. Statutes 2010 80A.74, 80A.76, 80A.77

Licenses, Minn. Statutes 2010 45.0111, 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2010 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2010 80A.67

Fees, Minn. Statutes 2010 80A.65

Generally, Minn. Statutes 2010 80A.58

Misrepresentations, Minn. Statutes 2010 80A.73

Procedure, Minn. Statutes 2010 80A.61

Succession to, Minn. Statutes 2010 80A.62

Withdrawal, Minn. Statutes 2010 80A.64

Liability, adverse claims, Minn. Statutes 2010 336.8-115

Licenses

Business license, exception, Minn. Statutes 2010 116J.70

Real estate broker licensure, exemption, Minn. Statutes 2010 82.56

Reciprocity, Minn. Statutes 2010 45.0292

Temporary licenses, Minn. Statutes 2010 45.0111

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2010 334.19

Notice given

Address and telephone number, Minn. Statutes 2010 45.0112

Public retirement plans, investment restrictions, Minn. Statutes 2010 356A.06

Professional fund raisers, exclusion, Minn. Statutes 2010 309.50

Real estate licensure, Minn. Statutes 2010 82.56

Records and record keeping

Child support enforcement, access, Minn. Statutes 2010 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2010 336.8-102

Street name or nominee name, Minn. Statutes 2010 527.21, 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2010 45.0112

Warranties, Minn. Statutes 2010 336.8-108