Minnesota Legislature
Office of the Revisor of Statutes
2004 Minnesota Statutes Index (topics)
SECURITIES
Abandoned and unclaimed securities
Delivery to Commerce Department, Minn. Statutes 2004 345.43
Presumption of abandonment, Minn. Statutes 2004 345.35
Sale, Minn. Statutes 2004 345.47
Acquisition, means, Minn. Statutes 2004 336.8-104
Administration of law
Commerce Department, duties, Minn. Statutes 2004 80A.19
Adverse claims
Agents, liability, Minn. Statutes 2004 336.8-115
Brokers, liability, Minn. Statutes 2004 336.8-115
Defined, Minn. Statutes 2004 336.8-102
Entitlement holders, liability, Minn. Statutes 2004 336.8-502, 336.8-510
Local laws, application, Minn. Statutes 2004 336.8-110
Notice, Minn. Statutes 2004 336.8-105, 336.8-304
Purchasers, Minn. Statutes 2004 336.8-302, 336.8-303, 336.8-503, 336.8-510
Securities intermediaries, liability, Minn. Statutes 2004 336.8-115
Wrongful registration, defenses, Minn. Statutes 2004 336.8-404, 336.8-406
Agents
Addresses, supplying to commissioner, Minn. Statutes 2004 45.0112
Defined, Minn. Statutes 2004 80A.14
Filing fees, return, Minn. Statutes 2004 80A.05
Licenses, Minn. Statutes 2004 45.0111, 45.0292, 80A.04 to 80A.07, 80A.28
Notice given, addresses and telephone numbers, Minn. Statutes 2004 45.0112
Surety bonds, Minn. Statutes 2004 80A.05
Telephone numbers, supplying to commissioner, Minn. Statutes 2004 45.0112
Transfer agents, see same under this topic
Alteration, security certificates, Minn. Statutes 2004 336.8-206
Application of law
Bank deposits and collections, Minn. Statutes 2004 336.4-102
Clearing corporations, duties as securities intermediaries, exemption, Minn. Statutes 2004 336.8-504
Cooperative associations, Minn. Statutes 2004 80A.15, 308A.505
Fiduciary security transfers, Minn. Statutes 2004 520.28
Investments of Insurers Act, Minn. Statutes 2004 60L.02
Issuers, Minn. Statutes 2004 336.8-110, 336.8-202
Limited liability companies, interests in, Minn. Statutes 2004 322B.30
Negotiable instruments, exemption, Minn. Statutes 2004 336.3-102
Offers to buy or sell, Minn. Statutes 2004 80A.27
Overissue, Minn. Statutes 2004 336.8-210, 336.8-404
Professional firms, ownership interest transactions, exception, Minn. Statutes 2004 319B.07
Securities intermediaries, Minn. Statutes 2004 336.8-110, 336.8-509
Security interests, perfection and priority, Minn. Statutes 2004 336.8-603
Appropriate evidence of appointment or incumbency
Defined, Minn. Statutes 2004 336.8-402
Appropriate persons
Defined, Minn. Statutes 2004 336.8-107
Demand that issuers not register transfer, Minn. Statutes 2004 336.8-403
Endorsement warranties, Minn. Statutes 2004 336.8-306
Registration of transfer, Minn. Statutes 2004 336.8-401
Assessments, registered owners, liability, Minn. Statutes 2004 336.8-207
Asset class, securities defined as, Minn. Statutes 2004 356.219
Assignments, defined, Minn. Statutes 2004 520.21
Attorney general, securities violations, Minn. Statutes 2004 80A.22
Audits and examinations, Minn. Statutes 2004 80A.06
Authenticating trustees
Registration of transfer, duties, Minn. Statutes 2004 336.8-407
Unauthorized signatures, Minn. Statutes 2004 336.8-205
Warranties, Minn. Statutes 2004 336.8-208
Authentication, warranties, Minn. Statutes 2004 336.8-208
Authorized securities
Defined, Minn. Statutes 2004 50.14
Higher Education Facilities Authority revenue bonds, Minn. Statutes 2004 136A.38
Higher Education Services Office revenue bonds, Minn. Statutes 2004 136A.178
Intermediate School District 287 (Hennepin County), bonds, Minn. Statutes 2004 136D.281
Intermediate School District 916 (Northeast Metro), bonds, Minn. Statutes 2004 136D.741
Intermediate School District 917 (Dakota County), bonds, Minn. Statutes 2004 136D.88
State university revenue bonds, Minn. Statutes 2004 136F.91
Banks
Officers or employees, sale to bank, Minn. Statutes 2004 48.08
Securities in lieu of surety bonds, Minn. Statutes 2004 48.13
Bearer form
Adverse claims, notice, Minn. Statutes 2004 336.8-304
Defined, Minn. Statutes 2004 336.8-102
Purchasers, control, Minn. Statutes 2004 336.8-106
Bearer, defined, Minn. Statutes 2004 336.1-201
Beneficial owners, defined, Minn. Statutes 2004 302A.011
Beneficial ownership, defined, Minn. Statutes 2004 302A.011
Blank endorsements, Minn. Statutes 2004 336.8-304
Bona fide purchasers, see Purchasers for value under this topic
Bonds (public debt), see BONDS (PUBLIC DEBT)
Breach of warranty, liability, Minn. Statutes 2004 336.8-306
Broker-dealers, see BROKERS (SECURITIES)
Brokers, see BROKERS (SECURITIES)
Bucket shops, Minn. Statutes 2004 609.75
Burden of proof
Certificated securities, signatures, Minn. Statutes 2004 336.8-114
Violations and penalties, Minn. Statutes 2004 80A.23
Burglary, Minn. Statutes 2004 609.582
Business corporations, see Securities under BUSINESS CORPORATIONS
Calls
Registered owners, liability, Minn. Statutes 2004 336.8-207
Revocation, Minn. Statutes 2004 336.8-203
Canadian securities
Exemption from registration, Minn. Statutes 2004 80A.15
Cancellation
Material change, interpretation of law, Minn. Statutes 2004 336.8-202
Certificated securities
Creditors' legal process, Minn. Statutes 2004 336.8-112
Defined, Minn. Statutes 2004 336.8-102
Delivery to purchasers, Minn. Statutes 2004 336.8-301
