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Minnesota Legislature

Office of the Revisor of Statutes

SECURITIES

Abandoned and unclaimed securities

Delivery to Commerce Department, Minn. Statutes 2018 345.43

Presumption of abandonment, Minn. Statutes 2018 345.35

Sale, Minn. Statutes 2018 345.47

Accredited investor, Minn. Statutes 2018 80A.41

Acquisition, means, Minn. Statutes 2018 336.8-104

Adverse claims

Defined, Minn. Statutes 2018 336.8-102

Entitlement holders, liability, Minn. Statutes 2018 336.8-502, 2018 336.8-510

Liability, Minn. Statutes 2018 336.8-115

Local laws, application, Minn. Statutes 2018 336.8-110

Notice, Minn. Statutes 2018 336.8-105, 2018 336.8-304

Purchasers, Minn. Statutes 2018 336.8-302, 2018 336.8-303, 2018 336.8-503, 2018 336.8-510

Wrongful registration, defenses, Minn. Statutes 2018 336.8-404, 2018 336.8-406

Advertisements, filing, Minn. Statutes 2018 80A.71

Agents

Addresses and telephone numbers, Minn. Statutes 2018 45.0112

Definitions, Minn. Statutes 2018 80A.41

Errors and omissions insurance, Minn. Statutes 2018 80A.91

Liability, Minn. Statutes 2018 80A.74, 2018 80A.76, 2018 80A.77

Licenses, Minn. Statutes 2018 45.0292

Registration

Fees, Minn. Statutes 2018 80A.65

Generally, Minn. Statutes 2018 80A.57

Procedure, Minn. Statutes 2018 80A.61

Withdrawal, Minn. Statutes 2018 80A.64

Termination or transfer of employment, Minn. Statutes 2018 80A.63

Transfer agents, see same under this topic

Alteration, security certificates, Minn. Statutes 2018 336.8-206

Appropriate evidence of appointment or incumbency, defined, Minn. Statutes 2018 336.8-402

Appropriate persons

Defined, Minn. Statutes 2018 336.8-107

Demand that issuers not register transfer, Minn. Statutes 2018 336.8-403

Endorsement warranties, Minn. Statutes 2018 336.8-306

Registration of transfer, Minn. Statutes 2018 336.8-401

Assessments, registered owners, liability, Minn. Statutes 2018 336.8-207

Authenticating trustees

Registration of transfer, duties, Minn. Statutes 2018 336.8-407

Unauthorized signatures, Minn. Statutes 2018 336.8-205

Warranties, Minn. Statutes 2018 336.8-208

Authentication, warranties, Minn. Statutes 2018 336.8-208

Authorized securities

Higher Education Facilities Authority revenue bonds, Minn. Statutes 2018 136A.38

Higher Education Office revenue bonds, Minn. Statutes 2018 136A.178

Intermediate School District 287 (Hennepin County), bonds, Minn. Statutes 2018 136D.281

Intermediate School District 916 (Northeast Metro), bonds, Minn. Statutes 2018 136D.741

Intermediate School District 917 (Dakota County), bonds, Minn. Statutes 2018 136D.88

State university revenue bonds, Minn. Statutes 2018 136F.91

Banks

Deposits and collections, Minn. Statutes 2018 336.4-102

Officers or employees, sale to bank, Minn. Statutes 2018 48.08

Securities in lieu of surety bonds, Minn. Statutes 2018 48.13

Bearer form

Adverse claims, notice, Minn. Statutes 2018 336.8-304

Defined, Minn. Statutes 2018 336.8-102

Purchasers, control, Minn. Statutes 2018 336.8-106

Bearer, defined, Minn. Statutes 2018 336.1-201

Blank endorsements, Minn. Statutes 2018 336.8-304

Bona fide purchasers, see Purchasers for value under this topic

Bonds (public debt), see BONDS (PUBLIC DEBT)

Breach of warranty, liability, Minn. Statutes 2018 336.8-306

Broker-dealers, see under BROKERS (SECURITIES)

Brokers, see BROKERS (SECURITIES)

Bucket shops, Minn. Statutes 2018 609.75

Burglary, Minn. Statutes 2018 609.582

Business corporations, see Securities under BUSINESS CORPORATIONS

Calls

Registered owners, liability, Minn. Statutes 2018 336.8-207

Revocation, Minn. Statutes 2018 336.8-203

Cancellation, material change, Minn. Statutes 2018 336.8-202

Certificated securities

Creditors' legal process, Minn. Statutes 2018 336.8-112

Defined, Minn. Statutes 2018 336.8-102

Delivery to purchasers, Minn. Statutes 2018 336.8-301

Evidence, rules, Minn. Statutes 2018 336.8-114

Housing Finance Agency bonds or notes, Minn. Statutes 2018 462A.08

Issuers' liens, Minn. Statutes 2018 336.8-209

Lack of genuineness, defense, Minn. Statutes 2018 336.8-202

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2018 336.8-405

Persons acting as issuers, duties to certificate holders or owners, Minn. Statutes 2018 336.8-407

Protected purchasers, control, Minn. Statutes 2018 336.8-301

Purchasers, Minn. Statutes 2018 336.8-105, 2018 336.8-106

Secured transactions, control by secured party, Minn. Statutes 2018 336.9-106

Security interests, perfection and priority, Minn. Statutes 2018 336.9-312

Signatures, Minn. Statutes 2018 336.8-205

Terms, Minn. Statutes 2018 336.8-202, 2018 336.8-204, 2018 336.8-209

Transfer warranties, Minn. Statutes 2018 336.8-108, 2018 336.8-109

Certificates of indebtedness, see CERTIFICATES OF INDEBTEDNESS

Checks, see CHECKS

Claims

Adverse claims, see same under this topic

Claims of beneficial interest, defined, Minn. Statutes 2018 520.21

Clearing corporations

Accounts and accounting, shares, pledge or title transfer, Minn. Statutes 2018 302.021

