BROKERS (SECURITIES)

Acknowledgments

Local public funds, investment restrictions, Minn. Statutes 2011 118A.04

Address, supplying to commissioner, Minn. Statutes 2011 45.0112

Adverse claims, liability, Minn. Statutes 2011 336.8-115

Banks, affiliate discount brokers

Individual retirement accounts, Minn. Statutes 2011 48.15

Broker-dealers

Agents, see under SECURITIES

Definitions, Minn. Statutes 2011 80A.41

Disciplinary actions, Minn. Statutes 2011 80A.67

Errors and omissions insurance requirements, Minn. Statutes 2011 80A.91

Examinations, Minn. Statutes 2011 80A.67

Generally, Minn. Statutes 2011 80A.66

Interested shareholders, exclusion, Minn. Statutes 2011 302A.011

Liability, Minn. Statutes 2011 80A.74, 80A.76, 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2011 80A.67

Fees, Minn. Statutes 2011 80A.65

Generally, Minn. Statutes 2011 80A.56

Misrepresentations, Minn. Statutes 2011 80A.73

Procedure, Minn. Statutes 2011 80A.61

Succession to, Minn. Statutes 2011 80A.62

Withdrawal, Minn. Statutes 2011 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2011 118A.06

Business licenses, exception, Minn. Statutes 2011 116J.70

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2011 48.15

Contracts and agreements

Local public funds, investment, Minn. Statutes 2011 118A.05, 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2011 80B.05

Credit services organizations, exclusion, Minn. Statutes 2011 332.52

Debt management services providers, exclusion, Minn. Statutes 2011 332A.02

Definitions

Commercial Code, Minn. Statutes 2011 336.8-102

Public retirement plan investments, Minn. Statutes 2011 356A.06

Transfers to minors, Minn. Statutes 2011 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2011 48.15

Exemptions, real estate licensure, Minn. Statutes 2011 82.56

Federal covered investment advisers

Definitions, Minn. Statutes 2011 80A.41

Notices, filing, Minn. Statutes 2011 80A.60

Investment advisers

Address and telephone number, Minn. Statutes 2011 45.0112

Definitions, Minn. Statutes 2011 80A.41

Disciplinary actions, Minn. Statutes 2011 80A.67

Examinations, Minn. Statutes 2011 80A.67

Fraud, Minn. Statutes 2011 80A.69

Generally, Minn. Statutes 2011 80A.66

Liability, Minn. Statutes 2011 80A.74, 80A.76, 80A.77

Licenses, Minn. Statutes 2011 45.0111, 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2011 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2011 80A.67

Fees, Minn. Statutes 2011 80A.65

Generally, Minn. Statutes 2011 80A.58

Misrepresentations, Minn. Statutes 2011 80A.73

Procedure, Minn. Statutes 2011 80A.61

Succession to, Minn. Statutes 2011 80A.62

Withdrawal, Minn. Statutes 2011 80A.64

Liability, adverse claims, Minn. Statutes 2011 336.8-115

Licenses

Business license, exception, Minn. Statutes 2011 116J.70

Real estate broker licensure, exemption, Minn. Statutes 2011 82.56

Reciprocity, Minn. Statutes 2011 45.0292

Temporary licenses, Minn. Statutes 2011 45.0111

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2011 334.19

Notice given

Address and telephone number, Minn. Statutes 2011 45.0112

Public retirement plans, investment restrictions, Minn. Statutes 2011 356A.06

Professional fund raisers, exclusion, Minn. Statutes 2011 309.50

Real estate licensure, Minn. Statutes 2011 82.56

Records and record keeping

Child support enforcement, access, Minn. Statutes 2011 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2011 336.8-102

Street name or nominee name, Minn. Statutes 2011 527.21, 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2011 45.0112

Warranties, Minn. Statutes 2011 336.8-108