BROKERS (SECURITIES)

Acknowledgments, local public funds, investment restrictions, Minn. Statutes 2024 118A.04

Address, supplying to commissioner, Minn. Statutes 2024 45.0112

Adverse claims, liability, Minn. Statutes 2024 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 2024 48.15

Broker-dealers

Agents, see under SECURITIES

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

Annuities transactions, Minn. Statutes 2024 72A.203 to 72A.2036

Conduct, Minn. Rules 2876.5021

Definition, exclusions, Minn. Rules 2876.1020

Definitions, Minn. Statutes 2024 80A.41

Direct common control, Minn. Rules 2876.4021

Disciplinary actions, Minn. Statutes 2024 80A.67

Errors and omissions insurance requirements, Minn. Statutes 2024 80A.91

Examinations, Minn. Statutes 2024 80A.67

Fair dealing, Minn. Rules 2876.5021

Financial exploitation of seniors or vulnerable adults

Definitions, Minn. Statutes 2024 45A.01

Delaying disbursements, Minn. Statutes 2024 45A.06, 45A.07

Governmental disclosures, Minn. Statutes 2024 45A.02, 45A.03

Third-party disclosures, Minn. Statutes 2024 45A.04, 45A.05

Financial statements, Minn. Rules 2876.6052

Generally, Minn. Statutes 2024 80A.66

Interested shareholders, exclusion, Minn. Statutes 2024 302A.011

Liability, Minn. Statutes 2024 80A.74, 80A.76, 80A.77

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

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2024 80A.67

Fees, Minn. Statutes 2024 80A.65

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

Generally, Minn. Statutes 2024 80A.56

Misrepresentations, Minn. Statutes 2024 80A.73

Procedure, Minn. Statutes 2024 80A.61

Succession to, Minn. Statutes 2024 80A.62

Withdrawal, Minn. Statutes 2024 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2024 118A.06

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 2024 48.15

Contracts and agreements, local public funds, investment, Minn. Statutes 2024 118A.05, 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2024 80B.05

Credit services organizations, exclusion, Minn. Statutes 2024 332.52

Customer information security program, Minn. Statutes 2024 46A.01 to 46A.08

Debt management services providers, exclusion, Minn. Statutes 2024 332A.02

Definitions

Commercial Code, Minn. Statutes 2024 336.8-102

Customer information security program, Minn. Statutes 2024 46A.01

Public retirement plan investments, Minn. Statutes 2024 356A.06

Transfers to minors, Minn. Statutes 2024 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2024 48.15

Exemptions, real estate licensure, Minn. Statutes 2024 82.56

Federal covered investment advisers

Conduct, Minn. Rules 2876.5023

Definitions, Minn. Statutes 2024 80A.41

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. Statutes 2024 80A.60, Minn. Rules 2876.4050

Financial planners, Minn. Rules 2876.5024

Funding portal registration, Minn. Statutes 2024 80A.61

Incorporations by reference, effective dates, Minn. Rules 2876.1030

Investment adviser representatives, registration, Minn. Statutes 2024 80A.61

Investment advisers

Address and telephone number, Minn. Statutes 2024 45.0112

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

Definitions, Minn. Statutes 2024 80A.41

Disciplinary actions, Minn. Statutes 2024 80A.67

Disclosures to clients and prospective clients, Minn. Rules 2876.4117

Discretionary authority over client funds, Minn. Rules 2876.4113

Examinations, Minn. Statutes 2024 80A.67, 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 exploitation of seniors or vulnerable adults

Definitions, Minn. Statutes 2024 45A.01

Delaying disbursements, Minn. Statutes 2024 45A.06, 45A.07

Governmental disclosures, Minn. Statutes 2024 45A.02, 45A.03

Third-party disclosures, Minn. Statutes 2024 45A.04, 45A.05

Financial reporting requirements, Minn. Rules 2876.4113

Financial requirements, Minn. Rules 2876.4112

Financial statements, Minn. Rules 2876.6052

Fraud, Minn. Statutes 2024 80A.69

Generally, Minn. Statutes 2024 80A.66

Investment advisory contracts, Minn. Rules 2876.5022

Letters of credit, Minn. Rules 2876.4115

Liability, Minn. Statutes 2024 80A.74, 80A.76, 80A.77

Licenses, Minn. Statutes 2024 45.0292

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

Professional fund raisers, exclusion, Minn. Statutes 2024 309.50

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

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2024 80A.67

Fees, Minn. Statutes 2024 80A.65

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

Generally, Minn. Statutes 2024 80A.58

Misrepresentations, Minn. Statutes 2024 80A.73

Procedure, Minn. Statutes 2024 80A.61

Succession to, Minn. Statutes 2024 80A.62

Withdrawal, Minn. Statutes 2024 80A.64

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 2024 336.8-115

Licenses

Real estate broker licensure, exemption, Minn. Statutes 2024 82.56

Reciprocity, Minn. Statutes 2024 45.0292

Manuals, nationally recognized, Minn. Rules 2876.2020

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2024 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 2024 80A.41

Registration, Minn. Statutes 2024 80A.58

Private funds, records and reports, Minn. Statutes 2024 80A.66

Professional fund raisers, exclusion, Minn. Statutes 2024 309.50

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

Public retirement plans, investment restrictions, notice given, Minn. Statutes 2024 356A.06

Real estate licensure, Minn. Statutes 2024 82.56

Records and record keeping, child support enforcement, access, Minn. Statutes 2024 518A.83

Registration, Central Registration Depository, Minn. Rules 2876.4060

Securities intermediaries, brokers defined as, Minn. Statutes 2024 336.8-102

Street name or nominee name, Minn. Statutes 2024 527.21, 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2024 45.0112

Warranties, Minn. Statutes 2024 336.8-108