BROKERS (SECURITIES)

Acknowledgments, local public funds, investment restrictions, Minn. Statutes 2018 118A.04

Address, supplying to commissioner, Minn. Statutes 2018 45.0112

Adverse claims, liability, Minn. Statutes 2018 336.8-115

Banks, affiliate discount brokers, individual retirement accounts, Minn. Statutes 2018 48.15

Broker-dealers

Agents, see under SECURITIES

Annuities transactions, Minn. Statutes 2018 72A.203 to 72A.2036

Definitions, Minn. Statutes 2018 80A.41

Disciplinary actions, Minn. Statutes 2018 80A.67

Errors and omissions insurance requirements, Minn. Statutes 2018 80A.91

Examinations, Minn. Statutes 2018 80A.67

Financial exploitation of seniors or vulnerable adults

Definitions, Minn. Statutes 2018 45A.01

Delaying disbursements, Minn. Statutes 2018 45A.06, 45A.07

Governmental disclosures, Minn. Statutes 2018 45A.02, 45A.03

Third-party disclosures, Minn. Statutes 2018 45A.04, 45A.05

Generally, Minn. Statutes 2018 80A.66

Interested shareholders, exclusion, Minn. Statutes 2018 302A.011

Liability, Minn. Statutes 2018 80A.74, 80A.76, 80A.77

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2018 80A.67

Fees, Minn. Statutes 2018 80A.65

Generally, Minn. Statutes 2018 80A.56

Misrepresentations, Minn. Statutes 2018 80A.73

Procedure, Minn. Statutes 2018 80A.61

Succession to, Minn. Statutes 2018 80A.62

Withdrawal, Minn. Statutes 2018 80A.64

Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2018 118A.06

Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2018 48.15

Contracts and agreements, local public funds, investment, Minn. Statutes 2018 118A.05, 118A.07

Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2018 80B.05

Credit services organizations, exclusion, Minn. Statutes 2018 332.52

Debt management services providers, exclusion, Minn. Statutes 2018 332A.02

Definitions

Commercial Code, Minn. Statutes 2018 336.8-102

Public retirement plan investments, Minn. Statutes 2018 356A.06

Transfers to minors, Minn. Statutes 2018 527.21

Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2018 48.15

Exemptions, real estate licensure, Minn. Statutes 2018 82.56

Federal covered investment advisers

Definitions, Minn. Statutes 2018 80A.41

Notices, filing, Minn. Statutes 2018 80A.60

Funding portal registration, Minn. Statutes 2018 80A.61

Investment adviser representatives, registration, Minn. Statutes 2018 80A.61

Investment advisers

Address and telephone number, Minn. Statutes 2018 45.0112

Definitions, Minn. Statutes 2018 80A.41

Disciplinary actions, Minn. Statutes 2018 80A.67

Examinations, Minn. Statutes 2018 80A.67

Financial exploitation of seniors or vulnerable adults

Definitions, Minn. Statutes 2018 45A.01

Delaying disbursements, Minn. Statutes 2018 45A.06, 45A.07

Governmental disclosures, Minn. Statutes 2018 45A.02, 45A.03

Third-party disclosures, Minn. Statutes 2018 45A.04, 45A.05

Fraud, Minn. Statutes 2018 80A.69

Generally, Minn. Statutes 2018 80A.66

Liability, Minn. Statutes 2018 80A.74, 80A.76, 80A.77

Licenses, Minn. Statutes 2018 45.0292

Professional fund raisers, exclusion, Minn. Statutes 2018 309.50

Registration

Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2018 80A.67

Fees, Minn. Statutes 2018 80A.65

Generally, Minn. Statutes 2018 80A.58

Misrepresentations, Minn. Statutes 2018 80A.73

Procedure, Minn. Statutes 2018 80A.61

Succession to, Minn. Statutes 2018 80A.62

Withdrawal, Minn. Statutes 2018 80A.64

Liability, adverse claims, Minn. Statutes 2018 336.8-115

Licenses

Real estate broker licensure, exemption, Minn. Statutes 2018 82.56

Reciprocity, Minn. Statutes 2018 45.0292

Margin accounts, interest rates on loans, exemption, Minn. Statutes 2018 334.19

Private fund advisers

Definition, Minn. Statutes 2018 80A.41

Registration, Minn. Statutes 2018 80A.58

Private funds, records and reports, Minn. Statutes 2018 80A.66

Professional fund raisers, exclusion, Minn. Statutes 2018 309.50

Public retirement plans, investment restrictions, notice given, Minn. Statutes 2018 356A.06

Real estate licensure, Minn. Statutes 2018 82.56

Records and record keeping, child support enforcement, access, Minn. Statutes 2018 256.978

Securities intermediaries, brokers defined as, Minn. Statutes 2018 336.8-102

Street name or nominee name, Minn. Statutes 2018 527.21, 527.32

Telephone number, supplying to commissioner, Minn. Statutes 2018 45.0112

Warranties, Minn. Statutes 2018 336.8-108