Minnesota
Chapter 80
52 entries
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80A.40 SECTION 101; SHORT TITLE.
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80A.41 SECTION 102; DEFINITIONS.
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80A.42 SECTION 103; REFERENCES TO FEDERAL STATUTES.
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80A.43 SECTION 104; REFERENCES TO FEDERAL AGENCIES.
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80A.44 SECTION 105; ELECTRONIC RECORDS AND SIGNATURES.
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80A.45 SECTION 201; EXEMPT SECURITIES.
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80A.46 SECTION 202; EXEMPT TRANSACTIONS.
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80A.47 SECTION 203; ADDITIONAL EXEMPTIONS AND WAIVERS.
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80A.48 SECTION 204; DENIAL, SUSPENSION, REVOCATION, CONDITION, OR LIMITATION OF EXEMPTIONS.
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80A.49 SECTION 301; SECURITIES REGISTRATION REQUIREMENT.
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80A.50 SECTION 302; FEDERAL COVERED SECURITIES; SMALL CORPORATE OFFERING REGISTRATION.
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80A.51 SECTION 303; SECURITIES REGISTRATION BY COORDINATION.
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80A.52 SECTION 304; SECURITIES REGISTRATION BY QUALIFICATION.
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80A.53 SECTION 305; SECURITIES REGISTRATION FILINGS.
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80A.54 SECTION 306; DENIAL, SUSPENSION, AND REVOCATION OF SECURITIES REGISTRATION.
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80A.55 SECTION 307; WAIVER AND MODIFICATION.
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80A.56 SECTION 401; BROKER-DEALER REGISTRATION REQUIREMENT AND EXEMPTIONS.
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80A.57 SECTION 402; AGENT REGISTRATION REQUIREMENT AND EXEMPTIONS.
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80A.58 SECTION 403; INVESTMENT ADVISER REGISTRATION REQUIREMENT AND EXEMPTIONS.
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80A.60 SECTION 405; FEDERAL COVERED INVESTMENT ADVISER NOTICE FILING REQUIREMENT.
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80A.61 SECTION 406; REGISTRATION BY BROKER-DEALER, AGENT, FUNDING PORTAL, INVESTMENT ADVISER, AND INVESTMENT ADVISER REPRESENTATIVE.
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80A.62 SECTION 407; SUCCESSION AND CHANGE IN REGISTRATION OF BROKER-DEALER OR INVESTMENT ADVISER.
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80A.63 SECTION 408; TERMINATION OF EMPLOYMENT OR ASSOCIATION OF AGENT AND TRANSFER OF EMPLOYMENT OR ASSOCIATION.
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80A.64 SECTION 409; WITHDRAWAL OF REGISTRATION OF BROKER-DEALER, AGENT, AND INVESTMENT ADVISER.
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80A.65 SECTION 410; FEES AND EXPENSES.
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80A.66 SECTION 411; POSTREGISTRATION REQUIREMENTS.
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80A.67 SECTION 412; DENIAL, REVOCATION, SUSPENSION, WITHDRAWAL, RESTRICTION, CONDITION, OR LIMITATION OF REGISTRATION.
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80A.68 SECTION 501; GENERAL FRAUD.
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80A.69 SECTION 502; PROHIBITED CONDUCT IN PROVIDING INVESTMENT ADVICE.
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80A.70 SECTION 503; EVIDENTIARY BURDEN.
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80A.71 SECTION 504; FILING OF SALES AND ADVERTISING LITERATURE.
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80A.72 SECTION 505; MISLEADING FILINGS.
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80A.73 SECTION 506; MISREPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION.
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80A.74 SECTION 507; QUALIFIED IMMUNITY.
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80A.75 SECTION 508; CRIMINAL PENALTIES.
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80A.76 SECTION 509; CIVIL LIABILITY.
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80A.77 SECTION 510; RESCISSION OFFERS.
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80A.78 SECTION 601; ADMINISTRATION.
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80A.79 SECTION 602; INVESTIGATIONS AND SUBPOENAS.
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80A.80 SECTION 603; CIVIL ENFORCEMENT.
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80A.81 SECTION 604; ADMINISTRATIVE ENFORCEMENT.
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80A.82 SECTION 605; RULES, FORMS, ORDERS, INTERPRETATIVE OPINIONS, AND HEARINGS.
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80A.83 SECTION 606; ADMINISTRATIVE FILES AND OPINIONS.
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80A.84 SECTION 607; PUBLIC RECORDS; CONFIDENTIALITY.
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80A.85 SECTION 608; UNIFORMITY AND COOPERATION WITH OTHER AGENCIES.
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80A.86 SECTION 609; JUDICIAL REVIEW.
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80A.87 SECTION 610; JURISDICTION.
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80A.88 SECTION 611; SERVICE OF PROCESS.
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80A.89 SECTION 612; SEVERABILITY CLAUSE.
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80A.90 SECTION 703; APPLICATION OF ACT TO EXISTING PROCEEDING AND EXISTING RIGHTS AND DUTIES.
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80A.91 AGENT ERRORS AND OMISSIONS INSURANCE; CHOICE OF SOURCE.
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80A.461 MNVEST REGISTRATION EXEMPTION.