SECURITIES

abandoned and unclaimed property, sales, Minn. Law 2005 1Sp c 1 art 4 s 95, 96

Accredited investors, Minn. Law 2008 c 256 s 2, 3, 8, 10, 11

Adverse claims, purchasers, Minn. Law 2024 c 93 art 8 s 5

Advertisements, filing, Minn. Law 2006 c 196 art 1 s 31

Agents

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

Liability

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

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

Registration

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

Generally, Minn. Law 2006 c 196 art 1 s 18

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

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

Termination or transfer of employment, Minn. Law 2006 c 196 art 1 s 23

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

Agents, registration, Minn. Law 2008 c 256 s 9, 2022 c 93 art 2 s 34

Agents, registration, procedure, Minn. Law 2024 c 114 art 2 s 40

Beneficiaries, disclaimers of interest in property, Minn. Law 2009 c 67

Broker-dealers, see under BROKERS (SECURITIES)

Broker-dealers, registration, Minn. Law 2008 c 256 s 8, 12, 15

Certificated securities, security interests, perfection and priority, Minn. Law 2024 c 93 art 9 s 19

Commerce Department

Cease and desist orders, Minn. Law 2006 c 196 art 1 s 41

Forms, Minn. Law 2006 c 196 art 1 s 42

Hearings, Minn. Law 2006 c 196 art 1 s 42

Injunctions, Minn. Law 2006 c 196 art 1 s 40

Interpretative opinions, Minn. Law 2006 c 196 art 1 s 42

Investigations, Minn. Law 2006 c 196 art 1 s 39

Investor education, Minn. Law 2006 c 196 art 1 s 38

Orders generally, Minn. Law 2006 c 196 art 1 s 42

Records, use, Minn. Law 2006 c 196 art 1 s 38

Registration exemptions, changes in, Minn. Law 2006 c 196 art 1 s 41

Rulemaking authority, Minn. Law 2006 c 196 art 1 s 42

Conflict of laws

Issuer's jurisdiction, local laws to govern, Minn. Law 2024 c 93 art 8 s 4

Securities intermediary's jurisdiction, local laws to govern, Minn. Law 2024 c 93 art 8 s 4

Continuing education, Minn. Law 2008 c 256 s 14

Cooperative housing, applicability of law, Minn. Law 2024 c 96 art 1 s 2

Cooperatives, transactions exempt from registration, Minn. Law 2008 c 256 s 3

Data

Cooperation with other agencies, Minn. Law 2006 c 196 art 1 s 45

Public records, classification as, Minn. Law 2006 c 196 art 1 s 44

Data, public records, classification as, Minn. Law 2019 c 59 s 4

Definitions, campaign finance and public disclosure, Minn. Law 2018 c 119 s 3, 34

Definitions, Commercial Code, Minn. Law 2024 c 93 art 8 s 1

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

Electronic signatures, federal law, Minn. Law 2006 c 196 art 1 s 5

Employee benefit plans, transactions exempt from registration, Minn. Law 2008 c 256 s 3

Exempt transactions, Minn. Law 2010 c 215 art 4 s 9, 2010 c 384 s 45

Federal agencies, references to, Minn. Law 2006 c 196 art 1 s 4

Federal covered investment advisers, Minn. Law 2006 c 196 art 1 s 2, 20, 2008 c 256 s 13

Federal covered securities, Minn. Law 2008 c 256 s 4, 2008 c 363 art 6 s 5

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

Filings, Minn. Law 2006 c 196 art 1 s 11, 16

Registration, exemption, Minn. Law 2006 c 196 art 1 s 6

Federal covered securities, filings, Minn. Law 2024 c 114 art 2 s 39

Federal law, citations to, Minn. Law 2006 c 196 art 1 s 3

Filings

Advertisements, Minn. Law 2006 c 196 art 1 s 31

Copies, Minn. Law 2006 c 196 art 1 s 43

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

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

Misleading filings, Minn. Law 2006 c 196 art 1 s 32

Records, Minn. Law 2006 c 196 art 1 s 43

Financial assets, exclusions, Minn. Law 2024 c 93 art 8 s 2

Fraud

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

Generally, Minn. Law 2006 c 196 art 1 s 28

Investment advice, Minn. Law 2006 c 196 art 1 s 29

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

Hearings, Minn. Law 2006 c 196 art 1 s 42

Investigations, Minn. Law 2006 c 196 art 1 s 39

Investment adviser representatives, Minn. Law 2008 c 256 s 2, 15, 18, 2013 c 106 s 3, 4

Investment advisers, see under BROKERS (SECURITIES), Minn. Law 2008 c 256 s 15, 16

3(c)(1) fund advisers, Minn. Law 2013 c 106 s 3

Information on, Minn. Law 2013 c 106 s 5

Investments in, public retirement plans, Minn. Law 2018 c 211 art 14 s 1

Investor education, Minn. Law 2006 c 196 art 1 s 38

Issuers, jurisdiction, Minn. Law 2024 c 93 art 8 s 4

Lawsuits

Burden of proof, Minn. Law 2006 c 196 art 1 s 30

Injunctions, Minn. Law 2006 c 196 art 1 s 40

MNvest offerings and issuers, Minn. Law 2015 1Sp c 1 art 3 s 12, 13

MNvest program, Minn. Law 2017 c 10

National Association of Securities Dealers, Minn. Law 2004 c 285 art 4 s 2, 3, 2004 c 290 s 21, 22