Creditors' claims, priority, Minn. Statutes 2018 336.8-511

Definitions, Minn. Statutes 2018 336.8-102

Insurance companies, Minn. Statutes 2018 60A.10, 2018 60A.11

Options, defined as financial assets, Minn. Statutes 2018 336.8-103

Rules, conflict of laws, effectiveness, Minn. Statutes 2018 336.8-111

Securities intermediaries, duties as, exemption, Minn. Statutes 2018 336.8-504

Shares, pledge or title transfer, Minn. Statutes 2018 302.021

Commerce Department

Cease and desist orders, Minn. Statutes 2018 80A.81

Generally, Minn. Statutes 2018 80A.82

Injunctions, Minn. Statutes 2018 80A.80

Investigations, Minn. Statutes 2018 80A.79

Investor education, Minn. Statutes 2018 80A.78

Records, use, Minn. Statutes 2018 80A.78

Registration exemptions, changes in, Minn. Statutes 2018 80A.81

Commercial Code - investment securities

Citation, Minn. Statutes 2018 336.8-101

Definitions, Minn. Statutes 2018 336.8-102

Effective date of act, Minn. Statutes 2018 336.8-601

Generally, Minn. Statutes 2018 336.8-101 to 2018 336.8-603

Savings clause, Minn. Statutes 2018 336.8-603

Commercially reasonable practices, securities intermediaries, Minn. Statutes 2018 336.8-504 to 2018 336.8-509

Communicate, defined, Minn. Statutes 2018 336.8-102

Concealing criminal proceeds, Minn. Statutes 2018 609.496

Conflict of laws

Bank deposits and collections, Minn. Statutes 2018 336.4-102

Clearing corporation rules, effectiveness, Minn. Statutes 2018 336.8-111

Issuer's jurisdiction, local laws to govern, Minn. Statutes 2018 336.8-110

Negotiable instruments, Minn. Statutes 2018 336.3-102

Prevailing law, generally, Minn. Statutes 2018 336.1-301, 2018 336.8-110

Securities intermediary's jurisdiction, local laws to govern, Minn. Statutes 2018 336.8-110

Security certificates, governing law, Minn. Statutes 2018 336.8-103

Contracts for sale

Bet, exemption, Minn. Statutes 2018 609.75

Cancellation, Minn. Statutes 2018 336.8-202

Enforcement, statute of frauds inapplicable, Minn. Statutes 2018 336.8-113

Futures contracts, counties, Minn. Statutes 2018 118A.07

Contracts of purchase, bet, exemption, Minn. Statutes 2018 609.75

Cooperative associations

Distributions, forms of, Minn. Statutes 2018 308A.705

Exemption from registration, Minn. Statutes 2018 308A.505

Corporate bonds, see under CORPORATIONS

Corporate takeovers, see Equity securities under CORPORATE TAKEOVERS

Corporations, registration, see Registration under this topic

Counterfeiting

Evidence, signatures, Minn. Statutes 2018 634.01

Federal securities, Minn. Statutes 2018 609.632

Coupons (commercial paper), Minn. Statutes 2018 475.553

Creditors

Claims, priority, Minn. Statutes 2018 336.8-511

Remedies, Minn. Statutes 2018 336.8-112

Crowdfunding, MNvest program, Minn. Statutes 2018 80A.461

Damages, wrongful transfers, Minn. Statutes 2018 336.8-507

Data

Cooperation with other agencies, Minn. Statutes 2018 80A.85

Public records, classification as, Minn. Statutes 2018 80A.84

Debentures, see DEBENTURES

Defects

Constitutional violations, effect, Minn. Statutes 2018 336.8-202

Notice, Minn. Statutes 2018 336.8-202, 2018 336.8-203

Defenses

Certificated securities, validity, Minn. Statutes 2018 336.8-114

Genuineness, Minn. Statutes 2018 336.8-202

Guarantors defined as issuers, Minn. Statutes 2018 336.8-201

Purchasers of security entitlements, Minn. Statutes 2018 336.8-510

Staleness as notice, Minn. Statutes 2018 336.8-203

Wrongful registration, Minn. Statutes 2018 336.8-404, 2018 336.8-406

Definitions

Business corporation, Minn. Statutes 2018 302A.011

Campaign finance and public disclosure, Minn. Statutes 2018 10A.01

Commercial Code, Minn. Statutes 2018 336.1-201, 2018 336.4-104, 2018 336.5-102, 2018 336.8-102 to 2018 336.8-501

Corporate takeovers, Minn. Statutes 2018 80B.01

Housing Finance Agency, Minn. Statutes 2018 462A.03

Insurance holding company systems, Minn. Statutes 2018 60D.15

Minnesota Securities Act, Minn. Statutes 2018 80A.41

Public retirement plans, Minn. Statutes 2018 356.219

TOD security registration, beneficiary forms, Minn. Statutes 2018 524.6-301

Uniform Act for the Simplification of Fiduciary Security Transfers, Minn. Statutes 2018 520.21

Uniform Probate Code, Minn. Statutes 2018 524.1-201, 2018 524.6-301

Delivery

Defined, Minn. Statutes 2018 336.1-201

Securities intermediaries, duties, Minn. Statutes 2018 336.8-301

When delivery occurs, Minn. Statutes 2018 336.8-301, 2018 336.8-304

Deposits

Banks with trust powers, court-ordered deposits, Minn. Statutes 2018 48A.07

Central depositories, Minn. Statutes 2018 520.32

Federal Reserve banks, Minn. Statutes 2018 520.33

Fiduciaries, duties, Minn. Statutes 2018 520.32, 2018 520.33

Trust companies, court-ordered deposits, Minn. Statutes 2018 48A.07

Uniform Fiduciaries Act, Minn. Statutes 2018 520.32

Descent and distribution, wills, Minn. Statutes 2018 524.2-605

Destroyed instruments, Minn. Statutes 2018 336.8-405, 2018 336.8-406

Documentary draft, defined, Minn. Statutes 2018 336.4-104

Documents, securities defined as, Minn. Statutes 2018 336.5-102

Drafts (financial), see DRAFTS (FINANCIAL)

