2012 Minnesota Statutes

CHAPTER 80A. REGULATION OF SECURITIES

Table of Sections

Section	Headnote
80A.01	[Repealed, 2006 c 196 art 1 s 51,52]
80A.02	[Repealed, 2006 c 196 art 1 s 51,52]
80A.03	[Repealed, 2006 c 196 art 1 s 51,52]
80A.04	[Repealed, 2006 c 196 art 1 s 51,52]
80A.041	[Repealed, 2006 c 196 art 1 s 51,52]
80A.05	[Repealed, 2006 c 196 art 1 s 51,52]
80A.06	[Repealed, 2006 c 196 art 1 s 51,52]
80A.07	[Repealed, 2006 c 196 art 1 s 51,52]
80A.08	[Repealed, 2006 c 196 art 1 s 51,52]
80A.09	[Repealed, 2006 c 196 art 1 s 51,52]
80A.10	[Repealed, 2006 c 196 art 1 s 51,52]
80A.11	[Repealed, 2006 c 196 art 1 s 51,52]
80A.115	[Repealed, 2006 c 196 art 1 s 51,52]
80A.12	[Repealed, 2006 c 196 art 1 s 51,52]
80A.122	[Repealed, 2006 c 196 art 1 s 51,52]
80A.125	[Repealed, 2006 c 196 art 1 s 51,52]
80A.13	[Repealed, 2006 c 196 art 1 s 51,52]
80A.14	Subdivisions renumbered, repealed, or no longer in effect
80A.15	[Repealed, 2006 c 196 art 1 s 51,52]
80A.16	[Repealed, 2006 c 196 art 1 s 51,52]
80A.17	[Repealed, 2006 c 196 art 1 s 51,52]
80A.18	[Repealed, 2006 c 196 art 1 s 51,52]
80A.19	[Repealed, 2006 c 196 art 1 s 51,52]
80A.20	[Repealed, 1987 c 336 s 47]
80A.21	[Repealed, 1987 c 336 s 47]
80A.22	[Repealed, 2006 c 196 art 1 s 51,52]
80A.23	[Repealed, 2006 c 196 art 1 s 51,52]
80A.24	Subdivisions renumbered, repealed, or no longer in effect
80A.25	[Repealed, 2006 c 196 art 1 s 51,52]
80A.26	[Repealed, 2006 c 196 art 1 s 51,52]
80A.27	[Repealed, 2006 c 196 art 1 s 51,52]
80A.28	[Repealed, 2006 c 196 art 1 s 51,52]
80A.29	[Repealed, 2006 c 196 art 1 s 51,52]
80A.30	[Repealed, 2006 c 196 art 1 s 51,52]
80A.31	[Repealed, 2006 c 196 art 1 s 51,52]
GENERAL PROVISION
80A.40	SECTION 101; SHORT TITLE.
80A.41	SECTION 102; DEFINITIONS.
80A.42	SECTION 103; REFERENCES TO FEDERAL STATUTES.
80A.43	SECTION 104; REFERENCES TO FEDERAL AGENCIES.
80A.44	SECTION 105; ELECTRONIC RECORDS AND SIGNATURES.
EXEMPTION FROM REGISTRATION OF SECURITIES
80A.45	SECTION 201; EXEMPT SECURITIES.
80A.46	SECTION 202; EXEMPT TRANSACTIONS.
80A.47	SECTION 203; ADDITIONAL EXEMPTIONS AND WAIVERS.
80A.48	SECTION 204; DENIAL, SUSPENSION, REVOCATION, CONDITION, OR LIMITATION OF EXEMPTIONS.
REGISTRATION OF SECURITIES AND NOTICE OF FILING OF FEDERAL COVERED SECURITIES
80A.49	SECTION 301; SECURITIES REGISTRATION REQUIREMENT.
80A.50	SECTION 302; FEDERAL COVERED SECURITIES; SMALL CORPORATE OFFERING REGISTRATION.
80A.51	SECTION 303; SECURITIES REGISTRATION BY COORDINATION.
