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Minnesota Legislature

Office of the Revisor of Statutes

BROKERS (SECURITIES)

Acknowledgments, local public funds, investment restrictions, Minn. Statutes 2019 118A.04

Address, supplying to commissioner, Minn. Statutes 2019 45.0112

Adverse claims, liability, Minn. Statutes 2019 336.8-115

Agents

Registration, Central Registration Depository, Minn. Rules 2876.4060

Regulation D, defined, Minn. Rules 2876.1021

Securities manuals, nationally recognized, Minn. Rules 2876.2020

Senior-specific certifications, prohibition, Minn. Rules 2876.5025

Banks, affiliate discount brokers, individual retirement accounts, Minn. Statutes 2019 48.15

Broker-dealers

Agents, see under SECURITIES

Annuities transactions, Minn. Statutes 2019 72A.203 to 2019 72A.2036

Definitions, Minn. Statutes 2019 80A.41

Disciplinary actions, Minn. Statutes 2019 80A.67

Errors and omissions insurance requirements, Minn. Statutes 2019 80A.91

Examinations, Minn. Statutes 2019 80A.67

Financial exploitation of seniors or vulnerable adults

Definitions, Minn. Statutes 2019 45A.01

Delaying disbursements, Minn. Statutes 2019 45A.06, 2019 45A.07

Governmental disclosures, Minn. Statutes 2019 45A.02, 2019 45A.03

Third-party disclosures, Minn. Statutes 2019 45A.04, 2019 45A.05

Generally, Minn. Statutes 2019 80A.66

Interested shareholders, exclusion, Minn. Statutes 2019 302A.011

Liability, Minn. Statutes 2019 80A.74, 2019 80A.76, 2019 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2019 80A.67

Fees, Minn. Statutes 2019 80A.65

Generally, Minn. Statutes 2019 80A.56

Misrepresentations, Minn. Statutes 2019 80A.73

Procedure, Minn. Statutes 2019 80A.61

Succession to, Minn. Statutes 2019 80A.62

Withdrawal, Minn. Statutes 2019 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2019 118A.06

Broker-dealers

Agents

Central Registration Depository, Minn. Rules 2876.4060

Financial statements, Minn. Rules 2876.6052

Money from sales, receipt of, Minn. Rules 2876.4110

Notice to Commerce Department, required by statute, Minn. Rules 2876.4020

Persons exempt from registration, permitted activities, Minn. Rules 2876.4020

Registration, Minn. Rules 2876.4062, 2876.4100, 2876.4101

Service of process on, consent to, Minn. Rules 2876.6110

Supervision, Minn. Rules 2876.5021

Conduct, Minn. Rules 2876.5021

Definition, exclusions, Minn. Rules 2876.1020

Direct common control, Minn. Rules 2876.4021

Fair dealing, Minn. Rules 2876.5021

Financial statements, Minn. Rules 2876.6052

Money from sales, receipt of, Minn. Rules 2876.4110

Records and record keeping, Minn. Rules 2876.4114

Registration

Amendments requiring an order of the administrator, Minn. Rules 2876.4100

Applications for, Minn. Rules 2876.4062

Fees, delay or underpayment, prompt remedy, Minn. Rules 2876.4101

Service of process on, consent to, Minn. Rules 2876.6110

Business of financial planning, regulation, Minn. Rules 2876.5024

Central Registration Depository, Minn. Rules 2876.4060

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2019 48.15

Contracts and agreements, local public funds, investment, Minn. Statutes 2019 118A.05, 2019 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2019 80B.05

Credit services organizations, exclusion, Minn. Statutes 2019 332.52

Debt management services providers, exclusion, Minn. Statutes 2019 332A.02

Definitions

Commercial Code, Minn. Statutes 2019 336.8-102

Public retirement plan investments, Minn. Statutes 2019 356A.06

Transfers to minors, Minn. Statutes 2019 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2019 48.15