Due care standards, securities intermediaries, Minn. Statutes 2018 336.8-504 to 2018 336.8-509

Electronic signatures, federal law, Minn. Statutes 2018 80A.44

Endorsements

Adverse claims, notice, Minn. Statutes 2018 336.8-105

Appropriate persons, duties, Minn. Statutes 2018 336.8-107

Assurance of genuineness, Minn. Statutes 2018 336.8-401

Blank endorsements, Minn. Statutes 2018 336.8-304

Defined, Minn. Statutes 2018 336.8-102

Effectiveness, determination, Minn. Statutes 2018 336.8-107

Endorsees, obligations, Minn. Statutes 2018 336.8-304

For collection endorsement, Minn. Statutes 2018 336.8-105

For surrender endorsement, Minn. Statutes 2018 336.8-105

Partial endorsements, Minn. Statutes 2018 336.8-304

Representatives, duties, effectiveness, Minn. Statutes 2018 336.8-107

Special endorsements, Minn. Statutes 2018 336.8-304

Warranties, Minn. Statutes 2018 336.8-108, 2018 336.8-306

Wrongful registration, defenses, Minn. Statutes 2018 336.8-404

Entitlement holders

Adverse claims, Minn. Statutes 2018 336.8-502, 2018 336.8-510

Control agreements, Minn. Statutes 2018 336.8-106

Defined, Minn. Statutes 2018 336.8-102

Jurisdiction agreements, Minn. Statutes 2018 336.8-110

Property interest in financial assets held by securities intermediaries, Minn. Statutes 2018 336.8-503, 2018 336.8-505, 2018 336.8-506, 2018 336.8-511

Rights and duties, Minn. Statutes 2018 336.8-110

Entitlement orders

Defined, Minn. Statutes 2018 336.8-102

Generally, Minn. Statutes 2018 336.8-107

Originators, warranties, Minn. Statutes 2018 336.8-109

Securities intermediaries, compliance requirements, Minn. Statutes 2018 336.8-507

Equity securities, defined, Minn. Statutes 2018 80B.01

Evidence

Certificated securities, rules, Minn. Statutes 2018 336.8-114

Fiduciaries, appointment or incumbency, Minn. Statutes 2018 336.8-402

Exercise of rights, trustees, powers, Minn. Statutes 2018 501C.0816

Federal agencies, references to, Minn. Statutes 2018 80A.43

Federal covered investment advisers, Minn. Statutes 2018 80A.41, 2018 80A.60

Federal covered securities

Defined as permissible investments, Minn. Statutes 2018 53B.03

Definitions, Minn. Statutes 2018 80A.41

Filings, Minn. Statutes 2018 80A.50, 2018 80A.55

Registration, see same under this topic

Registration, exemption, Minn. Statutes 2018 80A.45

Federal law, citations to, Minn. Statutes 2018 80A.42

Federal securities, limitations, Minn. Statutes 2018 48.16

Fiduciaries

Appointment or incumbency, evidence, Minn. Statutes 2018 336.8-402

Assignments by fiduciaries, duties regarding, Minn. Statutes 2018 520.23, 2018 520.24

Endorsements or instructions, Minn. Statutes 2018 336.8-402

Registration by or in name of fiduciaries, Minn. Statutes 2018 520.22

Securities deposited in central depository, duties, Minn. Statutes 2018 520.32

Securities deposited in Federal Reserve banks, duties, Minn. Statutes 2018 520.33

Transfer agents, see same under this topic

Transfers, see same under this topic

Fiduciary security transfers, Minn. Statutes 2018 520.28

Filings

Advertisements, Minn. Statutes 2018 80A.71

Copies, Minn. Statutes 2018 80A.83

Definitions, Minn. Statutes 2018 80A.41

Fees, Minn. Statutes 2018 80A.65

Misleading filings, Minn. Statutes 2018 80A.72

Records, Minn. Statutes 2018 80A.83

Financial assets

Acquisition, means, Minn. Statutes 2018 336.8-104

Defined, Minn. Statutes 2018 336.8-102

Entitlement holders, see same under this topic

Generally, Minn. Statutes 2018 336.8-103

Holders, rights, Minn. Statutes 2018 336.8-501

Securities intermediaries, see same under this topic

Security entitlements, see same under this topic

Security interests, grants by securities intermediaries, Minn. Statutes 2018 336.8-504

Financial assurances, radioactive materials licenses, Minn. Statutes 2018 144.1204

Fines, Commerce Department, imposing, Minn. Statutes 2018 45.027

Foreign corporations, business transactions, exceptions, Minn. Statutes 2018 303.03

Forgery, evidence, Minn. Statutes 2018 634.01

Fraud

Alterations, effect, Minn. Statutes 2018 336.8-206

Definitions, Minn. Statutes 2018 80A.41

Generally, Minn. Statutes 2018 80A.68

Investment advice, Minn. Statutes 2018 80A.69

Gambling debts, security void, Minn. Statutes 2018 541.21

Genuine

Defenses, Minn. Statutes 2018 336.8-202

Endorsements or instructions, assurances, Minn. Statutes 2018 336.8-401, 2018 336.8-402

Signatures, Minn. Statutes 2018 336.8-208, 2018 336.8-306

Goods, exclusions, Commercial Code, Minn. Statutes 2018 336.2-105

Government agencies, Minn. Statutes 2018 336.8-202

Government securities

Financial assurances, radioactive materials licenses, Minn. Statutes 2018 144.1204

