BROKERS (SECURITIES)

Acknowledgments

Local public funds, investment restrictions, Minn. Statutes 2007 118A.04

Address, supplying to commissioner, Minn. Statutes 2007 45.0112

Adverse claims, liability, Minn. Statutes 2007 336.8-115

Banks, affiliate discount brokers

Individual retirement accounts, Minn. Statutes 2007 48.15

Broker-dealers

Agents, see under SECURITIES

Definitions, Minn. Statutes 2007 80A.41

Disciplinary actions, Minn. Statutes 2007 80A.67

Examinations, Minn. Statutes 2007 80A.67

Generally, Minn. Statutes 2007 80A.66

Interested shareholders, exclusion, Minn. Statutes 2007 302A.011

Liability, Minn. Statutes 2007 80A.74, 80A.76, 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2007 80A.67

Fees, Minn. Statutes 2007 80A.65

Generally, Minn. Statutes 2007 80A.56

Misrepresentations, Minn. Statutes 2007 80A.73

Procedure, Minn. Statutes 2007 80A.61

Succession to, Minn. Statutes 2007 80A.62

Withdrawal, Minn. Statutes 2007 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2007 118A.06

Business licenses, exception, Minn. Statutes 2007 116J.70

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2007 48.15

Contracts and agreements

Local public funds, investment, Minn. Statutes 2007 118A.05, 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2007 80B.05

Credit services organizations, exclusion, Minn. Statutes 2007 332.52

Debt management services providers, exclusion, Minn. Statutes 2007 332A.02

Debt prorating companies, exclusion, Minn. Statutes 2007 332.13

Definitions

Commercial Code, Minn. Statutes 2007 336.8-102

Public retirement plan investments, Minn. Statutes 2007 356A.06

Transfers to minors, Minn. Statutes 2007 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2007 48.15

Exemptions, real estate licensure, Minn. Statutes 2007 82.23

Federal covered investment advisers

Definitions, Minn. Statutes 2007 80A.41

Notices, filing, Minn. Statutes 2007 80A.60

Investment advisers

Address and telephone number, Minn. Statutes 2007 45.0112

Definitions, Minn. Statutes 2007 80A.41

Disciplinary actions, Minn. Statutes 2007 80A.67

Examinations, Minn. Statutes 2007 80A.67

Fraud, Minn. Statutes 2007 80A.69

Generally, Minn. Statutes 2007 80A.66

Institutional funds, investment management services, Minn. Statutes 2007 309.66

Liability, Minn. Statutes 2007 80A.74, 80A.76, 80A.77

Licenses, Minn. Statutes 2007 45.0111, 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2007 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2007 80A.67

Fees, Minn. Statutes 2007 80A.65

Generally, Minn. Statutes 2007 80A.58

Misrepresentations, Minn. Statutes 2007 80A.73

Procedure, Minn. Statutes 2007 80A.61

Succession to, Minn. Statutes 2007 80A.62

Withdrawal, Minn. Statutes 2007 80A.64

Liability, adverse claims, Minn. Statutes 2007 336.8-115

Licenses

Business license, exception, Minn. Statutes 2007 116J.70

Real estate broker licensure, exemption, Minn. Statutes 2007 82.23

Reciprocity, Minn. Statutes 2007 45.0292

Temporary licenses, Minn. Statutes 2007 45.0111

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2007 334.19

Notice given

Address and telephone number, Minn. Statutes 2007 45.0112

Public retirement plans, investment restrictions, Minn. Statutes 2007 356A.06

Professional fund raisers, exclusion, Minn. Statutes 2007 309.50

Real estate licensure, Minn. Statutes 2007 82.23

Records and record keeping

Child support enforcement, access, Minn. Statutes 2007 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2007 336.8-102

Street name or nominee name, Minn. Statutes 2007 527.21, 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2007 45.0112

Warranties, Minn. Statutes 2007 336.8-108