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Minnesota Legislature

Office of the Revisor of Statutes

BROKERS (SECURITIES)

Acknowledgments

Local public funds, investment restrictions, Minn. Statutes 2008 118A.04

Address, supplying to commissioner, Minn. Statutes 2008 45.0112

Adverse claims, liability, Minn. Statutes 2008 336.8-115

Banks, affiliate discount brokers

Individual retirement accounts, Minn. Statutes 2008 48.15

Broker-dealers

Agents, see under SECURITIES

Definitions, Minn. Statutes 2008 80A.41

Disciplinary actions, Minn. Statutes 2008 80A.67

Examinations, Minn. Statutes 2008 80A.67

Generally, Minn. Statutes 2008 80A.66

Interested shareholders, exclusion, Minn. Statutes 2008 302A.011

Liability, Minn. Statutes 2008 80A.74, 2008 80A.76, 2008 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2008 80A.67

Fees, Minn. Statutes 2008 80A.65

Generally, Minn. Statutes 2008 80A.56

Misrepresentations, Minn. Statutes 2008 80A.73

Procedure, Minn. Statutes 2008 80A.61

Succession to, Minn. Statutes 2008 80A.62

Withdrawal, Minn. Statutes 2008 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2008 118A.06

Business licenses, exception, Minn. Statutes 2008 116J.70

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2008 48.15

Contracts and agreements

Local public funds, investment, Minn. Statutes 2008 118A.05, 2008 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2008 80B.05

Credit services organizations, exclusion, Minn. Statutes 2008 332.52

Debt management services providers, exclusion, Minn. Statutes 2008 332A.02

Definitions

Commercial Code, Minn. Statutes 2008 336.8-102

Public retirement plan investments, Minn. Statutes 2008 356A.06

Transfers to minors, Minn. Statutes 2008 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2008 48.15

Exemptions, real estate licensure, Minn. Statutes 2008 82.23

Federal covered investment advisers

Definitions, Minn. Statutes 2008 80A.41

Notices, filing, Minn. Statutes 2008 80A.60

Investment advisers

Address and telephone number, Minn. Statutes 2008 45.0112

Definitions, Minn. Statutes 2008 80A.41

Disciplinary actions, Minn. Statutes 2008 80A.67

Examinations, Minn. Statutes 2008 80A.67

Fraud, Minn. Statutes 2008 80A.69

Generally, Minn. Statutes 2008 80A.66

Liability, Minn. Statutes 2008 80A.74, 2008 80A.76, 2008 80A.77

Licenses, Minn. Statutes 2008 45.0111, 2008 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2008 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2008 80A.67

Fees, Minn. Statutes 2008 80A.65

Generally, Minn. Statutes 2008 80A.58

Misrepresentations, Minn. Statutes 2008 80A.73

Procedure, Minn. Statutes 2008 80A.61

Succession to, Minn. Statutes 2008 80A.62

Withdrawal, Minn. Statutes 2008 80A.64

Liability, adverse claims, Minn. Statutes 2008 336.8-115

Licenses

Business license, exception, Minn. Statutes 2008 116J.70

Real estate broker licensure, exemption, Minn. Statutes 2008 82.23

Reciprocity, Minn. Statutes 2008 45.0292

Temporary licenses, Minn. Statutes 2008 45.0111

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2008 334.19

Notice given

Address and telephone number, Minn. Statutes 2008 45.0112

Public retirement plans, investment restrictions, Minn. Statutes 2008 356A.06

Professional fund raisers, exclusion, Minn. Statutes 2008 309.50

Real estate licensure, Minn. Statutes 2008 82.23

Records and record keeping

Child support enforcement, access, Minn. Statutes 2008 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2008 336.8-102

Street name or nominee name, Minn. Statutes 2008 527.21, 2008 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2008 45.0112

Warranties, Minn. Statutes 2008 336.8-108