Workers' compensation self-insurance, Minn. Statutes 2018 79A.04

Guarantee of signature

Defined, Minn. Statutes 2018 336.8-402

Guarantors, liability, Minn. Statutes 2018 336.8-306

Signatures of endorsers or originators of instructions, warranties, Minn. Statutes 2018 336.8-306, 2018 336.8-402

Hearings, Minn. Statutes 2018 80A.82

Holders, blank endorsements, conversion to special endorsements, Minn. Statutes 2018 336.8-304

Housing Finance Agency bonds or notes, see Housing Finance Agency under BONDS (PUBLIC DEBT)

Indemnity bonds

Lost, destroyed, or wrongfully taken instruments, claimant's bond, Minn. Statutes 2018 336.8-405

Registration of transfer, Minn. Statutes 2018 336.8-403

Injunctions

Commerce Department, issuing by, Minn. Statutes 2018 45.027

Creditors' legal process, Minn. Statutes 2018 336.8-112

Registration of transfer, Minn. Statutes 2018 336.8-403

Instructions

Assurance of genuineness, Minn. Statutes 2018 336.8-401, 2018 336.8-402

Defined, Minn. Statutes 2018 336.8-102

Generally, Minn. Statutes 2018 336.8-107

Incomplete instructions, Minn. Statutes 2018 336.8-305

Originator of instructions, Minn. Statutes 2018 336.8-305, 2018 336.8-306

Registered owners, rights, Minn. Statutes 2018 336.8-207

Signature guarantors, warranties, Minn. Statutes 2018 336.8-306

Uncertificated securities, registration of transfer warranties, Minn. Statutes 2018 336.8-108

Wrongful registration, defenses, Minn. Statutes 2018 336.8-404

Insurance

Authority to issue, generally, Minn. Statutes 2018 60A.06

Minnesota standard fire insurance policy, exclusion, Minn. Statutes 2018 65A.01

Policies, exemption, readability law, Minn. Statutes 2018 72C.03

Interest in

Acquisition, means, Minn. Statutes 2018 336.8-104

Ownership of interest, income and franchise taxes, exceptions, Minn. Statutes 2018 290.015

Protected purchasers, acquisition free of adverse claims, Minn. Statutes 2018 336.8-303

Investigations

Commerce Department, Minn. Statutes 2018 45.027

Violations and penalties, Minn. Statutes 2018 80A.79

Investment advisers, see under BROKERS (SECURITIES)

Investment Board

Access, Minn. Statutes 2018 11A.10

Authorized investments, Minn. Statutes 2018 11A.04, 2018 11A.24

Investment company securities, defined, Minn. Statutes 2018 336.8-103

Investments in

Banks, Minn. Statutes 2018 48.39

Cemetery permanent care and improvement funds, Minn. Statutes 2018 306.38, 2018 306.44, 2018 306.79

County cemetery funds, Minn. Statutes 2018 306.48

Health maintenance organizations, Minn. Statutes 2018 61A.28

Higher Education Office, student loan account funds, Minn. Statutes 2018 136A.16

Highway user tax investment fund, Minn. Statutes 2018 161.081

Insurance companies

Generally, Minn. Statutes 2018 60A.11

Investments of Insurers Act, Minn. Statutes 2018 60L.07, 2018 60L.08, 2018 60L.09

Life insurance companies, Minn. Statutes 2018 60L.02, 2018 61A.28

Subsidiaries, Minn. Statutes 2018 60D.16

Investment Board, Minn. Statutes 2018 11A.24

Nonprofit health service plan corporations, Minn. Statutes 2018 61A.28

Public funds (local), Minn. Statutes 2018 118A.04

Public retirement plans, Minn. Statutes 2018 356A.06

Reinsurance intermediary-brokers (RBs), fiduciary funds, Minn. Statutes 2018 60A.715

State airports fund, Minn. Statutes 2018 360.017

Trunk highway fund, Minn. Statutes 2018 161.04

Trustees, powers, Minn. Statutes 2018 501C.0808, 2018 501C.0816, 2018 501C.0901

Workers' compensation commercial self-insurance common claims funds, Minn. Statutes 2018 79A.22

Workers' compensation self-insurers, Minn. Statutes 2018 79A.04

Investor education, Minn. Statutes 2018 80A.78

Issuance

Generally, Minn. Statutes 2018 336.8-201 to 2018 336.8-210

Lost, destroyed, or wrongfully taken instruments, new certificates, Minn. Statutes 2018 336.8-405, 2018 336.8-406

Not establishment of a security entitlement, Minn. Statutes 2018 336.8-501

Overissue, Minn. Statutes 2018 336.8-210, 2018 336.8-404, 2018 336.8-405

Issuers

Control agreements, Minn. Statutes 2018 336.8-106

Defenses, Minn. Statutes 2018 336.8-202

Defined, Minn. Statutes 2018 336.8-201

Demand to not register transfer, duties, Minn. Statutes 2018 336.8-403

Employees, unauthorized signatures, Minn. Statutes 2018 336.8-205

Endorsements and instructions, assurance, Minn. Statutes 2018 336.8-402

Generally, Minn. Statutes 2018 336.8-201 to 2018 336.8-210

Indemnity bonds, Minn. Statutes 2018 336.8-403, 2018 336.8-405

Jurisdiction, Minn. Statutes 2018 336.8-110

Liability, Minn. Statutes 2018 336.8-401, 2018 336.8-404

Liens, validity, Minn. Statutes 2018 336.8-209

Notice received, lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2018 336.8-405, 2018 336.8-406

Overissue, Minn. Statutes 2018 336.8-210, 2018 336.8-404, 2018 336.8-405

Payments or distributions by, securities intermediaries, liability, Minn. Statutes 2018 336.8-505

Persons acting as, duties to certificate holders or owners, Minn. Statutes 2018 336.8-407

