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2017 Minnesota Statutes Index (topics)

BROKERS (SECURITIES)

Acknowledgments, local public funds, investment restrictions, Minn. Statutes 2017 118A.04

Address, supplying to commissioner, Minn. Statutes 2017 45.0112

Adverse claims, liability, Minn. Statutes 2017 336.8-115

Banks, affiliate discount brokers, individual retirement accounts, Minn. Statutes 2017 48.15

Broker-dealers

Agents, see under SECURITIES

Annuities transactions, Minn. Statutes 2017 72A.203 to 2017 72A.2036

Definitions, Minn. Statutes 2017 80A.41

Disciplinary actions, Minn. Statutes 2017 80A.67

Errors and omissions insurance requirements, Minn. Statutes 2017 80A.91

Examinations, Minn. Statutes 2017 80A.67

Generally, Minn. Statutes 2017 80A.66

Interested shareholders, exclusion, Minn. Statutes 2017 302A.011

Liability, Minn. Statutes 2017 80A.74, 2017 80A.76, 2017 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2017 80A.67

Fees, Minn. Statutes 2017 80A.65

Generally, Minn. Statutes 2017 80A.56

Misrepresentations, Minn. Statutes 2017 80A.73

Procedure, Minn. Statutes 2017 80A.61

Succession to, Minn. Statutes 2017 80A.62

Withdrawal, Minn. Statutes 2017 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2017 118A.06

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2017 48.15

Contracts and agreements, local public funds, investment, Minn. Statutes 2017 118A.05, 2017 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2017 80B.05

Credit services organizations, exclusion, Minn. Statutes 2017 332.52

Debt management services providers, exclusion, Minn. Statutes 2017 332A.02

Definitions

Commercial Code, Minn. Statutes 2017 336.8-102

Public retirement plan investments, Minn. Statutes 2017 356A.06

Transfers to minors, Minn. Statutes 2017 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2017 48.15

Exemptions, real estate licensure, Minn. Statutes 2017 82.56

Federal covered investment advisers

Definitions, Minn. Statutes 2017 80A.41

Notices, filing, Minn. Statutes 2017 80A.60

Funding portal registration, Minn. Statutes 2017 80A.61

Investment adviser representatives, registration, Minn. Statutes 2017 80A.61

Investment advisers

Address and telephone number, Minn. Statutes 2017 45.0112

Definitions, Minn. Statutes 2017 80A.41

Disciplinary actions, Minn. Statutes 2017 80A.67

Examinations, Minn. Statutes 2017 80A.67

Fraud, Minn. Statutes 2017 80A.69

Generally, Minn. Statutes 2017 80A.66

Liability, Minn. Statutes 2017 80A.74, 2017 80A.76, 2017 80A.77

Licenses, Minn. Statutes 2017 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2017 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2017 80A.67

Fees, Minn. Statutes 2017 80A.65

Generally, Minn. Statutes 2017 80A.58

Misrepresentations, Minn. Statutes 2017 80A.73

Procedure, Minn. Statutes 2017 80A.61

Succession to, Minn. Statutes 2017 80A.62

Withdrawal, Minn. Statutes 2017 80A.64

Liability, adverse claims, Minn. Statutes 2017 336.8-115

Licenses

Real estate broker licensure, exemption, Minn. Statutes 2017 82.56

Reciprocity, Minn. Statutes 2017 45.0292

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2017 334.19

Private fund advisers

Definition, Minn. Statutes 2017 80A.41

Registration, Minn. Statutes 2017 80A.58

Private funds, records and reports, Minn. Statutes 2017 80A.66

Professional fund raisers, exclusion, Minn. Statutes 2017 309.50

Public retirement plans, investment restrictions, notice given, Minn. Statutes 2017 356A.06

Real estate licensure, Minn. Statutes 2017 82.56

Records and record keeping, child support enforcement, access, Minn. Statutes 2017 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2017 336.8-102

Street name or nominee name, Minn. Statutes 2017 527.21, 2017 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2017 45.0112

Warranties, Minn. Statutes 2017 336.8-108

700 State Office Building, 100 Rev. Dr. Martin Luther King Jr. Blvd., St. Paul, MN 55155 ♦ Phone: (651) 296-2868 ♦ TTY: 1-800-627-3529 ♦ Fax: (651) 296-0569