Evidence, rules, Minn. Statutes 2004 336.8-114
Housing Finance Agency bonds or notes, Minn. Statutes 2004 462A.08
Issuers' liens, Minn. Statutes 2004 336.8-209
Lack of genuineness, defense, Minn. Statutes 2004 336.8-202
Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2004 336.8-405
Persons acting as issuers, duties to certificate holders or owners, Minn. Statutes 2004 336.8-407
Protected purchasers, control, Minn. Statutes 2004 336.8-301
Purchasers, Minn. Statutes 2004 336.8-105, 336.8-106
Secured transactions, control by secured party, Minn. Statutes 2004 336.9-106
Security interests, perfection and priority, Minn. Statutes 2004 336.9-312
Signatures, Minn. Statutes 2004 336.8-205
Terms, Minn. Statutes 2004 336.8-202, 336.8-204, 336.8-209
Transfer warranties, Minn. Statutes 2004 336.8-108, 336.8-109
Certificates of indebtedness, see CERTIFICATES OF INDEBTEDNESS
Checks, see CHECKS
Claims
Adverse claims, see same under this topic
Claims of beneficial interest, defined, Minn. Statutes 2004 520.21
Clearing corporations
Creditors' claims, priority, Minn. Statutes 2004 336.8-511
Definitions, Minn. Statutes 2004 60A.11, 302.021, 336.8-102
Insurance companies, Minn. Statutes 2004 60A.10, 60A.11
Options, defined as financial assets, Minn. Statutes 2004 336.8-103
Rules, conflict of laws, effectiveness, Minn. Statutes 2004 336.8-111
Securities intermediaries, duties as, exemption, Minn. Statutes 2004 336.8-504
Commercial Code-investment securities
Citation, Minn. Statutes 2004 336.8-101
Definitions, Minn. Statutes 2004 336.8-102
Effective date of act, Minn. Statutes 2004 336.8-601
Generally, Minn. Statutes 2004 336.8-101 to 336.8-603
Repealers, Minn. Statutes 2004 336.8-602
Savings clause, Minn. Statutes 2004 336.8-603
Commercially reasonable practices
Securities intermediaries, Minn. Statutes 2004 336.8-504 to 336.8-509
Communicate, defined, Minn. Statutes 2004 336.8-102
Concealing criminal proceeds, Minn. Statutes 2004 609.496
Conflict of laws
Bank deposits and collections, Minn. Statutes 2004 336.4-102
Clearing corporation rules, effectiveness, Minn. Statutes 2004 336.8-111
Issuer's jurisdiction, local laws to govern, Minn. Statutes 2004 336.8-110
Negotiable instruments, Minn. Statutes 2004 336.3-102
Prevailing law, generally, Minn. Statutes 2004 336.1-301, 336.8-110
Securities intermediary's jurisdiction, local laws to govern, Minn. Statutes 2004 336.8-110
Security certificates, governing law, Minn. Statutes 2004 336.8-103
Contracts for sale
Bet, exemption, Minn. Statutes 2004 609.75
Cancellation, Minn. Statutes 2004 336.8-202
Cancellation due to material change, interpretation of law, Minn. Statutes 2004 336.8-202
Enforcement, statute of frauds inapplicable, Minn. Statutes 2004 336.8-113
Futures contracts, counties, Minn. Statutes 2004 118A.07
Contracts of purchase, bet, exemption, Minn. Statutes 2004 609.75
Cooperative associations
Distributions, forms of, Minn. Statutes 2004 308A.705
Corporate bonds, see under CORPORATIONS
Corporate takeovers, see Equity securities under CORPORATE TAKEOVERS
Corporations, registration, see Registration under this topic
Counterfeiting, evidence, signatures, Minn. Statutes 2004 634.01
Coupons (commercial paper), see COUPONS (COMMERCIAL PAPER)
Creditors
Claims, priority, Minn. Statutes 2004 336.8-511
Remedies, Minn. Statutes 2004 336.8-112
Custodians of funds, prohibited activities, Minn. Statutes 2004 80A.02
Damages
Civil liability, Minn. Statutes 2004 80A.23
Wrongful transfers, Minn. Statutes 2004 336.8-507
Debentures, see DEBENTURES
Defects
Constitutional violations, effect, Minn. Statutes 2004 336.8-202
Notice, Minn. Statutes 2004 336.8-202, 336.8-203
Defenses
Certificated securities, validity, Minn. Statutes 2004 336.8-114
Genuineness, Minn. Statutes 2004 336.8-202
Guarantors defined as issuers, Minn. Statutes 2004 336.8-201
Purchasers of security entitlements, Minn. Statutes 2004 336.8-510
Staleness as notice, Minn. Statutes 2004 336.8-203
Wrongful registration, Minn. Statutes 2004 336.8-404, 336.8-406
Definitions
Commercial Code, Minn. Statutes 2004 336.5-102, 336.8-102
Generally, Minn. Statutes 2004 80A.14
Income and franchise taxes, Minn. Statutes 2004 290.191
Insurance companies, Minn. Statutes 2004 60A.10
Insurance law, Minn. Statutes 2004 60A.11
Public utilities, Minn. Statutes 2004 216B.49
Uniform Act for the Simplification of Fiduciary Security Transfers, Minn. Statutes 2004 520.21
Uniform Probate Code, Minn. Statutes 2004 524.1-201, 524.6-301
Delivery
Defined, Minn. Statutes 2004 336.1-201
Securities intermediaries, duties, Minn. Statutes 2004 336.8-301
When delivery occurs, Minn. Statutes 2004 336.8-301, 336.8-304
Deposits
Application of law, Uniform Fiduciaries Act, Minn. Statutes 2004 520.32
Banks with trust powers, court-ordered deposits, Minn. Statutes 2004 48A.07
Central depositories, Minn. Statutes 2004 520.32
Federal reserve banks, Minn. Statutes 2004 520.33
Fiduciaries, duties, Minn. Statutes 2004 520.32, 520.33
Trust companies, court-ordered deposits, Minn. Statutes 2004 48A.07
Destroyed instruments, Minn. Statutes 2004 336.8-405, 336.8-406
Documentary draft, defined, Minn. Statutes 2004 336.4-104
Documents, securities defined as, Minn. Statutes 2004 336.5-102
Drafts (financial), see DRAFTS (FINANCIAL)
Due care standards
