SECURITIES

See also STOCKS

Agents

Central Registration Depository, Minn. Rules 2876.4060

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

Amendments requiring an order of the administrator, Minn. Rules 2876.4100

Applications for, Minn. Rules 2876.4062

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

Service of process on, consent to, Minn. Rules 2876.6110

Banks, see BANKS

Bonds, see BONDS (PUBLIC DEBT)

Broker-dealers, see under BROKERS (SECURITIES)

Brokers, see BROKERS (SECURITIES)

Credit unions, investment in, Minn. Rules 2675.6270

Dealers, see Broker-dealers under BROKERS (SECURITIES)

Federal covered securities, notice filings, Minn. Rules 2876.3020

Filings, federal covered securities, Minn. Rules 2876.3020

Form D, Minn. Rules 2876.3020

Form NF, Minn. Rules 2876.3020

Form U-7, Minn. Rules 2876.3021

Holders

Charitable trusts, exception, campaign practices, Minn. Rules 4501.0200

Defined, Minn. Rules 4501.0200

Incorporations by reference, effective dates, Minn. Rules 2876.1030

Insider trading, insurance companies, see Insider trading under INSURANCE COMPANIES

Insurance companies, see Securities under INSURANCE COMPANIES

Investment advisers, see under BROKERS (SECURITIES)

Investments in, life insurance companies, variable life insurance, separate accounts, Minn. Rules 2750.3300 to 2750.3600

Manuals, nationally recognized, Minn. Rules 2876.2020

MNvest, see MNVEST

Nationally recognized securities manuals, defined, Minn. Rules 2876.2020

Prospectuses

Distribution to recipients of offer, Minn. Rules 2876.3042

Statement of nonapproval, on front page, Minn. Rules 2876.3041

Public utilities

Capital structure approval, Minn. Rules 7825.1200, 7825.1300

Proposals for purchase or underwriting, Minn. Rules 7825.1500

Records, broker-dealers, see Broker-dealers under this topic

Registration, insurance companies, depositing with Commerce Department, Minn. Rules 2700.0400

Registration statements

Contents, Minn. Rules 2876.3040

Small corporate offerings, Minn. Rules 2876.3021

Statement of nonapproval, on front page, Minn. Rules 2876.3041

Regulation D, defined, Minn. Rules 2876.1021

Sales, senior-specific certifications, prohibition, Minn. Rules 2876.5025

Salespersons, workers' compensation coverage, Minn. Rules 5224.0230

Single issues of, determinations, Minn. Rules 2876.2021

Small corporate offerings, registration statements, Minn. Rules 2876.3021

Valuation, defined, Minn. Rules 4501.0200

Warrants, insurance companies, see Warrants under INSURANCE COMPANIES

Workers' compensation self-insurance, Minn. Rules 2780.0100 to 2780.9920

Worthless securities, see INCOME AND FRANCHISE TAXES