Minnesota Administrative Rules

CHAPTER 2876, REGULATING SECURITIES

DEPARTMENT OF COMMERCE

Table of Parts

Part	Title
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.
2876.4020	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.