Exemptions, real estate licensure, Minn. Statutes 2019 82.56

Federal covered investment advisers

Definitions, Minn. Statutes 2019 80A.41

Notices, filing, Minn. Statutes 2019 80A.60

Federal covered investment advisers

Conduct, Minn. Rules 2876.5023

Depositories for filings and fees, Minn. Rules 2876.4060

Fiduciary duty, Minn. Rules 2876.5023

Investment advisory contracts, Minn. Rules 2876.5022

Notices, filing, Minn. Rules 2876.4050

Financial planners, Minn. Rules 2876.5024

Funding portal registration, Minn. Statutes 2019 80A.61

Incorporations by reference, effective dates, Minn. Rules 2876.1030

Investment adviser representatives, registration, Minn. Statutes 2019 80A.61

Investment advisers

Address and telephone number, Minn. Statutes 2019 45.0112

Definitions, Minn. Statutes 2019 80A.41

Disciplinary actions, Minn. Statutes 2019 80A.67

Examinations, Minn. Statutes 2019 80A.67

Financial exploitation of seniors or vulnerable adults

Definitions, Minn. Statutes 2019 45A.01

Delaying disbursements, Minn. Statutes 2019 45A.06, 2019 45A.07

Governmental disclosures, Minn. Statutes 2019 45A.02, 2019 45A.03

Third-party disclosures, Minn. Statutes 2019 45A.04, 2019 45A.05

Fraud, Minn. Statutes 2019 80A.69

Generally, Minn. Statutes 2019 80A.66

Liability, Minn. Statutes 2019 80A.74, 2019 80A.76, 2019 80A.77

Licenses, Minn. Statutes 2019 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2019 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2019 80A.67

Fees, Minn. Statutes 2019 80A.65

Generally, Minn. Statutes 2019 80A.58

Misrepresentations, Minn. Statutes 2019 80A.73

Procedure, Minn. Statutes 2019 80A.61

Succession to, Minn. Statutes 2019 80A.62

Withdrawal, Minn. Statutes 2019 80A.64

Investment advisers

Agency cross transactions, Minn. Rules 2876.5023

Assets, appraisals of, Minn. Rules 2876.4112

Balance sheets, Minn. Rules 2876.4113

Bonds, Minn. Rules 2876.4115

Brochures, Minn. Rules 2876.4117

Conduct, Minn. Rules 2876.5023

Credentials, Minn. Rules 2876.4120

Custody of client funds, Minn. Rules 2876.4113, 2876.4116

Disclosures to clients and prospective clients, Minn. Rules 2876.4117

Discretionary authority over client funds, Minn. Rules 2876.4113

Examinations, Minn. Rules 2876.4120

Exercising discretion, Minn. Rules 2876.4112

Federal covered investment advisers, see same under this topic

Fiduciary duty, Minn. Rules 2876.5023

Financial reporting requirements, Minn. Rules 2876.4113

Financial requirements, Minn. Rules 2876.4112

Financial statements, Minn. Rules 2876.6052

Investment advisory contracts, Minn. Rules 2876.5022

Letters of credit, Minn. Rules 2876.4115

Limited liability companies, Minn. Rules 2876.4116

Limited partnerships, Minn. Rules 2876.4116

Mutual funds, Minn. Rules 2876.4116

Net capital, Minn. Rules 2876.4112

Net worth, Minn. Rules 2876.4112

Open-end companies, Minn. Rules 2876.4116

Out-of-state advisers, Minn. Rules 2876.4112, 2876.4113

Prior liquidated firms, Minn. Rules 2876.4120

Records and record keeping, Minn. Rules 2876.4114

Registration

Amendments requiring an order of the administrator, Minn. Rules 2876.4100

Applications for, Minn. Rules 2876.4061

Central Registration Depository, Minn. Rules 2876.4060

Fees, delay or underpayment, prompt remedy, Minn. Rules 2876.4101

Registration depository, Minn. Rules 2876.4060

Senior-specific certifications, prohibition, Minn. Rules 2876.5025

Service of process on, consent to, Minn. Rules 2876.6110

Supervisory or control individuals, examinations, Minn. Rules 2876.4120

Surety bonds, Minn. Rules 2876.4115

Trusts, advisers retained by, Minn. Rules 2876.4116

Liability, adverse claims, Minn. Statutes 2019 336.8-115

Licenses

Real estate broker licensure, exemption, Minn. Statutes 2019 82.56

Reciprocity, Minn. Statutes 2019 45.0292

Manuals, nationally recognized, Minn. Rules 2876.2020

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2019 334.19

Mutual funds, investment advisers of, Minn. Rules 2876.4116

Nationally recognized securities manuals, defined, Minn. Rules 2876.2020

Private fund advisers

Definition, Minn. Statutes 2019 80A.41

Registration, Minn. Statutes 2019 80A.58

Private funds, records and reports, Minn. Statutes 2019 80A.66

Professional fund raisers, exclusion, Minn. Statutes 2019 309.50

Proxy statements, domestic stock insurance companies, procedures, Minn. Rules 2715.7310

Public retirement plans, investment restrictions, notice given, Minn. Statutes 2019 356A.06

Real estate licensure, Minn. Statutes 2019 82.56

Records and record keeping, child support enforcement, access, Minn. Statutes 2019 256.978

Registration, Central Registration Depository, Minn. Rules 2876.4060

Securities intermediaries, brokers defined as, Minn. Statutes 2019 336.8-102

Street name or nominee name, Minn. Statutes 2019 527.21, 2019 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2019 45.0112

Warranties, Minn. Statutes 2019 336.8-108