80A.52	SECTION 304; SECURITIES REGISTRATION BY QUALIFICATION.
80A.53	SECTION 305; SECURITIES REGISTRATION FILINGS.
80A.54	SECTION 306; DENIAL, SUSPENSION, AND REVOCATION OF SECURITIES REGISTRATION.
80A.55	SECTION 307; WAIVER AND MODIFICATION.
BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
80A.56	SECTION 401; BROKER-DEALER REGISTRATION REQUIREMENT AND EXEMPTIONS.
80A.57	SECTION 402; AGENT REGISTRATION REQUIREMENT AND EXEMPTIONS.
80A.58	SECTION 403; INVESTMENT ADVISER REGISTRATION REQUIREMENT AND EXEMPTIONS.
80A.60	SECTION 405; FEDERAL COVERED INVESTMENT ADVISER NOTICE FILING REQUIREMENT.
80A.61	SECTION 406; REGISTRATION BY BROKER-DEALER, AGENT, AND INVESTMENT ADVISER.
80A.62	SECTION 407; SUCCESSION AND CHANGE IN REGISTRATION OF BROKER-DEALER OR INVESTMENT ADVISER.
80A.63	SECTION 408; TERMINATION OF EMPLOYMENT OR ASSOCIATION OF AGENT AND TRANSFER OF EMPLOYMENT OR ASSOCIATION.
80A.64	SECTION 409; WITHDRAWAL OF REGISTRATION OF BROKER-DEALER, AGENT, AND INVESTMENT ADVISER.
80A.65	SECTION 410; FEES AND EXPENSES.
80A.66	SECTION 411; POSTREGISTRATION REQUIREMENTS.
80A.67	SECTION 412; DENIAL, REVOCATION, SUSPENSION, WITHDRAWAL, RESTRICTION, CONDITION, OR LIMITATION OF REGISTRATION.
FRAUD AND LIABILITIES
80A.68	SECTION 501; GENERAL FRAUD.
80A.69	SECTION 502; PROHIBITED CONDUCT IN PROVIDING INVESTMENT ADVICE.
80A.70	SECTION 503; EVIDENTIARY BURDEN.
80A.71	SECTION 504; FILING OF SALES AND ADVERTISING LITERATURE.
80A.72	SECTION 505; MISLEADING FILINGS.
80A.73	SECTION 506; MISREPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION.
80A.74	SECTION 507; QUALIFIED IMMUNITY.
80A.75	SECTION 508; CRIMINAL PENALTIES.
80A.76	SECTION 509; CIVIL LIABILITY.
80A.77	SECTION 510; RESCISSION OFFERS.
ADMINISTRATION AND JUDICIAL REVIEW
80A.78	SECTION 601; ADMINISTRATION.
80A.79	SECTION 602; INVESTIGATIONS AND SUBPOENAS.
80A.80	SECTION 603; CIVIL ENFORCEMENT.
80A.81	SECTION 604; ADMINISTRATIVE ENFORCEMENT.
80A.82	SECTION 605; RULES, FORMS, ORDERS, INTERPRETATIVE OPINIONS, AND HEARINGS.
80A.83	SECTION 606; ADMINISTRATIVE FILES AND OPINIONS.
80A.84	SECTION 607; PUBLIC RECORDS; CONFIDENTIALITY.
80A.85	SECTION 608; UNIFORMITY AND COOPERATION WITH OTHER AGENCIES.
80A.86	SECTION 609; JUDICIAL REVIEW.
80A.87	SECTION 610; JURISDICTION.
80A.88	SECTION 611; SERVICE OF PROCESS.
80A.89	SECTION 612; SEVERABILITY CLAUSE.
TRANSITION
80A.90	SECTION 703; APPLICATION OF ACT TO EXISTING PROCEEDING AND EXISTING RIGHTS AND DUTIES.
80A.91	AGENT ERRORS AND OMISSIONS INSURANCE; CHOICE OF SOURCE.