Registration of transfer, Minn. Statutes 2018 336.8-110, 2018 336.8-401

Restrictions on transfer, effect, Minn. Statutes 2018 336.8-204, 2018 336.8-401

Rights regarding registered owners, Minn. Statutes 2018 336.8-207

Wrongful registration, liability, Minn. Statutes 2018 336.8-404

Lawsuits

Burden of proof, Minn. Statutes 2018 80A.70

Injunctions, Minn. Statutes 2018 80A.80

Liability

Assessments, Minn. Statutes 2018 336.8-207

Breach of warranty, Minn. Statutes 2018 336.8-306

Calls, Minn. Statutes 2018 336.8-207

Guarantors, Minn. Statutes 2018 336.8-306

Payments or distributions made by issuers, Minn. Statutes 2018 336.8-505

Registration of transfer, Minn. Statutes 2018 336.8-401, 2018 336.8-403

State, securities issued by, Minn. Statutes 2018 3.736

Wrongful registration, Minn. Statutes 2018 336.8-404

Wrongful transfers, Minn. Statutes 2018 336.8-504, 2018 336.8-507

Licenses

Agents, see same under this topic

Broker, see BROKERS (SECURITIES)

Investment advisers, see under BROKERS (SECURITIES)

Liens, issuers' liens, validity, Minn. Statutes 2018 336.8-209

Limited interest, purchasers, Minn. Statutes 2018 336.8-302

Limited liability companies

Foreign limited liability companies, Minn. Statutes 2018 322C.0803

Membership interests converted to, mergers, Minn. Statutes 2018 322C.1002

Membership interests defined as securities, Minn. Statutes 2018 336.8-103

Membership interests exchanged for, exchanges, Minn. Statutes 2018 322C.1002

Loans of, life insurance companies, Minn. Statutes 2018 61A.282

Lost, destroyed, or wrongfully taken instruments

Indemnity bonds, Minn. Statutes 2018 336.8-405

New certificates, issuance, Minn. Statutes 2018 336.8-405, 2018 336.8-406

Notice requirements, Minn. Statutes 2018 336.8-405, 2018 336.8-406

Registration of transfer, Minn. Statutes 2018 336.8-405

Mining corporations, fraudulent issuance or sale, Minn. Statutes 2018 300.65

Minnesota Securities Act, Minn. Statutes 2018 80A.40 to 2018 80A.90

MNvest program, Minn. Statutes 2018 80A.461

Money market instruments, income and franchise taxes, property and receipts factors, Minn. Statutes 2018 290.191

Money orders, see MONEY ORDERS

Municipal securities, Investment Board, purchasing, Minn. Statutes 2018 11A.04

Negotiable instruments, see NEGOTIABLE INSTRUMENTS

Nonprofit corporations, Minn. Statutes 2018 317A.161

Notice requirements

Adverse claims, fiduciary security transfers, Minn. Statutes 2018 520.25

Defects, Minn. Statutes 2018 336.8-202, 2018 336.8-203

Defenses, Minn. Statutes 2018 336.8-202, 2018 336.8-203

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2018 336.8-405, 2018 336.8-406

Staleness, Minn. Statutes 2018 336.8-203

Obligations and interests

Guarantors defined as issuers, Minn. Statutes 2018 336.8-201

Indebtedness, obligation to pay, Minn. Statutes 2018 3.736

Securities or financial assets, determination rules, Minn. Statutes 2018 336.8-103

Offers

Application of law to, Minn. Statutes 2018 80A.87, 2018 80A.90

Exemptions from law, Minn. Statutes 2018 80A.47

Publication, Minn. Statutes 2018 80A.87

Orders, judicial review, Minn. Statutes 2018 80A.86

Overissue

Defined, Minn. Statutes 2018 336.8-210

Identical securities in lieu of, Minn. Statutes 2018 336.8-210, 2018 336.8-404

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2018 336.8-405

Recovery, Minn. Statutes 2018 336.8-210

Wrongful registration, defenses, Minn. Statutes 2018 336.8-404

Owners, registered, Minn. Statutes 2018 336.8-207, 2018 336.8-405, 2018 336.8-406

Ownership of interest, Minn. Statutes 2018 290.015, 2018 336.8-104, 2018 336.8-303

Partial endorsements, separate transfers, Minn. Statutes 2018 336.8-304

Partnerships, interest in partnership defined as securities, Minn. Statutes 2018 336.8-103

Petroleum products distributors, Minn. Statutes 2018 296A.03

Pledges, State Lottery, Minn. Statutes 2018 349A.06, 2018 349A.07

Presumptions, certificated securities, signatures, Minn. Statutes 2018 336.8-114

Prior transactions, validation, Minn. Statutes 2018 336.10-102

Private fund advisers, Minn. Statutes 2018 80A.41

Probate, Minn. Statutes 2018 524.1-201, 2018 524.6-301 to 2018 524.6-311

Professional firms, ownership interest transactions, exception, Minn. Statutes 2018 319B.07

Protected purchasers

Generally, Minn. Statutes 2018 336.8-303

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2018 336.8-405

Security certificates in registered form, endorsement, Minn. Statutes 2018 336.8-304

Public securities, defined as personal property, Minn. Statutes 2018 272.03

Purchasers for value

Blanks incorrectly filled, enforcement, Minn. Statutes 2018 336.8-206

Issuers' defenses, Minn. Statutes 2018 336.8-202

Issuers' liens, validity, Minn. Statutes 2018 336.8-209

Securities intermediaries deemed as, Minn. Statutes 2018 336.8-116

Unauthorized signatures, Minn. Statutes 2018 336.8-205

Purchasers

Adverse claims, Minn. Statutes 2018 336.8-503, 2018 336.8-510

Certificated securities, control, Minn. Statutes 2018 336.8-106

Control agreements, Minn. Statutes 2018 336.8-106

Limited interest, Minn. Statutes 2018 336.8-302

Protected purchasers, Minn. Statutes 2018 336.8-303, 2018 336.8-304, 2018 336.8-405

