Minnesota Legislature
Office of the Revisor of Statutes
2020 Minnesota Statutes Index (topics)
BROKERS (SECURITIES)
Acknowledgments, local public funds, investment restrictions, Minn. Statutes 2020 118A.04
Address, supplying to commissioner, Minn. Statutes 2020 45.0112
Adverse claims, liability, Minn. Statutes 2020 336.8-115
Banks, affiliate discount brokers, individual retirement accounts, Minn. Statutes 2020 48.15
Broker-dealers
Agents, see under SECURITIES
Annuities transactions, Minn. Statutes 2020 72A.203 to 72A.2036
Definitions, Minn. Statutes 2020 80A.41
Disciplinary actions, Minn. Statutes 2020 80A.67
Errors and omissions insurance requirements, Minn. Statutes 2020 80A.91
Examinations, Minn. Statutes 2020 80A.67
Financial exploitation of seniors or vulnerable adults
Definitions, Minn. Statutes 2020 45A.01
Delaying disbursements, Minn. Statutes 2020 45A.06, 45A.07
Governmental disclosures, Minn. Statutes 2020 45A.02, 45A.03
Third-party disclosures, Minn. Statutes 2020 45A.04, 45A.05
Generally, Minn. Statutes 2020 80A.66
Liability, Minn. Statutes 2020 80A.74, 80A.76, 80A.77
Registration
Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2020 80A.67
Fees, Minn. Statutes 2020 80A.65
Generally, Minn. Statutes 2020 80A.56
Misrepresentations, Minn. Statutes 2020 80A.73
Procedure, Minn. Statutes 2020 80A.61
Succession to, Minn. Statutes 2020 80A.62
Withdrawal, Minn. Statutes 2020 80A.64
Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2020 118A.06
Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2020 48.15
Contracts and agreements, local public funds, investment, Minn. Statutes 2020 118A.05, 118A.07
Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2020 80B.05
Credit services organizations, exclusion, Minn. Statutes 2020 332.52
Debt management services providers, exclusion, Minn. Statutes 2020 332A.02
Definitions
Commercial Code, Minn. Statutes 2020 336.8-102
Public retirement plan investments, Minn. Statutes 2020 356A.06
Transfers to minors, Minn. Statutes 2020 527.21
Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2020 48.15
Exemptions, real estate licensure, Minn. Statutes 2020 82.56
Federal covered investment advisers
Definitions, Minn. Statutes 2020 80A.41
Notices, filing, Minn. Statutes 2020 80A.60
Funding portal registration, Minn. Statutes 2020 80A.61
Investment adviser representatives, registration, Minn. Statutes 2020 80A.61
Investment advisers
Address and telephone number, Minn. Statutes 2020 45.0112
Definitions, Minn. Statutes 2020 80A.41
Disciplinary actions, Minn. Statutes 2020 80A.67
Examinations, Minn. Statutes 2020 80A.67
Financial exploitation of seniors or vulnerable adults
Definitions, Minn. Statutes 2020 45A.01
Delaying disbursements, Minn. Statutes 2020 45A.06, 45A.07
Governmental disclosures, Minn. Statutes 2020 45A.02, 45A.03
Third-party disclosures, Minn. Statutes 2020 45A.04, 45A.05
Fraud, Minn. Statutes 2020 80A.69
Generally, Minn. Statutes 2020 80A.66
Liability, Minn. Statutes 2020 80A.74, 80A.76, 80A.77
Licenses, Minn. Statutes 2020 45.0292
Professional fund raisers, exclusion, Minn. Statutes 2020 309.50
Registration
Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2020 80A.67
Fees, Minn. Statutes 2020 80A.65
Generally, Minn. Statutes 2020 80A.58
Misrepresentations, Minn. Statutes 2020 80A.73
Procedure, Minn. Statutes 2020 80A.61
Succession to, Minn. Statutes 2020 80A.62
Withdrawal, Minn. Statutes 2020 80A.64
Liability, adverse claims, Minn. Statutes 2020 336.8-115
Licenses
Real estate broker licensure, exemption, Minn. Statutes 2020 82.56
Reciprocity, Minn. Statutes 2020 45.0292
Margin accounts, interest rates on loans, exemption, Minn. Statutes 2020 334.19
Private fund advisers
Definition, Minn. Statutes 2020 80A.41
Registration, Minn. Statutes 2020 80A.58
Private funds, records and reports, Minn. Statutes 2020 80A.66
Professional fund raisers, exclusion, Minn. Statutes 2020 309.50
Public retirement plans, investment restrictions, notice given, Minn. Statutes 2020 356A.06
Real estate licensure, Minn. Statutes 2020 82.56
Records and record keeping, child support enforcement, access, Minn. Statutes 2020 256.978
Securities intermediaries, brokers defined as, Minn. Statutes 2020 336.8-102
Street name or nominee name, Minn. Statutes 2020 527.21, 527.32
Telephone number, supplying to commissioner, Minn. Statutes 2020 45.0112
Warranties, Minn. Statutes 2020 336.8-108