Securities intermediaries, Minn. Statutes 2004 336.8-504 to 336.8-509
Eligible security, defined, Minn. Statutes 2004 462A.03
Endorsements
Adverse claims, notice, Minn. Statutes 2004 336.8-105
Appropriate persons, duties, Minn. Statutes 2004 336.8-107
Assurance of genuineness, Minn. Statutes 2004 336.8-401
Blank endorsements, Minn. Statutes 2004 336.8-304
For collection endorsement, Minn. Statutes 2004 336.8-105
Defined, Minn. Statutes 2004 336.8-102
Effectiveness, determination, Minn. Statutes 2004 336.8-107
Endorsees, obligations, Minn. Statutes 2004 336.8-304
Partial endorsements, Minn. Statutes 2004 336.8-304
Representatives, duties, effectiveness, Minn. Statutes 2004 336.8-107
Special endorsements, Minn. Statutes 2004 336.8-304
For surrender endorsement, Minn. Statutes 2004 336.8-105
Warranties, Minn. Statutes 2004 336.8-108, 336.8-306
Wrongful registration, defenses, Minn. Statutes 2004 336.8-404
Entitlement holders
Adverse claims, Minn. Statutes 2004 336.8-502, 336.8-510
Control agreements, Minn. Statutes 2004 336.8-106
Defined, Minn. Statutes 2004 336.8-102
Jurisdiction agreements, Minn. Statutes 2004 336.8-110
Property interest in financial assets held by securities intermediaries, Minn. Statutes 2004 336.8-503, 336.8-505, 336.8-506, 336.8-511
Rights and duties, application of law, Minn. Statutes 2004 336.8-110
Entitlement orders
Appropriate persons, defined, Minn. Statutes 2004 336.8-107
Defined, Minn. Statutes 2004 336.8-102
Effectiveness, determination, Minn. Statutes 2004 336.8-107
Originators, warranties, Minn. Statutes 2004 336.8-109
Representatives, duties, effectiveness, Minn. Statutes 2004 336.8-107
Securities intermediaries, compliance requirements, Minn. Statutes 2004 336.8-507
Equity securities, defined, Minn. Statutes 2004 80B.01
Evidence
Certificated securities, rules, Minn. Statutes 2004 336.8-114
Fiduciaries, appointment or incumbency, Minn. Statutes 2004 336.8-402
Exercise of rights
Trustees, enumerated powers of trustees, Minn. Statutes 2004 501B.81
Federal covered advisers, licenses, Minn. Statutes 2004 80A.04, 80A.05
Federal covered securities
Commerce Department, duties, Minn. Statutes 2004 80A.122
Defined as permissible investments, Minn. Statutes 2004 53B.03
Definitions, Minn. Statutes 2004 80A.14
Fees and expenses, Minn. Statutes 2004 80A.28
Registration, see same under this topic
Sales and advertising literature, filing requirements, exemption, Minn. Statutes 2004 80A.16
Federal registration statement, Minn. Statutes 2004 80A.10
Federal securities, limitations, Minn. Statutes 2004 48.16
Federally insured security, defined, Minn. Statutes 2004 462A.03
Fees and expenses
Generally, Minn. Statutes 2004 80A.28
Registration statements, filing fees, failure to pay, Minn. Statutes 2004 80A.13
Fiduciaries
Appointment or incumbency, evidence, Minn. Statutes 2004 336.8-402
Assignments by fiduciaries, duties regarding, Minn. Statutes 2004 520.23, 520.24
Defined, Minn. Statutes 2004 520.21
Endorsements or instructions, Minn. Statutes 2004 336.8-402
Registration by or in name of fiduciaries, Minn. Statutes 2004 520.22
Securities deposited in central depository, duties, Minn. Statutes 2004 520.32
Securities deposited in federal reserve banks, duties, Minn. Statutes 2004 520.33
Transfer agents, see same under this topic
Transfers, see same under this topic
Filing
Generally, Minn. Statutes 2004 80A.26
Misleading filings, Minn. Statutes 2004 80A.17
Sales and advertising literature, Minn. Statutes 2004 80A.15, 80A.16
Financial assets
Acquisition, means, Minn. Statutes 2004 336.8-104
Defined, Minn. Statutes 2004 336.8-102
Determination rules, Minn. Statutes 2004 336.8-103
Entitlement holders, see same under this topic
Holders, rights, Minn. Statutes 2004 336.8-501
Limited liability companies, determination rules, Minn. Statutes 2004 336.8-103
Partnerships, determination rules, Minn. Statutes 2004 336.8-103
Securities intermediaries, see same under this topic
Security entitlements, see same under this topic
Security interests, grants by securities intermediaries, Minn. Statutes 2004 336.8-504
Financial assurances
Radioactive materials licenses, Minn. Statutes 2004 144.1204
Fines, Commerce Department, imposing, Minn. Statutes 2004 45.027
Foreign corporations
Business transactions, exceptions, Minn. Statutes 2004 303.03
Forgery, evidence, Minn. Statutes 2004 634.01
Forms
Commerce Department duties, Minn. Statutes 2004 80A.25
Form U-7, small corporate offerings, Minn. Statutes 2004 80A.115
Fraud
Alterations, effect, Minn. Statutes 2004 336.8-206
Misleading filings, Minn. Statutes 2004 80A.17
Revocation of license, Minn. Statutes 2004 80A.07
U.S. post office fraud order, Minn. Statutes 2004 80A.07
Gambling debts, security void, Minn. Statutes 2004 541.21
Genuine
Defenses, Minn. Statutes 2004 336.8-202
Endorsements or instructions, assurances, Minn. Statutes 2004 336.8-401, 336.8-402
Signatures, Minn. Statutes 2004 336.8-208, 336.8-306
Goods, exclusions, Commercial Code, Minn. Statutes 2004 336.2-105
Government agencies
Application of law, Minn. Statutes 2004 336.8-202
Government securities
Financial assurances, radioactive materials licenses, Minn. Statutes 2004 144.1204
Workers' compensation self-insurance, Minn. Statutes 2004 79A.04
Guarantee of signature
