Acknowledgments, local public funds, investment restrictions, Minn. Statutes 2022 118A.04
Address, supplying to commissioner, Minn. Statutes 2022 45.0112
Adverse claims, liability, Minn. Statutes 2022 336.8-115
Registration, Central Registration Depository, Minn. Rules 2876.4060
Regulation D, defined, Minn. Rules 2876.1021
Securities manuals, nationally recognized, Minn. Rules 2876.2020
Senior-specific certifications, prohibition, Minn. Rules 2876.5025
Banks, affiliate discount brokers, individual retirement accounts, Minn. Statutes 2022 48.15
Agents, see under SECURITIES
Annuities transactions, Minn. Statutes 2022 72A.203 to 2022 72A.2036
Definitions, Minn. Statutes 2022 80A.41
Disciplinary actions, Minn. Statutes 2022 80A.67
Errors and omissions insurance requirements, Minn. Statutes 2022 80A.91
Examinations, Minn. Statutes 2022 80A.67
Financial exploitation of seniors or vulnerable adults
Definitions, Minn. Statutes 2022 45A.01
Delaying disbursements, Minn. Statutes 2022 45A.06, 2022 45A.07
Governmental disclosures, Minn. Statutes 2022 45A.02, 2022 45A.03
Third-party disclosures, Minn. Statutes 2022 45A.04, 2022 45A.05
Generally, Minn. Statutes 2022 80A.66
Interested shareholders, exclusion, Minn. Statutes 2022 302A.011
Liability, Minn. Statutes 2022 80A.74, 2022 80A.76, 2022 80A.77
Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2022 80A.67
Fees, Minn. Statutes 2022 80A.65
Generally, Minn. Statutes 2022 80A.56
Misrepresentations, Minn. Statutes 2022 80A.73
Procedure, Minn. Statutes 2022 80A.61
Succession to, Minn. Statutes 2022 80A.62
Withdrawal, Minn. Statutes 2022 80A.64
Safekeeping, local public funds, investment contracts and agreements, Minn. Statutes 2022 118A.06
Central Registration Depository, Minn. Rules 2876.4060
Financial statements, Minn. Rules 2876.6052
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, Minn. Rules 2876.4062, 2876.4100, 2876.4101
Service of process on, consent to, Minn. Rules 2876.6110
Supervision, Minn. Rules 2876.5021
Conduct, Minn. Rules 2876.5021
Definition, exclusions, Minn. Rules 2876.1020
Direct common control, Minn. Rules 2876.4021
Fair dealing, Minn. Rules 2876.5021
Financial statements, Minn. Rules 2876.6052
Money from sales, receipt of, Minn. Rules 2876.4110
Records and record keeping, Minn. Rules 2876.4114
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
Business of financial planning, regulation, Minn. Rules 2876.5024
Central Registration Depository, Minn. Rules 2876.4060
Commissions, disclosure, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2022 48.15
Contracts and agreements, local public funds, investment, Minn. Statutes 2022 118A.05, 2022 118A.07
Corporate takeovers, fraudulent and deceptive practices, Minn. Statutes 2022 80B.05
Credit services organizations, exclusion, Minn. Statutes 2022 332.52
Debt management services providers, exclusion, Minn. Statutes 2022 332A.02
Commercial Code, Minn. Statutes 2022 336.8-102
Public retirement plan investments, Minn. Statutes 2022 356A.06
Transfers to minors, Minn. Statutes 2022 527.21
Disclosure, commissions, affiliate brokers, banks, individual retirement accounts, Minn. Statutes 2022 48.15
Exemptions, real estate licensure, Minn. Statutes 2022 82.56
Federal covered investment advisers
Definitions, Minn. Statutes 2022 80A.41
Notices, filing, Minn. Statutes 2022 80A.60
Federal covered investment advisers
Conduct, Minn. Rules 2876.5023
Depositories for filings and fees, Minn. Rules 2876.4060
Fiduciary duty, Minn. Rules 2876.5023
Investment advisory contracts, Minn. Rules 2876.5022
Notices, filing, Minn. Rules 2876.4050
Financial planners, Minn. Rules 2876.5024
Funding portal registration, Minn. Statutes 2022 80A.61
Incorporations by reference, effective dates, Minn. Rules 2876.1030
Investment adviser representatives, registration, Minn. Statutes 2022 80A.61
Address and telephone number, Minn. Statutes 2022 45.0112
Definitions, Minn. Statutes 2022 80A.41
Disciplinary actions, Minn. Statutes 2022 80A.67
