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Minnesota Legislature

Office of the Revisor of Statutes

BROKERS (SECURITIES)

Acknowledgments, local public funds, investment restrictions, Minn. Statutes 2012 118A.04

Address, supplying to commissioner, Minn. Statutes 2012 45.0112

Adverse claims, liability, Minn. Statutes 2012 336.8-115

Banks, affiliate discount brokers, individual retirement accounts, Minn. Statutes 2012 48.15

Broker-dealers

Agents, see under SECURITIES

Definitions, Minn. Statutes 2012 80A.41

Disciplinary actions, Minn. Statutes 2012 80A.67

Errors and omissions insurance requirements, Minn. Statutes 2012 80A.91

Examinations, Minn. Statutes 2012 80A.67

Generally, Minn. Statutes 2012 80A.66

Interested shareholders, exclusion, Minn. Statutes 2012 302A.011

Liability, Minn. Statutes 2012 80A.74, 2012 80A.76, 2012 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2012 80A.67

Fees, Minn. Statutes 2012 80A.65

Generally, Minn. Statutes 2012 80A.56

Misrepresentations, Minn. Statutes 2012 80A.73

Procedure, Minn. Statutes 2012 80A.61

Succession to, Minn. Statutes 2012 80A.62

Withdrawal, Minn. Statutes 2012 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2012 118A.06

Business licenses, exception, Minn. Statutes 2012 116J.70

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2012 48.15

Contracts and agreements, local public funds, investment, Minn. Statutes 2012 118A.05, 2012 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2012 80B.05

Credit services organizations, exclusion, Minn. Statutes 2012 332.52

Debt management services providers, exclusion, Minn. Statutes 2012 332A.02

Definitions

Commercial Code, Minn. Statutes 2012 336.8-102

Public retirement plan investments, Minn. Statutes 2012 356A.06

Transfers to minors, Minn. Statutes 2012 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2012 48.15

Exemptions, real estate licensure, Minn. Statutes 2012 82.56

Federal covered investment advisers

Definitions, Minn. Statutes 2012 80A.41

Notices, filing, Minn. Statutes 2012 80A.60

Investment advisers

Address and telephone number, Minn. Statutes 2012 45.0112

Definitions, Minn. Statutes 2012 80A.41

Disciplinary actions, Minn. Statutes 2012 80A.67

Examinations, Minn. Statutes 2012 80A.67

Fraud, Minn. Statutes 2012 80A.69

Generally, Minn. Statutes 2012 80A.66

Liability, Minn. Statutes 2012 80A.74, 2012 80A.76, 2012 80A.77

Licenses, Minn. Statutes 2012 45.0111, 2012 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2012 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2012 80A.67

Fees, Minn. Statutes 2012 80A.65

Generally, Minn. Statutes 2012 80A.58

Misrepresentations, Minn. Statutes 2012 80A.73

Procedure, Minn. Statutes 2012 80A.61

Succession to, Minn. Statutes 2012 80A.62

Withdrawal, Minn. Statutes 2012 80A.64

Liability, adverse claims, Minn. Statutes 2012 336.8-115

Licenses

Business license, exception, Minn. Statutes 2012 116J.70

Real estate broker licensure, exemption, Minn. Statutes 2012 82.56

Reciprocity, Minn. Statutes 2012 45.0292

Temporary licenses, Minn. Statutes 2012 45.0111

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2012 334.19

Professional fund raisers, exclusion, Minn. Statutes 2012 309.50

Public retirement plans, investment restrictions, notice given, Minn. Statutes 2012 356A.06

Real estate licensure, Minn. Statutes 2012 82.56

Records and record keeping, child support enforcement, access, Minn. Statutes 2012 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2012 336.8-102

Street name or nominee name, Minn. Statutes 2012 527.21, 2012 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2012 45.0112

Warranties, Minn. Statutes 2012 336.8-108