Offers

Application of law to, Minn. Law 2006 c 196 art 1 s 47, 50

Exemptions from law, Minn. Law 2006 c 196 art 1 s 8

Publication, Minn. Law 2006 c 196 art 1 s 47

Orders, judicial review, Minn. Law 2006 c 196 art 1 s 46

Ownership of interest, Minn. Law 2024 c 93 art 8 s 5

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

Purchasers

Control agreements, Minn. Law 2024 c 93 art 8 s 3

Protected purchasers, Minn. Law 2024 c 93 art 8 s 5

Security entitlements, control, Minn. Law 2024 c 93 art 8 s 3

Purchases

Application of law, Minn. Law 2006 c 196 art 1 s 47

Purchasers, liability, Minn. Law 2006 c 196 art 1 s 36, 37

Records and record keeping

Commerce Department use of, Minn. Law 2006 c 196 art 1 s 38

Public records, classification as, Minn. Law 2006 c 196 art 1 s 44

Registration

Application of law to, Minn. Law 2006 c 196 art 1 s 50

By coordination, Minn. Law 2006 c 196 art 1 s 12, 16

By qualification, Minn. Law 2006 c 196 art 1 s 13, 16, 2008 c 256 s 5

Denial, suspension, and revocation, Minn. Law 2006 c 196 art 1 s 15

Exempt transactions, Minn. Law 2006 c 196 art 1 s 7, 2008 c 256 s 3

Exemptions

By rule or order, Minn. Law 2006 c 196 art 1 s 8

Commerce Department enforcement powers, Minn. Law 2006 c 196 art 1 s 41

Denial, suspension, revocation, conditions or limitations, Minn. Law 2006 c 196 art 1 s 9

Generally, exempt securities, Minn. Law 2006 c 196 art 1 s 6

Federal covered securities, Minn. Law 2008 c 256 s 4, 2008 c 363 art 6 s 5

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

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

Register, Minn. Law 2006 c 196 art 1 s 43

Requirements, generally, Minn. Law 2006 c 196 art 1 s 10

Small corporate offerings, Minn. Law 2006 c 196 art 1 s 11

Stop orders, Minn. Law 2006 c 196 art 1 s 15

Waivers, Minn. Law 2006 c 196 art 1 s 16

Registration fees, refunds, Minn. Law 2007 c 57 art 3 s 35

Registration, small corporate offerings, Minn. Law 2024 c 114 art 2 s 39

Registration statements, filing, Minn. Law 2006 c 196 art 1 s 14

Registration, stop orders, unfair terms of offering, Minn. Law 2013 c 106 s 2

Reinsurance, reduction of liability, Minn. Law 2018 c 125 s 4

Rescission offers, Minn. Law 2010 c 384 s 45, 46

Rulemaking about, authority, Minn. Law 2008 c 256 s 17

Rules about, judicial review, Minn. Law 2006 c 196 art 1 s 46

Sales

Application of law, Minn. Law 2006 c 196 art 1 s 47, 50

Rescission offers, Minn. Law 2006 c 196 art 1 s 37

Sellers, liability to purchasers, Minn. Law 2006 c 196 art 1 s 36, 37

Securities intermediaries, jurisdiction, Minn. Law 2024 c 93 art 8 s 4

Security entitlements, purchasers, control, Minn. Law 2024 c 93 art 8 s 3

Security interests, holders' or purchasers' rights, priority, Minn. Law 2024 c 93 art 9 s 29

Service of process, Minn. Law 2006 c 196 art 1 s 48

Severability of law, Minn. Law 2006 c 196 art 1 s 49

Small corporate offerings, limitation, Minn. Law 2023 c 57 art 3 s 68

Small corporate offerings, registration, Minn. Law 2006 c 196 art 1 s 11, 2008 c 256 s 4, 2008 c 363 art 6 s 5, 2024 c 114 art 2 s 39

Technical corrections, Minn. Law 2008 c 256 s 5 to 2008 c 256 s 7, 9, 19 to 21

Transactions, exemptions from registration, Minn. Law 2006 c 196 art 1 s 7, 8

Unaudited financial statements, rulemaking, Minn. Law 2023 c 57 art 3 s 74

Uniform Securities Act, Minn. Law 2006 c 196

Uniform Securities Act, name change, Minn. Law 2008 c 256 s 1

Violations and penalties

Application of law to, Minn. Law 2006 c 196 art 1 s 50

Civil liability, Minn. Law 2006 c 196 art 1 s 36, 37

Civil penalties, Minn. Law 2006 c 196 art 1 s 41

Criminal penalties, generally, Minn. Law 2006 c 196 art 1 s 35

Fraud, Minn. Law 2006 c 196 art 1 s 28, 29

Injunctions, Minn. Law 2006 c 196 art 1 s 40

Investigations, Minn. Law 2006 c 196 art 1 s 39

Lawsuits, burden of proof, Minn. Law 2006 c 196 art 1 s 30