Heading

BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS

Minn. Stat. § 80A.56— SECTION 401; BROKER-DEALER REGISTRATION REQUIREMENT AND EXEMPTIONS.
Minn. Stat. § 80A.57— SECTION 402; AGENT REGISTRATION REQUIREMENT AND EXEMPTIONS.
Minn. Stat. § 80A.58— SECTION 403; INVESTMENT ADVISER REGISTRATION REQUIREMENT AND EXEMPTIONS.
Minn. Stat. § 80A.60— SECTION 405; FEDERAL COVERED INVESTMENT ADVISER NOTICE FILING REQUIREMENT.
Minn. Stat. § 80A.61— SECTION 406; REGISTRATION BY BROKER-DEALER, AGENT, FUNDING PORTAL, INVESTMENT ADVISER, AND INVESTMENT ADVISER REPRESENTATIVE.
Minn. Stat. § 80A.62— SECTION 407; SUCCESSION AND CHANGE IN REGISTRATION OF BROKER-DEALER OR INVESTMENT ADVISER.
Minn. Stat. § 80A.63— SECTION 408; TERMINATION OF EMPLOYMENT OR ASSOCIATION OF AGENT AND TRANSFER OF EMPLOYMENT OR ASSOCIATION.
Minn. Stat. § 80A.64— SECTION 409; WITHDRAWAL OF REGISTRATION OF BROKER-DEALER, AGENT, AND INVESTMENT ADVISER.
Minn. Stat. § 80A.65— SECTION 410; FEES AND EXPENSES.
Minn. Stat. § 80A.66— SECTION 411; POSTREGISTRATION REQUIREMENTS.
Minn. Stat. § 80A.67— SECTION 412; DENIAL, REVOCATION, SUSPENSION, WITHDRAWAL, RESTRICTION, CONDITION, OR LIMITATION OF REGISTRATION.