Defined, Minn. Statutes 2004 336.8-402
Guarantors, liability, Minn. Statutes 2004 336.8-306
Signatures of endorsers or originators of instructions, warranties, Minn. Statutes 2004 336.8-306, 336.8-402
Hearings, Commerce Department, duties, Minn. Statutes 2004 80A.24
Holders, blank endorsements
Conversion to special endorsements, Minn. Statutes 2004 336.8-304
Housing Finance Agency bonds or notes, see Housing Finance Agency under BONDS (PUBLIC DEBT)
Indemnity bonds
Lost, destroyed, or wrongfully taken instruments, claimant's bond, Minn. Statutes 2004 336.8-405
Registration of transfer, Minn. Statutes 2004 336.8-403
Injunctions
Commerce Department, issuing by, Minn. Statutes 2004 45.027
Creditors' legal process, Minn. Statutes 2004 336.8-112
Registration of transfer, Minn. Statutes 2004 336.8-403
Instructions
Appropriate persons, defined, Minn. Statutes 2004 336.8-107
Assurance of genuineness, Minn. Statutes 2004 336.8-401, 336.8-402
Defined, Minn. Statutes 2004 336.8-102
Effectiveness, determination, Minn. Statutes 2004 336.8-107
Incomplete instructions, Minn. Statutes 2004 336.8-305
Originator of instructions, Minn. Statutes 2004 336.8-305, 336.8-306
Registered owners, rights, Minn. Statutes 2004 336.8-207
Representatives, duties, effectiveness, Minn. Statutes 2004 336.8-107
Signature guarantors, warranties, Minn. Statutes 2004 336.8-306
Uncertificated securities, registration of transfer warranties, Minn. Statutes 2004 336.8-108
Wrongful registration, defenses, Minn. Statutes 2004 336.8-404
Insurance
Authority to issue, generally, Minn. Statutes 2004 60A.06
Minnesota standard fire insurance policy, exclusion, Minn. Statutes 2004 65A.01
Policies, exemption, readability law, Minn. Statutes 2004 72C.03
Interest in
Acquisition, means, Minn. Statutes 2004 336.8-104
Ownership of interest, income and franchise taxes, exceptions, Minn. Statutes 2004 290.015
Protected purchasers, acquisition free of adverse claims, Minn. Statutes 2004 336.8-303
Interest rates, advertising, Minn. Statutes 2004 45.025
Interpretation of law
Calls or assessments, registered owners' liability, Minn. Statutes 2004 336.8-207
Characterization of persons, businesses, or transactions, Minn. Statutes 2004 336.8-102
Contracts, cancellation due to material changes, Minn. Statutes 2004 336.8-202
Cooperative associations, exemption from registration, Minn. Statutes 2004 80A.15
Legislative intent, Minn. Statutes 2004 80A.31
Interpretive opinions
Commerce Department, duties, Minn. Statutes 2004 80A.26
Investigations, Commerce Department, Minn. Statutes 2004 45.027
Investment advisers, see under BROKERS (SECURITIES)
Investment Board
Access, Minn. Statutes 2004 11A.10
Authorized investments, Minn. Statutes 2004 11A.04, 11A.24
Investment company securities, defined, Minn. Statutes 2004 336.8-103
Investments in
Banks, Minn. Statutes 2004 48.39
Cemetery permanent care and improvement funds, Minn. Statutes 2004 306.38, 306.44, 306.79
County cemetery funds, Minn. Statutes 2004 306.48
Health maintenance organizations, Minn. Statutes 2004 61A.28
Higher Education Services Office, student loan account funds, Minn. Statutes 2004 136A.16
Highway user tax investment fund, Minn. Statutes 2004 161.081
Institutional funds, Minn. Statutes 2004 309.65
Insurance companies
Generally, Minn. Statutes 2004 60A.11
Investments of Insurers Act, Minn. Statutes 2004 60L.07, 60L.08, 60L.09
Life insurance companies, Minn. Statutes 2004 60L.02, 61A.28
Subsidiaries, Minn. Statutes 2004 60D.16
Investment Board, Minn. Statutes 2004 11A.24
Metropolitan Airports Commission, Minn. Statutes 2004 473.606
Nonprofit health service plan corporations, Minn. Statutes 2004 61A.28
Public funds (local), Minn. Statutes 2004 118A.04
Public retirement plans, Minn. Statutes 2004 356A.06
Reinsurance intermediary-brokers (RBs), fiduciary funds, Minn. Statutes 2004 60A.715
State airports fund, Minn. Statutes 2004 360.017
Trunk highway fund, Minn. Statutes 2004 161.04
Trusts, Minn. Statutes 2004 501B.81
Workers' compensation commercial self-insurance common claims funds, Minn. Statutes 2004 79A.22
Issuance
Generally, Minn. Statutes 2004 336.8-201 to 336.8-210
Lost, destroyed, or wrongfully taken instruments, new certificates, Minn. Statutes 2004 336.8-405, 336.8-406
Not establishment of a security entitlement, Minn. Statutes 2004 336.8-501
Overissue, Minn. Statutes 2004 336.8-210, 336.8-404, 336.8-405
Issuers
Application of law, Minn. Statutes 2004 336.8-202
Control agreements, Minn. Statutes 2004 336.8-106
Defenses, Minn. Statutes 2004 336.8-202
Defined, Minn. Statutes 2004 336.8-201
Demand to not register transfer, duties, Minn. Statutes 2004 336.8-403
Employees, unauthorized signatures, Minn. Statutes 2004 336.8-205
Endorsements and instructions, assurance, Minn. Statutes 2004 336.8-402
Generally, Minn. Statutes 2004 336.8-201 to 336.8-210
Indemnity bonds, Minn. Statutes 2004 336.8-403, 336.8-405
Jurisdiction, Minn. Statutes 2004 336.8-110
Liability, Minn. Statutes 2004 80A.23, 336.8-401, 336.8-404
Liens, validity, Minn. Statutes 2004 336.8-209
Notice received, lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2004 336.8-405, 336.8-406
Overissue, Minn. Statutes 2004 336.8-210, 336.8-404, 336.8-405
Payments or distributions by, securities intermediaries, liability, Minn. Statutes 2004 336.8-505
