Minnesota Legislature
Office of the Revisor of Statutes
Minnesota Administrative Rules
CHAPTER 2876, REGULATING SECURITIES
DEPARTMENT OF COMMERCE
| Part | Title |
|---|---|
| 2876.1000 | DEFINITIONS. |
| 2876.1020 | DEPOSITORY INSTITUTIONS. |
| 2876.1021 | REGULATION D. |
| 2876.1030 | EFFECTIVE DATE OF INCORPORATIONS BY REFERENCE. |
| 2876.2020 | RECOGNIZED MANUALS APPROVED BY COMMISSIONER. |
| 2876.2021 | SINGLE ISSUE; INTEGRATION. |
| 2876.3020 | FEDERAL COVERED SECURITIES; NOTICE FILINGS. |
| 2876.3021 | SMALL CORPORATE OFFERING REGISTRATION STATEMENT. |
| 2876.3040 | REGISTRATION STATEMENT; REQUIRED RECORDS. |
| 2876.3041 | SECURITIES NOT APPROVED. |
| 2876.3042 | PROSPECTUS DISTRIBUTION MAY BE REQUIRED. |
| 2876.3050 | MNVEST NOTICE FILING. |
| 2876.3051 | ESCROW AND IMPOUNDMENT. |
| 2876.3052 | RECORDS RETENTION REQUIREMENTS FOR MNVEST ISSUERS. |
| 2876.3053 | PORTAL OPERATOR REGISTRATION. |
| 2876.3054 | REPORTING REQUIREMENTS. |
| 2876.3055 | PROTECTION OF PURCHASER INFORMATION. |
| 2876.3056 | LIMITS ON AVAILABILITY. |
| 2876.3057 | RESTRICTIONS ON RESALE. |
| 2876.3058 | INVESTOR RIGHT OF CANCELLATION. |
| 2876.3059 | ANTIFRAUD PROVISION. |
| 2876.3060 | RESTRICTIONS ON USE OF THE TERM "MNVEST." |
| 2876.4020 | AGENTS REPRESENTING ISSUERS AS FINDERS. |
| 2876.4021 | DIRECT COMMON CONTROL. |
| 2876.4050 | NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED INVESTMENT ADVISERS. |
| 2876.4060 | ELECTRONIC FILING WITH DESIGNATED ENTITY. |
| 2876.4061 | APPLICATION FOR INVESTMENT ADVISER REGISTRATION. |
| 2876.4062 | APPLICATION FOR REGISTRATION BY BROKER-DEALERS AND AGENTS REPRESENTING BROKER-DEALERS. |
| 2876.4100 | AMENDMENTS REQUIRING AN ORDER OF THE ADMINISTRATOR. |
| 2876.4101 | PROMPTLY REMEDIED. |
| 2876.4110 | RECEIPT OF MONEY FROM SALES. |
| 2876.4112 | MINIMUM FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERS; NET CAPITAL REQUIREMENTS FOR BROKER-DEALERS. |
| 2876.4113 | FINANCIAL REPORTING REQUIREMENTS FOR INVESTMENT ADVISERS. |
| 2876.4114 | RECORD-KEEPING REQUIREMENTS. |
| 2876.4115 | BONDING REQUIREMENTS FOR CERTAIN INVESTMENT ADVISERS. |
| 2876.4116 | CUSTODY REQUIREMENTS FOR INVESTMENT ADVISERS. |
| 2876.4117 | INVESTMENT ADVISER BROCHURE RULE. |
| 2876.4120 | EXAMINATION REQUIREMENTS. |
| 2876.5021 | BROKER-DEALER CONDUCT. |
| 2876.5022 | CONTENTS OF AN INVESTMENT ADVISORY CONTRACT. |
| 2876.5023 | PROHIBITED CONDUCT IN PROVIDING INVESTMENT ADVICE. |
| 2876.5024 | REGULATION OF BUSINESS OF FINANCIAL PLANNING. |
| 2876.5025 | PROHIBITED USES OF SENIOR-SPECIFIC CERTIFICATIONS AND PROFESSIONAL DESIGNATIONS. |
| 2876.6052 | ACCOUNTING PRINCIPLES. |
| 2876.6110 | CONSENT TO SERVICE OF PROCESS. |
Official Publication of the State of Minnesota
Revisor of Statutes