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2013 Minnesota Statutes

Chapter 80A. Regulation of Securities

Chapter Sections
Section Headnote
80A.01Repealed, 2006 c 196 art 1 s 51,52
80A.02Repealed, 2006 c 196 art 1 s 51,52
80A.03Repealed, 2006 c 196 art 1 s 51,52
80A.04Repealed, 2006 c 196 art 1 s 51,52
80A.041Repealed, 2006 c 196 art 1 s 51,52
80A.05Repealed, 2006 c 196 art 1 s 51,52
80A.06Repealed, 2006 c 196 art 1 s 51,52
80A.07Repealed, 2006 c 196 art 1 s 51,52
80A.08Repealed, 2006 c 196 art 1 s 51,52
80A.09Repealed, 2006 c 196 art 1 s 51,52
80A.10Repealed, 2006 c 196 art 1 s 51,52
80A.11Repealed, 2006 c 196 art 1 s 51,52
80A.115Repealed, 2006 c 196 art 1 s 51,52
80A.12Repealed, 2006 c 196 art 1 s 51,52
80A.122Repealed, 2006 c 196 art 1 s 51,52
80A.125Repealed, 2006 c 196 art 1 s 51,52
80A.13Repealed, 2006 c 196 art 1 s 51,52
80A.14Subdivisions renumbered, repealed, or no longer in effect
80A.15Repealed, 2006 c 196 art 1 s 51,52
80A.16Repealed, 2006 c 196 art 1 s 51,52
80A.17Repealed, 2006 c 196 art 1 s 51,52
80A.18Repealed, 2006 c 196 art 1 s 51,52
80A.19Repealed, 2006 c 196 art 1 s 51,52
80A.20Repealed, 1987 c 336 s 47
80A.21Repealed, 1987 c 336 s 47
80A.22Repealed, 2006 c 196 art 1 s 51,52
80A.23Repealed, 2006 c 196 art 1 s 51,52
80A.24Subdivisions renumbered, repealed, or no longer in effect
80A.25Repealed, 2006 c 196 art 1 s 51,52
80A.26Repealed, 2006 c 196 art 1 s 51,52
80A.27Repealed, 2006 c 196 art 1 s 51,52
80A.28Repealed, 2006 c 196 art 1 s 51,52
80A.29Repealed, 2006 c 196 art 1 s 51,52
80A.30Repealed, 2006 c 196 art 1 s 51,52
80A.31Repealed, 2006 c 196 art 1 s 51,52

GENERAL PROVISION
80A.40Section 101; Short Title
80A.41Section 102; Definitions
80A.42Section 103; References to Federal Statutes
80A.43Section 104; References to Federal Agencies
80A.44Section 105; Electronic Records and Signatures

EXEMPTION FROM REGISTRATION OF SECURITIES
80A.45Section 201; Exempt Securities
80A.46Section 202; Exempt Transactions
80A.47Section 203; Additional Exemptions and Waivers
80A.48Section 204; Denial, Suspension, Revocation, Condition, or Limitation of Exemptions

REGISTRATION OF SECURITIES AND NOTICE OF FILING OF FEDERAL COVERED SECURITIES
80A.49Section 301; Securities Registration Requirement
80A.50Section 302; Federal Covered Securities; Small Corporate Offering Registration
80A.51Section 303; Securities Registration by Coordination
80A.52Section 304; Securities Registration by Qualification
80A.53Section 305; Securities Registration Filings
80A.54Section 306; Denial, Suspension, and Revocation of Securities Registration
80A.55Section 307; Waiver and Modification

BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND
FEDERAL COVERED INVESTMENT ADVISERS
80A.56Section 401; Broker-Dealer Registration Requirement and Exemptions
80A.57Section 402; Agent Registration Requirement and Exemptions
80A.58Section 403; Investment Adviser Registration Requirement and Exemptions
80A.60Section 405; Federal Covered Investment Adviser Notice Filing Requirement
80A.61Section 406; Registration by Broker-Dealer, Agent, Funding Portal, Investment Adviser, and Investment Adviser Representative
80A.62Section 407; Succession and Change in Registration of Broker-Dealer or Investment Adviser
80A.63Section 408; Termination of Employment or Association of Agent and Transfer of Employment or Association
80A.64Section 409; Withdrawal of Registration of Broker-Dealer, Agent, and Investment Adviser
80A.65Section 410; Fees and Expenses
80A.66Section 411; Postregistration Requirements
80A.67Section 412; Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration

FRAUD AND LIABILITIES
80A.68Section 501; General Fraud
80A.69Section 502; Prohibited Conduct in Providing Investment Advice
80A.70Section 503; Evidentiary Burden
80A.71Section 504; Filing of Sales and Advertising Literature
80A.72Section 505; Misleading Filings
80A.73Section 506; Misrepresentations Concerning Registration or Exemption
80A.74Section 507; Qualified Immunity
80A.75Section 508; Criminal Penalties
80A.76Section 509; Civil Liability
80A.77Section 510; Rescission Offers

ADMINISTRATION AND JUDICIAL REVIEW
80A.78Section 601; Administration
80A.79Section 602; Investigations and Subpoenas
80A.80Section 603; Civil Enforcement
80A.81Section 604; Administrative Enforcement
80A.82Section 605; Rules, Forms, Orders, Interpretative Opinions, and Hearings
80A.83Section 606; Administrative Files and Opinions
80A.84Section 607; Public Records; Confidentiality
80A.85Section 608; Uniformity and Cooperation with Other Agencies
80A.86Section 609; Judicial Review
80A.87Section 610; Jurisdiction
80A.88Section 611; Service of Process
80A.89Section 612; Severability Clause

TRANSITION
80A.90Section 703; Application of Act to Existing Proceeding and Existing Rights and Duties
80A.91Agent Errors and Omissions Insurance; Choice of Source

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