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2007 Minnesota Statutes

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CHAPTER 80A. REGULATION OF SECURITIES

Table of Sections
Section Headnote
80A.01 SALES AND PURCHASES.
80A.02 PROHIBITED ACTIVITIES.
80A.03 UNLAWFUL ACTIVITIES.
80A.04 LICENSING.
80A.041 EXEMPTION.
80A.05 LICENSING PROCEDURE.
80A.06 POSTLICENSING PROVISIONS.
80A.07 DENIAL, SUSPENSION, AND REVOCATION OF LICENSES.
80A.08 REGISTRATION REQUIREMENT.
80A.09 REGISTRATION BY NOTIFICATION.
80A.10 REGISTRATION BY COORDINATION.
80A.11 REGISTRATION BY QUALIFICATION.
80A.115 SMALL CORPORATE OFFERING REGISTRATION.
80A.12 PROVISIONS APPLICABLE TO REGISTRATION GENERALLY.
80A.122 FEDERAL COVERED SECURITIES.
80A.125 PROHIBITION; NONRECOURSE LOANS.
80A.13 DENIAL, SUSPENSION AND REVOCATION OF REGISTRATION.
80A.14 DEFINITIONS.
80A.15 EXEMPTIONS.
80A.16 FILING OF SALES AND ADVERTISING LITERATURE.
80A.17 MISLEADING FILINGS.
80A.18 UNLAWFUL REPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION.
80A.19 ADMINISTRATION.
80A.20 [Repealed, 1987 c 336 s 47]
80A.21 [Repealed, 1987 c 336 s 47]
80A.22 CRIMINAL PENALTY.
80A.23 CIVIL LIABILITIES.
80A.24 HEARINGS AND JUDICIAL REVIEW.
80A.25 RULES, FORMS AND ORDERS.
80A.26 ADMINISTRATIVE FILES AND OPINIONS.
80A.27 SCOPE OF SECTIONS 80A.01 TO 80A.31 AND SERVICE OF PROCESS.
80A.28 FEES AND EXPENSES.
80A.29 SALE OF LIQUOR WAREHOUSE RECEIPTS IS SALE OF SECURITIES.
80A.30 REGISTRATION OF OIL OR GAS LANDS OR INTEREST BEFORE SALE.
80A.31 STATUTORY POLICY.
GENERAL PROVISION
80A.40 80A.40 SECTION 101; SHORT TITLE.
80A.41 80A.41 SECTION 102; DEFINITIONS.
80A.42 80A.42 SECTION 103; REFERENCES TO FEDERAL STATUTES.
80A.43 80A.43 SECTION 104; REFERENCES TO FEDERAL AGENCIES.
80A.44 80A.44 SECTION 105; ELECTRONIC RECORDS AND SIGNATURES.
EXEMPTION FROM REGISTRATION OF SECURITIES
80A.45 80A.45 SECTION 201; EXEMPT SECURITIES.
80A.46 80A.46 SECTION 202; EXEMPT TRANSACTIONS.
80A.47 80A.47 SECTION 203; ADDITIONAL EXEMPTIONS AND WAIVERS.
80A.48 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 80A.49 SECTION 301; SECURITIES REGISTRATION REQUIREMENT.
TRANSITION
80A.50 80A.50 SECTION 302; FEDERAL COVERED SECURITIES; SMALL CORPORATE OFFERING REGISTRATION.
80A.51 80A.51 SECTION 303; SECURITIES REGISTRATION BY COORDINATION.
80A.52 80A.52 SECTION 304; SECURITIES REGISTRATION BY QUALIFICATION.
80A.53 80A.53 SECTION 305; SECURITIES REGISTRATION FILINGS.
80A.54 80A.54 SECTION 306; DENIAL, SUSPENSION, AND REVOCATION OF SECURITIES REGISTRATION.
80A.55 80A.55 SECTION 307; WAIVER AND MODIFICATION.
BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS,

