BROKERS (SECURITIES)

Agents, errors, insurance for, Minn. Law 2009 c 178 art 1 s 49

Broker-dealers

Bonds (officers and fiduciaries), Minn. Law 2006 c 196 art 1 s 26

Definitions, Minn. Law 2006 c 196 art 1 s 2

Disciplinary actions, Minn. Law 2006 c 196 art 1 s 27

Examinations, Minn. Law 2006 c 196 art 1 s 27

Financial reports, Minn. Law 2006 c 196 art 1 s 26

Financial requirements, Minn. Law 2006 c 196 art 1 s 26

Insurance, Minn. Law 2006 c 196 art 1 s 26

Liability

For violations, Minn. Law 2006 c 196 art 1 s 36, 37

Immunity, for defamation in required records, Minn. Law 2006 c 196 art 1 s 34

Records and record keeping, Minn. Law 2006 c 196 art 1 s 26

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Law 2006 c 196 art 1 s 27

Fees, Minn. Law 2006 c 196 art 1 s 25

Generally, Minn. Law 2006 c 196 art 1 s 17

Misrepresentations, Minn. Law 2006 c 196 art 1 s 33

Procedure, Minn. Law 2006 c 196 art 1 s 21

Succession to, Minn. Law 2006 c 196 art 1 s 22

Withdrawal, Minn. Law 2006 c 196 art 1 s 24

Broker-dealers, annuities transactions, Minn. Law 2013 c 54

Broker-dealers, continuing education, Minn. Law 2024 c 114 art 2 s 41

Broker-dealers, registration, Minn. Law 2022 c 93 art 2 s 34

Broker-dealers, vulnerable adults, financial exploitation, Minn. Law 2018 c 161 s 1 to 2018 c 161 s 7, 2018 c 213 s 9

Customer information security program, Minn. Law 2024 c 114 art 2 s 1 to 2024 c 114 art 2 s 8

Federal covered investment advisers

Definitions, Minn. Law 2006 c 196 art 1 s 2

Notices, filing, Minn. Law 2006 c 196 art 1 s 20

Funding portals, Minn. Law 2013 c 106 s 1, 4

Investment adviser representatives, Minn. Law 2013 c 106 s 3, 4

Investment adviser representatives, registration, Minn. Law 2017 c 94 art 8 s 6, 7, 2024 c 114 art 2 s 40

Investment advisers, Minn. Law 2013 c 106 s 5

Bond (officers and fiduciaries), Minn. Law 2006 c 196 art 1 s 26

Continuing education, Minn. Law 2024 c 114 art 2 s 41

Definitions, Minn. Law 2006 c 196 art 1 s 2

Disciplinary actions, Minn. Law 2006 c 196 art 1 s 27

Examinations, Minn. Law 2006 c 196 art 1 s 27

Financial reports, Minn. Law 2006 c 196 art 1 s 26

Financial requirements, Minn. Law 2006 c 196 art 1 s 26

Fraud, Minn. Law 2006 c 196 art 1 s 29

Insurance, Minn. Law 2006 c 196 art 1 s 26

Liability

Immunity, for defamation in required records, Minn. Law 2006 c 196 art 1 s 34

Unregistered advisers, Minn. Law 2006 c 196 art 1 s 36, 37

Records and record keeping, Minn. Law 2006 c 196 art 1 s 26

Registration, Minn. Law 2024 c 114 art 2 s 40

Denial, revocation, suspension, withdrawal, or limitation, Minn. Law 2006 c 196 art 1 s 27

Fees, Minn. Law 2006 c 196 art 1 s 25

Generally, Minn. Law 2006 c 196 art 1 s 19

Misrepresentations, Minn. Law 2006 c 196 art 1 s 33

Procedure, Minn. Law 2006 c 196 art 1 s 21

Succession to, Minn. Law 2006 c 196 art 1 s 22

Withdrawal, Minn. Law 2006 c 196 art 1 s 24

Investment advisers, financial exploitation of seniors or vulnerable adults, definitions, Minn. Law 2019 c 59 s 1

Investment advisers, registration, Minn. Law 2022 c 93 art 2 s 34

Investment advisers to 3(c)(1) funds, Minn. Law 2013 c 106 s 3

Investment advisers, vulnerable adults, financial exploitation, Minn. Law 2018 c 161 s 1 to 2018 c 161 s 7, 2018 c 213 s 9

Private fund advisers, Minn. Law 2013 c 106 s 1, 3, 5