Purchasers for value, see same under this topic

Rejection or rescission of transfer, Minn. Statutes 2018 336.8-307

Rights acquired, Minn. Statutes 2018 336.8-302

Security entitlements, control, Minn. Statutes 2018 336.8-106

Uncertificated securities, control, Minn. Statutes 2018 336.8-106

Purchases

Application of law, Minn. Statutes 2018 80A.87

Purchasers, liability, Minn. Statutes 2018 80A.76, 2018 80A.77

Without intent to control, racketeering, exemption, Minn. Statutes 2018 609.903

Receipts from disposition, Uniform Principal and Income Act, Minn. Statutes 2018 501C.1103

Records and record keeping

Commerce Department use of, Minn. Statutes 2018 80A.78

Public records, classification as, Minn. Statutes 2018 80A.84

Registered form

Defined, Minn. Statutes 2018 336.8-102

Protected purchasers, endorsement, Minn. Statutes 2018 336.8-304

Purchasers, control, Minn. Statutes 2018 336.8-106

Registered owners

Calls or assessments, liability, Minn. Statutes 2018 336.8-207

Lost, destroyed, or wrongfully taken instruments, notice given, Minn. Statutes 2018 336.8-405, 2018 336.8-406

Rights, Minn. Statutes 2018 336.8-207

Registration of transfer

Appropriate persons, duties, Minn. Statutes 2018 336.8-401

Authenticating trustees, duties, Minn. Statutes 2018 336.8-407

Business trusts, Minn. Statutes 2018 318.03

Conditions for, Minn. Statutes 2018 336.8-401

Definitions, Minn. Statutes 2018 336.8-402

Demand that issuer not register transfer, Minn. Statutes 2018 336.8-403

Effectiveness, Minn. Statutes 2018 336.8-110

Endorsements or instructions, assurance, Minn. Statutes 2018 336.8-402

Issuers, Minn. Statutes 2018 336.8-201, 2018 336.8-401, 2018 336.8-403

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2018 336.8-405, 2018 336.8-406

Proof of authority to transfer, Minn. Statutes 2018 336.8-307

Registered owners, rights, Minn. Statutes 2018 336.8-207

Registrars, duties, Minn. Statutes 2018 336.8-407

Statements, Minn. Statutes 2018 80A.53

Transfer agents, duties, Minn. Statutes 2018 336.8-407

Warranties, Minn. Statutes 2018 336.8-108

Wrongful registration, liability, Minn. Statutes 2018 336.8-404

Registration statements, filing, Minn. Statutes 2018 80A.53

Registration

Application of law to, Minn. Statutes 2018 80A.90

By coordination, Minn. Statutes 2018 80A.51, 2018 80A.55

By qualification, Minn. Statutes 2018 80A.52, 2018 80A.55

Denial, suspension, and revocation, Minn. Statutes 2018 80A.54

Exempt transactions, Minn. Statutes 2018 80A.46

Exemptions

By rule or order, Minn. Statutes 2018 80A.47

Commerce Department enforcement powers, Minn. Statutes 2018 80A.81

Denial, suspension, revocation, conditions or limitations, Minn. Statutes 2018 80A.48

Generally, exempt securities, Minn. Statutes 2018 80A.45

Fees, Minn. Statutes 2018 80A.65

Misrepresentations, Minn. Statutes 2018 80A.73

MNvest exemption, Minn. Statutes 2018 80A.461

Register, Minn. Statutes 2018 80A.83

Requirements, generally, Minn. Statutes 2018 80A.49

Small corporate offerings, Minn. Statutes 2018 80A.50

Stop orders, Minn. Statutes 2018 80A.54

Waivers, Minn. Statutes 2018 80A.55

Reinsurance, reduction of liability, Minn. Statutes 2018 60A.093

Rules about, judicial review, Minn. Statutes 2018 80A.86

Rural Finance Authority, bonds, Minn. Statutes 2018 41C.07, 2018 41C.10

Sales

Application of law, Minn. Statutes 2018 80A.87, 2018 80A.90

Banks with trust powers, guarantees, Minn. Statutes 2018 48A.08

MNvest registration exemption, Minn. Statutes 2018 80A.461

Real estate brokers and agents, Minn. Statutes 2018 82.81

Real estate licensure, exemption, Minn. Statutes 2018 82.56

Rescission offers, Minn. Statutes 2018 80A.77

Sellers, liability to purchasers, Minn. Statutes 2018 80A.76, 2018 80A.77

Tax judgment sales, Minn. Statutes 2018 270C.7101

Trust companies, guarantees, Minn. Statutes 2018 48A.08

Secured parties

Creditors' legal process, Minn. Statutes 2018 336.8-112

Security certificates, redelivery warranties, Minn. Statutes 2018 336.8-108

Securities accounts

Defined, Minn. Statutes 2018 336.8-501

Secured transactions, Minn. Statutes 2018 336.9-106, 2018 336.9-108, 2018 336.9-203

Transfers to, Minn. Statutes 2018 336.8-508

Securities intermediaries

Adverse claims, Minn. Statutes 2018 336.8-115, 2018 336.8-510

Commercially reasonable practices, Minn. Statutes 2018 336.8-504 to 2018 336.8-509