Examinations, Minn. Statutes 2022 80A.67
Financial exploitation of seniors or vulnerable adults
Definitions, Minn. Statutes 2022 45A.01
Delaying disbursements, Minn. Statutes 2022 45A.06, 2022 45A.07
Governmental disclosures, Minn. Statutes 2022 45A.02, 2022 45A.03
Third-party disclosures, Minn. Statutes 2022 45A.04, 2022 45A.05
Fraud, Minn. Statutes 2022 80A.69
Generally, Minn. Statutes 2022 80A.66
Liability, Minn. Statutes 2022 80A.74, 2022 80A.76, 2022 80A.77
Licenses, Minn. Statutes 2022 45.0292
Professional fund raisers, exclusion, Minn. Statutes 2022 309.50
Denial, revocation, suspension, withdrawal, or limitation, Minn. Statutes 2022 80A.67
Fees, Minn. Statutes 2022 80A.65
Generally, Minn. Statutes 2022 80A.58
Misrepresentations, Minn. Statutes 2022 80A.73
Procedure, Minn. Statutes 2022 80A.61
Succession to, Minn. Statutes 2022 80A.62
Withdrawal, Minn. Statutes 2022 80A.64
Agency cross transactions, Minn. Rules 2876.5023
Assets, appraisals of, Minn. Rules 2876.4112
Balance sheets, Minn. Rules 2876.4113
Bonds, Minn. Rules 2876.4115
Brochures, Minn. Rules 2876.4117
Conduct, Minn. Rules 2876.5023
Credentials, Minn. Rules 2876.4120
Custody of client funds, Minn. Rules 2876.4113, 2876.4116
Disclosures to clients and prospective clients, Minn. Rules 2876.4117
Discretionary authority over client funds, Minn. Rules 2876.4113
Examinations, Minn. Rules 2876.4120
Exercising discretion, Minn. Rules 2876.4112
Federal covered investment advisers, see same under this topic
Fiduciary duty, Minn. Rules 2876.5023
Financial reporting requirements, Minn. Rules 2876.4113
Financial requirements, Minn. Rules 2876.4112
Financial statements, Minn. Rules 2876.6052
Investment advisory contracts, Minn. Rules 2876.5022
Letters of credit, Minn. Rules 2876.4115
Limited liability companies, Minn. Rules 2876.4116
Limited partnerships, Minn. Rules 2876.4116
Mutual funds, Minn. Rules 2876.4116
Net capital, Minn. Rules 2876.4112
Net worth, Minn. Rules 2876.4112
Open-end companies, Minn. Rules 2876.4116
Out-of-state advisers, Minn. Rules 2876.4112, 2876.4113
Prior liquidated firms, Minn. Rules 2876.4120
Records and record keeping, Minn. Rules 2876.4114
Amendments requiring an order of the administrator, Minn. Rules 2876.4100
Applications for, Minn. Rules 2876.4061
Central Registration Depository, Minn. Rules 2876.4060
Fees, delay or underpayment, prompt remedy, Minn. Rules 2876.4101
Registration depository, Minn. Rules 2876.4060
Senior-specific certifications, prohibition, Minn. Rules 2876.5025
Service of process on, consent to, Minn. Rules 2876.6110
Supervisory or control individuals, examinations, Minn. Rules 2876.4120
Surety bonds, Minn. Rules 2876.4115
Trusts, advisers retained by, Minn. Rules 2876.4116
Liability, adverse claims, Minn. Statutes 2022 336.8-115
Real estate broker licensure, exemption, Minn. Statutes 2022 82.56
Reciprocity, Minn. Statutes 2022 45.0292
Manuals, nationally recognized, Minn. Rules 2876.2020
Margin accounts, interest rates on loans, exemption, Minn. Statutes 2022 334.19
Mutual funds, investment advisers of, Minn. Rules 2876.4116
Nationally recognized securities manuals, defined, Minn. Rules 2876.2020
Definition, Minn. Statutes 2022 80A.41
Registration, Minn. Statutes 2022 80A.58
Private funds, records and reports, Minn. Statutes 2022 80A.66
Professional fund raisers, exclusion, Minn. Statutes 2022 309.50
Proxy statements, domestic stock insurance companies, procedures, Minn. Rules 2715.7310
Public retirement plans, investment restrictions, notice given, Minn. Statutes 2022 356A.06
Real estate licensure, Minn. Statutes 2022 82.56
Records and record keeping, child support enforcement, access, Minn. Statutes 2022 256.978
Registration, Central Registration Depository, Minn. Rules 2876.4060
Securities intermediaries, brokers defined as, Minn. Statutes 2022 336.8-102
Street name or nominee name, Minn. Statutes 2022 527.21, 2022 527.32
Telephone number, supplying to commissioner, Minn. Statutes 2022 45.0112
Warranties, Minn. Statutes 2022 336.8-108