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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.

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