INVESTMENT ADVISER REPRESENTATIVES, AND

FEDERAL COVERED INVESTMENT ADVISERS

80A.56 80A.56 SECTION 401; BROKER-DEALER REGISTRATION REQUIREMENT AND EXEMPTIONS.
80A.57 80A.57 SECTION 402; AGENT REGISTRATION REQUIREMENT AND EXEMPTIONS.
80A.58 80A.58 SECTION 403; INVESTMENT ADVISER REGISTRATION REQUIREMENT AND EXEMPTIONS.
80A.60 80A.60 SECTION 405; FEDERAL COVERED INVESTMENT ADVISER NOTICE FILING REQUIREMENT.
80A.61 80A.61 SECTION 406; REGISTRATION BY BROKER-DEALER, AGENT, AND INVESTMENT ADVISER.
80A.62 80A.62 SECTION 407; SUCCESSION AND CHANGE IN REGISTRATION OF BROKER-DEALER OR INVESTMENT ADVISER.
80A.63 80A.63 SECTION 408; TERMINATION OF EMPLOYMENT OR ASSOCIATION OF AGENT AND TRANSFER OF EMPLOYMENT OR ASSOCIATION.
80A.64 80A.64 SECTION 409; WITHDRAWAL OF REGISTRATION OF BROKER-DEALER, AGENT, AND INVESTMENT ADVISER.
80A.65 80A.65 SECTION 410; FEES AND EXPENSES.
80A.66 80A.66 SECTION 411; POSTREGISTRATION REQUIREMENTS.
80A.67 80A.67 SECTION 412; DENIAL, REVOCATION, SUSPENSION, WITHDRAWAL, RESTRICTION, CONDITION, OR LIMITATION OF REGISTRATION.
FRAUD AND LIABILITIES
80A.68 80A.68 SECTION 501; GENERAL FRAUD.
80A.69 80A.69 SECTION 502; PROHIBITED CONDUCT IN PROVIDING INVESTMENT ADVICE.
80A.70 80A.70 SECTION 503; EVIDENTIARY BURDEN.
80A.71 80A.71 SECTION 504; FILING OF SALES AND ADVERTISING LITERATURE.
80A.72 80A.72 SECTION 505; MISLEADING FILINGS.
80A.73 80A.73 SECTION 506; MISREPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION.
80A.74 80A.74 SECTION 507; QUALIFIED IMMUNITY.
80A.75 80A.75 SECTION 508; CRIMINAL PENALTIES.
80A.76 80A.76 SECTION 509; CIVIL LIABILITY.
80A.77 80A.77 SECTION 510; RESCISSION OFFERS.
ADMINISTRATION AND JUDICIAL REVIEW
80A.78 80A.78 SECTION 601; ADMINISTRATION.
80A.79 80A.79 SECTION 602; INVESTIGATIONS AND SUBPOENAS.
80A.80 80A.80 SECTION 603; CIVIL ENFORCEMENT.
80A.81 80A.81 SECTION 604; ADMINISTRATIVE ENFORCEMENT.
80A.82 80A.82 SECTION 605; RULES, FORMS, ORDERS, INTERPRETATIVE OPINIONS, AND HEARINGS.
80A.83 80A.83 SECTION 606; ADMINISTRATIVE FILES AND OPINIONS.
80A.84 80A.84 SECTION 607; PUBLIC RECORDS; CONFIDENTIALITY.
80A.85 80A.85 SECTION 608; UNIFORMITY AND COOPERATION WITH OTHER AGENCIES.
80A.86 80A.86 SECTION 609; JUDICIAL REVIEW.
80A.87 80A.87 SECTION 610; JURISDICTION.
80A.88 80A.88 SECTION 611; SERVICE OF PROCESS.
80A.89 80A.89 SECTION 612; SEVERABILITY CLAUSE.
TRANSITION
80A.90 80A.90 SECTION 703; APPLICATION OF ACT TO EXISTING PROCEEDING AND EXISTING RIGHTS AND DUTIES.

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