Persons acting as, duties to certificate holders or owners, Minn. Statutes 2004 336.8-407
Registration of transfer, Minn. Statutes 2004 336.8-110, 336.8-401
Restrictions on transfer, effect, Minn. Statutes 2004 336.8-204, 336.8-401
Rights regarding registered owners, Minn. Statutes 2004 336.8-207
Small corporate offerings, Minn. Statutes 2004 80A.115
Wrongful registration, liability, Minn. Statutes 2004 336.8-404
Liability
Assessments, Minn. Statutes 2004 336.8-207
Breach of warranty, Minn. Statutes 2004 336.8-306
Calls, Minn. Statutes 2004 336.8-207
Damages, Minn. Statutes 2004 80A.23
Guarantors, Minn. Statutes 2004 336.8-306
Issuers, Minn. Statutes 2004 80A.23
Payments or distributions made by issuers, Minn. Statutes 2004 336.8-505
Registration of transfer, Minn. Statutes 2004 336.8-401, 336.8-403
State, securities issued by, Minn. Statutes 2004 3.736
Wrongful registration, Minn. Statutes 2004 336.8-404
Wrongful transfers, Minn. Statutes 2004 336.8-504, 336.8-507
Licenses
Agents, see same under this topic
Broker, see BROKERS (SECURITIES)
Investment advisers, see under BROKERS (SECURITIES)
Liens, issuers' liens, validity, Minn. Statutes 2004 336.8-209
Limited interest, purchasers, Minn. Statutes 2004 336.8-302
Limited liability companies
Foreign limited liability companies, Minn. Statutes 2004 322B.945
Membership interests converted to, mergers, Minn. Statutes 2004 322B.71
Membership interests defined as securities, Minn. Statutes 2004 336.8-103
Membership interests exchanged for, exchanges, Minn. Statutes 2004 322B.71
Right to purchase, company powers, generally, Minn. Statutes 2004 322B.20
Trading, company powers, Minn. Statutes 2004 322B.20
Liquor warehouse receipts
Sale deemed sale of securities, Minn. Statutes 2004 80A.29
Loans of, life insurance companies, Minn. Statutes 2004 61A.282
Lost, destroyed, or wrongfully taken instruments
Indemnity bonds, Minn. Statutes 2004 336.8-405
New certificates, issuance, Minn. Statutes 2004 336.8-405, 336.8-406
Notice requirements, Minn. Statutes 2004 336.8-405, 336.8-406
Registration of transfer, Minn. Statutes 2004 336.8-405
Mining corporations
Fraudulent issuance or sale, Minn. Statutes 2004 300.65
Misleading filings, Minn. Statutes 2004 80A.17
Money market instruments
Income and franchise taxes, property and receipts factors, Minn. Statutes 2004 290.191
Money orders, see MONEY ORDERS
Municipal securities
Investment Board, purchasing, Minn. Statutes 2004 11A.04
Negotiable instruments, see NEGOTIABLE INSTRUMENTS
Nonprofit corporations, Minn. Statutes 2004 317A.161
Nonrecourse loans, exemptions, Minn. Statutes 2004 80A.125
Notice requirements
Adverse claims, fiduciary security transfers, Minn. Statutes 2004 520.25
Defects, Minn. Statutes 2004 336.8-202, 336.8-203
Defenses, Minn. Statutes 2004 336.8-202, 336.8-203
Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2004 336.8-405, 336.8-406
Staleness, Minn. Statutes 2004 336.8-203
Obligations and interests
Guarantors defined as issuers, Minn. Statutes 2004 336.8-201
Indebtedness, obligation to pay, Minn. Statutes 2004 3.736
Securities or financial assets, determination rules, Minn. Statutes 2004 336.8-103
Oil or gas lands, registration of, Minn. Statutes 2004 80A.30
Orders
Denying applications, Minn. Statutes 2004 80A.07
Financial statements, form, Minn. Statutes 2004 80A.25
Revoking licenses, Minn. Statutes 2004 80A.07
Stop orders, registration statements, Minn. Statutes 2004 80A.10, 80A.13
Overissue
Application of law, Minn. Statutes 2004 336.8-210, 336.8-404
Defined, Minn. Statutes 2004 336.8-210
Identical securities in lieu of, Minn. Statutes 2004 336.8-210, 336.8-404
Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2004 336.8-405
Recovery, Minn. Statutes 2004 336.8-210
Wrongful registration, defenses, Minn. Statutes 2004 336.8-404
Owners, registered, Minn. Statutes 2004 336.8-207, 336.8-405, 336.8-406
Ownership of interest, Minn. Statutes 2004 290.015, 336.8-104, 336.8-303
Partial endorsements, separate transfers, Minn. Statutes 2004 336.8-304
Partnerships
Interest in partnership defined as securities, Minn. Statutes 2004 336.8-103
Petroleum products distributors, Minn. Statutes 2004 296A.03
Pledges, State Lottery, Minn. Statutes 2004 349A.06, 349A.07
Presumptions
Certificated securities, signatures, Minn. Statutes 2004 336.8-114
Prior transactions, validation, Minn. Statutes 2004 336.10-102
Probate, Minn. Statutes 2004 524.1-201, 524.6-302 to 524.6-311
Protected purchasers
Acquisition of interest free of adverse claims, Minn. Statutes 2004 336.8-303
Defined, Minn. Statutes 2004 336.8-303
Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2004 336.8-405
Rights, Minn. Statutes 2004 336.8-303
Security certificates in registered form, endorsement, Minn. Statutes 2004 336.8-304
Public securities, defined as personal property, Minn. Statutes 2004 272.03
Purchasers
Adverse claims, Minn. Statutes 2004 336.8-503, 336.8-510
Certificated securities, control, Minn. Statutes 2004 336.8-106
Control agreements, Minn. Statutes 2004 336.8-106
Limited interest, Minn. Statutes 2004 336.8-302
Protected purchasers, Minn. Statutes 2004 336.8-303, 336.8-304, 336.8-405
Purchasers for value, see same under this topic
Rejection or rescission of transfer, Minn. Statutes 2004 336.8-307
