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2014 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80A.01 [Repealed, 2006 c 196 art 1 s 51,52]
80A.02 [Repealed, 2006 c 196 art 1 s 51,52]
80A.03 [Repealed, 2006 c 196 art 1 s 51,52]
80A.04 [Repealed, 2006 c 196 art 1 s 51,52]
80A.041 [Repealed, 2006 c 196 art 1 s 51,52]
80A.05 [Repealed, 2006 c 196 art 1 s 51,52]
80A.06 [Repealed, 2006 c 196 art 1 s 51,52]
80A.07 [Repealed, 2006 c 196 art 1 s 51,52]
80A.08 [Repealed, 2006 c 196 art 1 s 51,52]
80A.09 [Repealed, 2006 c 196 art 1 s 51,52]
80A.10 [Repealed, 2006 c 196 art 1 s 51,52]
80A.11 [Repealed, 2006 c 196 art 1 s 51,52]
80A.115 [Repealed, 2006 c 196 art 1 s 51,52]
80A.12 [Repealed, 2006 c 196 art 1 s 51,52]
80A.122 [Repealed, 2006 c 196 art 1 s 51,52]
80A.125 [Repealed, 2006 c 196 art 1 s 51,52]
80A.13 [Repealed, 2006 c 196 art 1 s 51,52]
80A.14 Subdivisions renumbered, repealed, or no longer in effect
80A.15 [Repealed, 2006 c 196 art 1 s 51,52]
80A.16 [Repealed, 2006 c 196 art 1 s 51,52]
80A.17 [Repealed, 2006 c 196 art 1 s 51,52]
80A.18 [Repealed, 2006 c 196 art 1 s 51,52]
80A.19 [Repealed, 2006 c 196 art 1 s 51,52]
80A.20 [Repealed, 1987 c 336 s 47]
80A.21 [Repealed, 1987 c 336 s 47]
80A.22 [Repealed, 2006 c 196 art 1 s 51,52]
80A.23 [Repealed, 2006 c 196 art 1 s 51,52]
80A.24 Subdivisions renumbered, repealed, or no longer in effect
80A.25 [Repealed, 2006 c 196 art 1 s 51,52]
80A.26 [Repealed, 2006 c 196 art 1 s 51,52]
80A.27 [Repealed, 2006 c 196 art 1 s 51,52]
80A.28 [Repealed, 2006 c 196 art 1 s 51,52]
80A.29 [Repealed, 2006 c 196 art 1 s 51,52]
80A.30 [Repealed, 2006 c 196 art 1 s 51,52]
80A.31 [Repealed, 2006 c 196 art 1 s 51,52]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, FUNDING PORTAL, INVESTMENT ADVISER, AND INVESTMENT ADVISER REPRESENTATIVE.
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.

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