Control agreements, Minn. Statutes 2018 336.8-106

Creditors' claims, priority, Minn. Statutes 2018 336.8-511

Deemed purchasers for value, Minn. Statutes 2018 336.8-116

Defined, Minn. Statutes 2018 336.8-102

Delivery of securities, duties, Minn. Statutes 2018 336.8-301

Due care standards, Minn. Statutes 2018 336.8-504 to 2018 336.8-509

Entitlement orders, compliance, Minn. Statutes 2018 336.8-507

Issuers' defenses, Minn. Statutes 2018 336.8-202

Jurisdiction, Minn. Statutes 2018 336.8-110

Liability, Minn. Statutes 2018 336.8-115, 2018 336.8-505, 2018 336.8-507

Property held for entitlement holders

Application of other laws, compliance, Minn. Statutes 2018 336.8-509

Changing to other forms of security holding, Minn. Statutes 2018 336.8-508

Claims against, priority, Minn. Statutes 2018 336.8-511

Duties, Minn. Statutes 2018 336.8-504

Entitlement holders' rights, exercising, Minn. Statutes 2018 336.8-506

Obligation to perform duties, Minn. Statutes 2018 336.8-509

Rights and claims, exemption, Minn. Statutes 2018 336.8-503

Rights and duties, Minn. Statutes 2018 336.8-110

Security certificates, warranties, Minn. Statutes 2018 336.8-109

Security entitlements, Minn. Statutes 2018 336.8-106, 2018 336.8-501

Security certificates

Alteration, Minn. Statutes 2018 336.8-206

Bearer form, Minn. Statutes 2018 336.8-102, 2018 336.8-106, 2018 336.8-304

Conflict of laws, governing law, Minn. Statutes 2018 336.8-103

Defined, Minn. Statutes 2018 336.8-102

Endorsement warranties, Minn. Statutes 2018 336.8-108, 2018 336.8-306

Partial endorsements, separate transfers, Minn. Statutes 2018 336.8-304

Persons acting as issuers, duties to certificate holders or owners, Minn. Statutes 2018 336.8-407

Registered form, Minn. Statutes 2018 336.8-102, 2018 336.8-106, 2018 336.8-304

Secured parties, warranties, Minn. Statutes 2018 336.8-108

Securities intermediaries, warranties, Minn. Statutes 2018 336.8-109

Signatures, Minn. Statutes 2018 336.8-208

Unauthorized signatures, Minn. Statutes 2018 336.8-205

Security entitlements

Acquisition, Minn. Statutes 2018 336.8-104, 2018 336.8-110, 2018 336.8-501

Control by secured party, Minn. Statutes 2018 336.9-106

Creditors' legal process, Minn. Statutes 2018 336.8-112

Defined, Minn. Statutes 2018 336.8-102

Descriptions of property, sufficiency, Minn. Statutes 2018 336.9-108

Generally, Minn. Statutes 2018 336.8-501 to 2018 336.8-511

Perfection of interest, Minn. Statutes 2018 336.8-510

Purchasers, Minn. Statutes 2018 336.8-106, 2018 336.8-510

Securities intermediaries, Minn. Statutes 2018 336.8-106, 2018 336.8-501

Security interests, Minn. Statutes 2018 336.9-203

Security interests

Creditors' claims, priority, Minn. Statutes 2018 336.8-511

Holders' or purchasers' rights, priority, Minn. Statutes 2018 336.9-331

Perfection, Minn. Statutes 2018 336.8-510, 2018 336.8-603

Securities intermediaries, grants by, Minn. Statutes 2018 336.8-504

Uncertificated securities, see same under this topic

Service of process

Generally, Minn. Statutes 2018 80A.88

Power to bring, Commerce Department, Minn. Statutes 2018 45.028

Severability of law, Minn. Statutes 2018 80A.89

Signatures

Certificated securities, rules of evidence, Minn. Statutes 2018 336.8-114

Effect, generally, Minn. Statutes 2018 336.8-208

Generally, Minn. Statutes 2018 336.8-306, 2018 336.8-402

Unauthorized signatures, effect, Minn. Statutes 2018 336.8-205

Warranties, Minn. Statutes 2018 336.8-208, 2018 336.8-306

Small corporate offerings, registration, Minn. Statutes 2018 80A.50

Special endorsements, Minn. Statutes 2018 336.8-304

Staleness, notice of defect or defense, Minn. Statutes 2018 336.8-203

State government securities

Issuance and sale, liability limits, Minn. Statutes 2018 3.736

Public funds (local), collateral in lieu of surety bonds, Minn. Statutes 2018 118A.03

Statute of frauds, contract enforcement, inapplicable, Minn. Statutes 2018 336.8-113

Stocks, see STOCKS

Subdivided land sales law, exemption, Minn. Statutes 2018 83.25, 2018 83.26

Tax judgment sales, Minn. Statutes 2018 270C.7101, 2018 270C.7105

Tax-exempt securities

Intermediate School District 287 (Hennepin County), bonds, Minn. Statutes 2018 136D.281

Intermediate School District 916 (Northeast Metro), bonds, Minn. Statutes 2018 136D.741

Intermediate School District 917 (Dakota County), bonds, Minn. Statutes 2018 136D.88

Taxes, laws, compliance, Minn. Statutes 2018 336.8-401

Taxpayers, confiscation of property for taxes, release, Minn. Statutes 2018 270C.67

Terms

Alteration, enforcement, Minn. Statutes 2018 336.8-206

Blanks, filling, Minn. Statutes 2018 336.8-206

Cancellation, material change, Minn. Statutes 2018 336.8-202

Issuers' liens, Minn. Statutes 2018 336.8-209

Requirements, generally, Minn. Statutes 2018 336.8-202

Transfer restrictions, notice, Minn. Statutes 2018 336.8-204

Theft, registration of transfer, Minn. Statutes 2018 336.8-405

TOD Security Registration Act, Minn. Statutes 2018 524.6-301 to 2018 524.6-311

Township mutual companies, overnight repurchase agreements, collateral, Minn. Statutes 2018 67A.231

Transactions

Exemptions from registration, Minn. Statutes 2018 80A.46, 2018 80A.47

Home solicitation sales, exemption, Minn. Statutes 2018 325G.06

Plain Language Contract Act, exemption, Minn. Statutes 2018 325G.30

Transfer agents

Adverse claims, Minn. Statutes 2018 336.8-115, 2018 520.25

Assignments by fiduciaries, duties, Minn. Statutes 2018 520.23, 2018 520.24

Endorsements or instructions, assurance of authority to sign, Minn. Statutes 2018 336.8-402