Rights acquired, Minn. Statutes 2004 336.8-302
Security entitlements, control, Minn. Statutes 2004 336.8-106
Uncertificated securities, control, Minn. Statutes 2004 336.8-106
Purchasers for value
Blanks incorrectly filled, enforcement, Minn. Statutes 2004 336.8-206
Issuers' defenses, Minn. Statutes 2004 336.8-202
Issuers' liens, validity, Minn. Statutes 2004 336.8-209
Securities intermediaries deemed as, Minn. Statutes 2004 336.8-116
Unauthorized signatures, Minn. Statutes 2004 336.8-205
Purchases
Rescission, action for, Minn. Statutes 2004 80A.23
Securities regulation, unlawful activities, Minn. Statutes 2004 80A.01
Without intent to control, racketeering, exemption, Minn. Statutes 2004 609.903
Receipts from disposition, definitions
Uniform Principal and Income Act, Minn. Statutes 2004 501B.61, 501B.64
Registered form
Defined, Minn. Statutes 2004 336.8-102
Protected purchasers, endorsement, Minn. Statutes 2004 336.8-304
Purchasers, control, Minn. Statutes 2004 336.8-106
Registered owners
Calls or assessments, liability, interpretation of law, Minn. Statutes 2004 336.8-207
Notice given, lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2004 336.8-405, 336.8-406
Rights, Minn. Statutes 2004 336.8-207
Registration
Coordinated registration, Minn. Statutes 2004 80A.12
Exemptions, Minn. Statutes 2004 80A.15
Federal covered securities, Minn. Statutes 2004 80A.08, 80A.122
Generally, Minn. Statutes 2004 80A.08
Small corporate offerings, Minn. Statutes 2004 80A.115
Statements, see Registration statements under this topic
Registration of transfer
Appropriate persons, duties, Minn. Statutes 2004 336.8-401
Authenticating trustees, duties, Minn. Statutes 2004 336.8-407
Business trusts, Minn. Statutes 2004 318.03
Conditions for, Minn. Statutes 2004 336.8-401
Definitions, Minn. Statutes 2004 336.8-402
Demand that issuer not register transfer, Minn. Statutes 2004 336.8-403
Effectiveness, application of law, Minn. Statutes 2004 336.8-110
Endorsements or instructions, assurance, Minn. Statutes 2004 336.8-402
Exemptions, Minn. Statutes 2004 80A.15
Fees and expenses, Minn. Statutes 2004 80A.28
Issuers, Minn. Statutes 2004 336.8-201, 336.8-401, 336.8-403
Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2004 336.8-405, 336.8-406
Oil and gas lands, Minn. Statutes 2004 80A.30
Proof of authority to transfer, Minn. Statutes 2004 336.8-307
Registered owners, rights, Minn. Statutes 2004 336.8-207
Registrars, duties, Minn. Statutes 2004 336.8-407
Requirement of registration before sale, Minn. Statutes 2004 80A.08
Statements, see Registration statements under this topic
Transfer agents, duties, Minn. Statutes 2004 336.8-407
Unlawful representations, Minn. Statutes 2004 80A.18
Warranties, Minn. Statutes 2004 336.8-108
Wrongful registration, liability, Minn. Statutes 2004 336.8-404
Registration statements
Amendments, Minn. Statutes 2004 80A.12
Consent to service of process, Minn. Statutes 2004 80A.09, 80A.27
Denial, suspension, revocation of registration reasons for, Minn. Statutes 2004 80A.13
Effective date, Minn. Statutes 2004 80A.09, 80A.12
Escrow, conditions, Minn. Statutes 2004 80A.12
Exemptions, generally, Minn. Statutes 2004 80A.15
Fees and expenses, Minn. Statutes 2004 80A.13, 80A.28
Incorporation by reference, Minn. Statutes 2004 80A.12
Misleading filings, Minn. Statutes 2004 80A.17
Omissions permitted by order, Minn. Statutes 2004 80A.12
Qualification, form of subscription or contract, Minn. Statutes 2004 80A.12
Registration by coordination, Minn. Statutes 2004 80A.10
Registration by notification, Minn. Statutes 2004 80A.09
Registration by qualification, Minn. Statutes 2004 80A.10, 80A.11
Reports to Commerce Department, Minn. Statutes 2004 80A.12
Requirements, Minn. Statutes 2004 80A.12
Termination of effectiveness, Minn. Statutes 2004 80A.12
Unlawful representations concerning, Minn. Statutes 2004 80A.18
Reinsurance, reduction of liability, Minn. Statutes 2004 60A.093
Rulemaking about, Minn. Statutes 2004 80A.16, 80A.25
Rural Finance Authority, bonds, Minn. Statutes 2004 41C.07, 41C.10
Sales
Banks with trust powers, guarantees, Minn. Statutes 2004 48A.08
Defined, Minn. Statutes 2004 80A.14
Number per year, limitations, Minn. Statutes 2004 80A.15
Real estate brokers and agents, Minn. Statutes 2004 82.41
Real estate licensure, exemption, Minn. Statutes 2004 82.23
Securities regulation, unlawful activities, Minn. Statutes 2004 80A.01
Tax judgment sales, Minn. Statutes 2004 270.701
Trust companies, guarantees, Minn. Statutes 2004 48A.08
Sales and advertising literature
Filing requirements, Minn. Statutes 2004 80A.15, 80A.16
Secured parties
Creditors' legal process, Minn. Statutes 2004 336.8-112
Security certificates, redelivery warranties, Minn. Statutes 2004 336.8-108
Securities accounts
Defined, Minn. Statutes 2004 336.8-501
Secured transactions, Minn. Statutes 2004 336.9-106, 336.9-108, 336.9-203
Transfers to, Minn. Statutes 2004 336.8-508
Securities and exchange commission
Orders revoking registration or license, Minn. Statutes 2004 80A.07, 80A.13
Securities intermediaries
Adverse claims, Minn. Statutes 2004 336.8-115, 336.8-510
Commercially reasonable practices, Minn. Statutes 2004 336.8-504 to 336.8-509
Control agreements, Minn. Statutes 2004 336.8-106