Fiduciaries, see same under this topic

Nonliability, Minn. Statutes 2018 520.26

Registration of transfer, duties, Minn. Statutes 2018 336.8-407

Unauthorized signatures, Minn. Statutes 2018 336.8-205

Warranties, Minn. Statutes 2018 336.8-108, 2018 336.8-208, 2018 336.8-306

Transfer warranties, Minn. Statutes 2018 336.8-108, 2018 336.8-109

Transfers

Adverse claims, Minn. Statutes 2018 520.25

Agents, see Transfer agents under this topic

By endorsement, Minn. Statutes 2018 336.8-304

Corporations, nonliability, Minn. Statutes 2018 520.26

Definitions, Minn. Statutes 2018 520.21

Fiduciaries, liability, Minn. Statutes 2018 520.02, 2018 520.26, 2018 520.27

Interpretation of law, uniformity, Minn. Statutes 2018 520.30

Proof of authority to transfer, Minn. Statutes 2018 336.8-307

Registration of transfer, see same under this topic

Rejection or rescission, Minn. Statutes 2018 336.8-307

Restrictions by issuer, effect, Minn. Statutes 2018 336.8-204, 2018 336.8-401

Rights acquired, Minn. Statutes 2018 336.8-302

Signature guarantors, warranties, Minn. Statutes 2018 336.8-306

Third parties, nonliability, Minn. Statutes 2018 520.27

Transfer agents, nonliability, Minn. Statutes 2018 520.26

Warranties, Minn. Statutes 2018 336.8-108, 2018 336.8-109

Wrongful transfers, Minn. Statutes 2018 336.8-504, 2018 336.8-507

Trustees

Authenticating, Minn. Statutes 2018 336.8-205, 2018 336.8-208, 2018 336.8-407

Investments in securities, powers, Minn. Statutes 2018 501C.0808, 2018 501C.0816, 2018 501C.0901

Trusts, corporate trust agreements, creating, Minn. Statutes 2018 501C.0102

Uncertificated securities

Creditors' legal process, Minn. Statutes 2018 336.8-112

Definitions, Minn. Statutes 2018 336.8-102

Delivery to purchasers, Minn. Statutes 2018 336.8-301

Housing Finance Agency bonds or notes, Minn. Statutes 2018 462A.08

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2018 336.8-405

Persons acting as issuers, duties to certificate holders or owners, Minn. Statutes 2018 336.8-407

Protected purchasers, control, Minn. Statutes 2018 336.8-301

Purchasers, control, Minn. Statutes 2018 336.8-106

Registration of transfer warranties, Minn. Statutes 2018 336.8-108, 2018 336.8-109

Secured transactions, control by secured party, Minn. Statutes 2018 336.9-106

Signature warranties, Minn. Statutes 2018 336.8-306

Terms, Minn. Statutes 2018 336.8-202, 2018 336.8-204

Transfer warranties, Minn. Statutes 2018 336.8-108

Uniform Act for the Simplification of Fiduciary Security Transfers, Minn. Statutes 2018 520.21 to 2018 520.31

Usury, see USURY

Validity

Certificated securities, defenses or defects, Minn. Statutes 2018 336.8-114

Local laws, application, Minn. Statutes 2018 336.8-110

Rules, Minn. Statutes 2018 336.8-202

Valuables, securities defined as, Minn. Statutes 2018 327.70

Violations and penalties

Application of law to, Minn. Statutes 2018 80A.90

Business corporations, directors, liability, Minn. Statutes 2018 302A.251

Civil liability, Minn. Statutes 2018 80A.76, 2018 80A.77, 2018 82.86

Civil penalties, Minn. Statutes 2018 80A.81

Criminal penalties, generally, Minn. Statutes 2018 80A.75

Fraud, Minn. Statutes 2018 80A.68, 2018 80A.69

Generally, Minn. Statutes 2018 45.027

Injunctions, Minn. Statutes 2018 80A.80

Investigations, Minn. Statutes 2018 80A.79

Lawsuits, burden of proof, Minn. Statutes 2018 80A.70

Voided securities, gambling debts, Minn. Statutes 2018 541.21

Voting rights, registered owners, Minn. Statutes 2018 336.8-207

Voting securities

Insurance holding companies, Minn. Statutes 2018 60D.15, 2018 60L.02

Trustees, powers, Minn. Statutes 2018 501C.0816

Warranties

Authenticating trustees, Minn. Statutes 2018 336.8-208

Breach of warranty, liability, Minn. Statutes 2018 336.8-306

Endorsements, Minn. Statutes 2018 336.8-108, 2018 336.8-306, 2018 336.8-402

Entitlement orders, Minn. Statutes 2018 336.8-109

Instructions, Minn. Statutes 2018 336.8-108, 2018 336.8-306, 2018 336.8-402

Registrars, Minn. Statutes 2018 336.8-208

Registration of transfer warranties, Minn. Statutes 2018 336.8-108, 2018 336.8-109

Secured parties, Minn. Statutes 2018 336.8-108

Signatures of endorsers or originators of instructions, Minn. Statutes 2018 336.8-306, 2018 336.8-402

Transfer agents, Minn. Statutes 2018 336.8-108, 2018 336.8-208, 2018 336.8-306

Transfer warranties, Minn. Statutes 2018 336.8-108, 2018 336.8-109

Workers' compensation self-insurance, see Securities under WORKERS COMPENSATION SELF-INSURANCE

Worthless securities, income and franchise taxes, refunds, Minn. Statutes 2018 289A.40

Wrongful registration, liability, violations and penalties, Minn. Statutes 2018 336.8-404

Wrongful transfers

Damages, Minn. Statutes 2018 336.8-507

Violations and penalties, Minn. Statutes 2018 336.8-504

Wrongfully taken instruments, Minn. Statutes 2018 336.8-405, 2018 336.8-406