Creditors' claims, priority, Minn. Statutes 2004 336.8-511
Deemed purchasers for value, Minn. Statutes 2004 336.8-116
Defined, Minn. Statutes 2004 336.8-102
Delivery of securities, duties, Minn. Statutes 2004 336.8-301
Due care standards, Minn. Statutes 2004 336.8-504 to 336.8-509
Entitlement orders, compliance, Minn. Statutes 2004 336.8-507
Issuers' defenses, Minn. Statutes 2004 336.8-202
Jurisdiction, Minn. Statutes 2004 336.8-110
Liability, Minn. Statutes 2004 336.8-115, 336.8-505, 336.8-507
Property held for entitlement holders
Application of other laws, compliance, Minn. Statutes 2004 336.8-509
Changing to other forms of security holding, Minn. Statutes 2004 336.8-508
Claims against, priority, Minn. Statutes 2004 336.8-511
Duties, Minn. Statutes 2004 336.8-504
Entitlement holders' rights, exercising, Minn. Statutes 2004 336.8-506
Obligation to perform duties, Minn. Statutes 2004 336.8-509
Rights and claims, exemption, Minn. Statutes 2004 336.8-503
Rights and duties, application of law, Minn. Statutes 2004 336.8-110
Security certificates, warranties, Minn. Statutes 2004 336.8-109
Security entitlements, Minn. Statutes 2004 336.8-106, 336.8-501
Security certificates
Alteration, Minn. Statutes 2004 336.8-206
Bearer form, Minn. Statutes 2004 336.8-102, 336.8-106, 336.8-304
Conflict of laws, governing law, Minn. Statutes 2004 336.8-103
Defined, Minn. Statutes 2004 336.8-102
Endorsement warranties, Minn. Statutes 2004 336.8-108, 336.8-306
Partial endorsements, separate transfers, Minn. Statutes 2004 336.8-304
Persons acting as issuers, duties to certificate holders or owners, Minn. Statutes 2004 336.8-407
Registered form, Minn. Statutes 2004 336.8-102, 336.8-106, 336.8-304
Secured parties, warranties, Minn. Statutes 2004 336.8-108
Securities intermediaries, warranties, Minn. Statutes 2004 336.8-109
Signatures, Minn. Statutes 2004 336.8-208
Unauthorized signatures, Minn. Statutes 2004 336.8-205
Security entitlements
Acquisition, Minn. Statutes 2004 336.8-104, 336.8-110, 336.8-501
Control by secured party, Minn. Statutes 2004 336.9-106
Creditors' legal process, Minn. Statutes 2004 336.8-112
Defined, Minn. Statutes 2004 336.8-102
Descriptions of property, sufficiency, Minn. Statutes 2004 336.9-108
Generally, Minn. Statutes 2004 336.8-501 to 336.8-511
Perfection of interest, Minn. Statutes 2004 336.8-510
Purchasers, Minn. Statutes 2004 336.8-106, 336.8-510
Securities intermediaries, Minn. Statutes 2004 336.8-106, 336.8-501
Security interests, Minn. Statutes 2004 336.9-203
Security interests
Creditors' claims, priority, Minn. Statutes 2004 336.8-511
Holders' or purchasers' rights, priority, Minn. Statutes 2004 336.9-331
Perfection, Minn. Statutes 2004 336.8-510, 336.8-603
Securities intermediaries, grants by, Minn. Statutes 2004 336.8-504
Uncertificated securities, see same under this topic
Securityholder, defined, Minn. Statutes 2004 60D.15
Service of process
Power to bring, Commerce Department, Minn. Statutes 2004 45.028
Signatures
Certificated securities, rules of evidence, Minn. Statutes 2004 336.8-114
Effect, generally, Minn. Statutes 2004 336.8-208
Endorsers, Minn. Statutes 2004 336.8-306, 336.8-402
Guarantee of signature, Minn. Statutes 2004 336.8-306, 336.8-402
Originators of instructions, Minn. Statutes 2004 336.8-306, 336.8-402
Unauthorized signatures, effect, Minn. Statutes 2004 336.8-205
Warranties, Minn. Statutes 2004 336.8-208, 336.8-306
Small corporate offerings, Minn. Statutes 2004 80A.115
Special endorsements, Minn. Statutes 2004 336.8-304
Staleness, notice of defect or defense, Minn. Statutes 2004 336.8-203
State government securities
Issuance and sale, liability limits, Minn. Statutes 2004 3.736
Public funds (local), collateral in lieu of surety bonds, Minn. Statutes 2004 118A.03
Statute of frauds
Contract enforcement, inapplicable, Minn. Statutes 2004 336.8-113
Stocks, see STOCKS
Subdivided lands
Subdivided land sales law, exemption, Minn. Statutes 2004 83.25, 83.26
Tax judgment sales, Minn. Statutes 2004 270.701, 270.705
Tax-exempt securities
Intermediate School District 287 (Hennepin County), bonds, Minn. Statutes 2004 136D.281
Intermediate School District 916 (Northeast Metro), bonds, Minn. Statutes 2004 136D.741
Intermediate School District 917 (Dakota County), bonds, Minn. Statutes 2004 136D.88
Taxes, laws, compliance, Minn. Statutes 2004 336.8-401
Taxpayers
Confiscation of property for taxes, release, Minn. Statutes 2004 270.70
Terms
Alteration, enforcement, Minn. Statutes 2004 336.8-206
Blanks, filling, Minn. Statutes 2004 336.8-206
Cancellation, material change, interpretation of law, Minn. Statutes 2004 336.8-202
Issuers' liens, Minn. Statutes 2004 336.8-209
Requirements, generally, Minn. Statutes 2004 336.8-202
Transfer restrictions, notice, Minn. Statutes 2004 336.8-204
Theft, registration of transfer, Minn. Statutes 2004 336.8-405
Township mutual companies
Overnight repurchase agreements, collateral, Minn. Statutes 2004 67A.231
Transactions
Home solicitation sales, exemption, Minn. Statutes 2004 325G.06
Plain Language Contract Act, exemption, Minn. Statutes 2004 325G.30
Registration requirements, exemptions, Minn. Statutes 2004 80A.15
Transfer agents
Adverse claims, Minn. Statutes 2004 336.8-115, 520.25
Assignments by fiduciaries, duties, Minn. Statutes 2004 520.23, 520.24
Defined, Minn. Statutes 2004 520.21
Endorsements or instructions, assurance of authority to sign, Minn. Statutes 2004 336.8-402
Fiduciaries, see same under this topic
Nonliability, Minn. Statutes 2004 520.26
Registration of transfer, duties, Minn. Statutes 2004 336.8-407
Unauthorized signatures, Minn. Statutes 2004 336.8-205
Warranties, Minn. Statutes 2004 336.8-108, 336.8-208, 336.8-306
Transfer warranties, Minn. Statutes 2004 336.8-108, 336.8-109
Transfers
Adverse claims, Minn. Statutes 2004 520.25
Agents, see Transfer agents under this topic
Corporations, nonliability, Minn. Statutes 2004 520.26
Definitions, Uniform Act for the Simplification of Fiduciary Security Transfers, Minn. Statutes 2004 520.21
By endorsement, Minn. Statutes 2004 336.8-304
Fiduciaries, liability, Minn. Statutes 2004 520.02, 520.26, 520.27
Interpretation of law, Minn. Statutes 2004 520.30
Proof of authority to transfer, Minn. Statutes 2004 336.8-307
Registration of transfer, see same under this topic
Rejection or rescission, Minn. Statutes 2004 336.8-307
Restrictions by issuer, effect, Minn. Statutes 2004 336.8-204, 336.8-401
Rights acquired, Minn. Statutes 2004 336.8-302
Signature guarantors, warranties, Minn. Statutes 2004 336.8-306
Third parties, nonliability, Minn. Statutes 2004 520.27
Transfer agents, nonliability, Minn. Statutes 2004 520.26
Warranties, Minn. Statutes 2004 336.8-108, 336.8-109
Wrongful transfers, Minn. Statutes 2004 336.8-504, 336.8-507
Trustees, authenticating, Minn. Statutes 2004 336.8-205, 336.8-208, 336.8-407
Trusts
Power of alienation, suspension, application of law, Minn. Statutes 2004 501B.09
Uncertificated securities
Creditors' legal process, Minn. Statutes 2004 336.8-112
Definitions, Commercial Code, Minn. Statutes 2004 336.8-102
Delivery to purchasers, Minn. Statutes 2004 336.8-301
Housing Finance Agency bonds or notes, Minn. Statutes 2004 462A.08
Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2004 336.8-405
Persons acting as issuers, duties to certificate holders or owners, Minn. Statutes 2004 336.8-407
Protected purchasers, control, Minn. Statutes 2004 336.8-301
Purchasers, control, Minn. Statutes 2004 336.8-106
Registration of transfer warranties, Minn. Statutes 2004 336.8-108, 336.8-109
Secured transactions, control by secured party, Minn. Statutes 2004 336.9-106
Signature warranties, Minn. Statutes 2004 336.8-306
Terms, Minn. Statutes 2004 336.8-202, 336.8-204
Transfer warranties, Minn. Statutes 2004 336.8-108
Uniform Act for the Simplification of Fiduciary Security Transfers, Minn. Statutes 2004 520.21 to 520.31
Usury, see USURY
Validity
Certificated securities, defenses or defects, Minn. Statutes 2004 336.8-114
Local laws, application, Minn. Statutes 2004 336.8-110
Rules, Minn. Statutes 2004 336.8-202
Valuables, securities defined as, Minn. Statutes 2004 327.70
Violations and penalties
Advisory activities prohibited, Minn. Statutes 2004 80A.02
Breach of warranty, Minn. Statutes 2004 336.8-306
Business corporations, directors, liability, Minn. Statutes 2004 302A.251
Civil liability, Minn. Statutes 2004 80A.23, 82.43
Contract activities prohibited, Minn. Statutes 2004 80A.02
Custodians, prohibited activities, Minn. Statutes 2004 80A.02
Failure to provide notice of termination of effectiveness, Minn. Statutes 2004 80A.12
Felonies, generally, Minn. Statutes 2004 80A.22
Fraud and deceit, Minn. Statutes 2004 80A.01
Generally, Minn. Statutes 2004 45.027, 80A.01 to 80A.03
Limited liability companies, governors, liability, Minn. Statutes 2004 322B.663
Manipulative, deceptive, fraudulent devices or contrivances, Minn. Statutes 2004 80A.03
Principal transactions prohibited, Minn. Statutes 2004 80A.02
Referral to county attorney, Minn. Statutes 2004 80A.22
Sale of oil or gas lands, Minn. Statutes 2004 80A.29
Solicitation activities prohibited, Minn. Statutes 2004 80A.02
Wrongful registration, liability, Minn. Statutes 2004 336.8-404
Wrongful transfers, Minn. Statutes 2004 336.8-504, 336.8-507
Voided securities, gambling debts, Minn. Statutes 2004 541.21
Voting rights, registered owners, Minn. Statutes 2004 336.8-207
Voting securities
Defined, Minn. Statutes 2004 60D.15
Insurance holding companies, Minn. Statutes 2004 60D.15, 60L.02
Trustees, enumerated powers of trustees, Minn. Statutes 2004 501B.81
Warranties
Authenticating trustees, Minn. Statutes 2004 336.8-208
Breach of warranty, liability, Minn. Statutes 2004 336.8-306
Endorsements, Minn. Statutes 2004 336.8-108, 336.8-306, 336.8-402
Entitlement orders, Minn. Statutes 2004 336.8-109
Instructions, Minn. Statutes 2004 336.8-108, 336.8-306, 336.8-402
Registrars, Minn. Statutes 2004 336.8-208
Registration of transfer warranties, Minn. Statutes 2004 336.8-108, 336.8-109
Secured parties, Minn. Statutes 2004 336.8-108
Signatures of endorsers or originators of instructions, Minn. Statutes 2004 336.8-306, 336.8-402
Transfer agents, Minn. Statutes 2004 336.8-108, 336.8-208, 336.8-306
Transfer warranties, Minn. Statutes 2004 336.8-108, 336.8-109
Workers' compensation self-insurance, see Securities under WORKERS COMPENSATION SELF-INSURANCE
Worthless securities
Income and franchise taxes, refunds, Minn. Statutes 2004 289A.40
Wrongfully taken instruments, Minn. Statutes 2004 336.8-405, 336.8-406