2015 Minnesota Statutes
Chapters 80 - 80A — SECURITIES
Chapter 80A — REGULATION OF SECURITIES

• Section 80A.01 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.02 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.03 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.04 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.041 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.05 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.06 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.07 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.08 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.09 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.10 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.11 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.115 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.12 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.122 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.125 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.13 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.14 — Subdivisions renumbered, repealed, or no longer in effect
• Section 80A.15 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.16 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.17 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.18 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.19 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.20 — [Repealed, 1987 c 336 s 47]
• Section 80A.21 — [Repealed, 1987 c 336 s 47]
• Section 80A.22 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.23 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.24 — Subdivisions renumbered, repealed, or no longer in effect
• Section 80A.25 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.26 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.27 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.28 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.29 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.30 — [Repealed, 2006 c 196 art 1 s 51,52]
• Section 80A.31 — [Repealed, 2006 c 196 art 1 s 51,52]

GENERAL PROVISION

• Section 80A.40 — SECTION 101; SHORT TITLE.
• Section 80A.41 — SECTION 102; DEFINITIONS.
• Section 80A.42 — SECTION 103; REFERENCES TO FEDERAL STATUTES.
• Section 80A.43 — SECTION 104; REFERENCES TO FEDERAL AGENCIES.
• Section 80A.44 — SECTION 105; ELECTRONIC RECORDS AND SIGNATURES.

EXEMPTION FROM REGISTRATION OF SECURITIES

• Section 80A.45 — SECTION 201; EXEMPT SECURITIES.
• Section 80A.46 — SECTION 202; EXEMPT TRANSACTIONS.
• Section 80A.461 — MNVEST REGISTRATION EXEMPTION.
• Section 80A.47 — SECTION 203; ADDITIONAL EXEMPTIONS AND WAIVERS.
• Section 80A.48 — SECTION 204; DENIAL, SUSPENSION, REVOCATION, CONDITION, OR LIMITATION OF EXEMPTIONS.

REGISTRATION OF SECURITIES AND NOTICE OF FILING OF FEDERAL COVERED SECURITIES

• Section 80A.49 — SECTION 301; SECURITIES REGISTRATION REQUIREMENT.
• Section 80A.50 — SECTION 302; FEDERAL COVERED SECURITIES; SMALL CORPORATE OFFERING REGISTRATION.
• Section 80A.51 — SECTION 303; SECURITIES REGISTRATION BY COORDINATION.
• Section 80A.52 — SECTION 304; SECURITIES REGISTRATION BY QUALIFICATION.
• Section 80A.53 — SECTION 305; SECURITIES REGISTRATION FILINGS.
• Section 80A.54 — SECTION 306; DENIAL, SUSPENSION, AND REVOCATION OF SECURITIES REGISTRATION.
• Section 80A.55 — SECTION 307; WAIVER AND MODIFICATION.

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

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

FRAUD AND LIABILITIES

• Section 80A.68 — SECTION 501; GENERAL FRAUD.
• Section 80A.69 — SECTION 502; PROHIBITED CONDUCT IN PROVIDING INVESTMENT ADVICE.
• Section 80A.70 — SECTION 503; EVIDENTIARY BURDEN.
• Section 80A.71 — SECTION 504; FILING OF SALES AND ADVERTISING LITERATURE.
• Section 80A.72 — SECTION 505; MISLEADING FILINGS.
• Section 80A.73 — SECTION 506; MISREPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION.
• Section 80A.74 — SECTION 507; QUALIFIED IMMUNITY.
• Section 80A.75 — SECTION 508; CRIMINAL PENALTIES.
• Section 80A.76 — SECTION 509; CIVIL LIABILITY.
• Section 80A.77 — SECTION 510; RESCISSION OFFERS.

ADMINISTRATION AND JUDICIAL REVIEW

• Section 80A.78 — SECTION 601; ADMINISTRATION.
• Section 80A.79 — SECTION 602; INVESTIGATIONS AND SUBPOENAS.
• Section 80A.80 — SECTION 603; CIVIL ENFORCEMENT.
• Section 80A.81 — SECTION 604; ADMINISTRATIVE ENFORCEMENT.
• Section 80A.82 — SECTION 605; RULES, FORMS, ORDERS, INTERPRETATIVE OPINIONS, AND HEARINGS.
• Section 80A.83 — SECTION 606; ADMINISTRATIVE FILES AND OPINIONS.
• Section 80A.84 — SECTION 607; PUBLIC RECORDS; CONFIDENTIALITY.
• Section 80A.85 — SECTION 608; UNIFORMITY AND COOPERATION WITH OTHER AGENCIES.
• Section 80A.86 — SECTION 609; JUDICIAL REVIEW.
• Section 80A.87 — SECTION 610; JURISDICTION.
• Section 80A.88 — SECTION 611; SERVICE OF PROCESS.
• Section 80A.89 — SECTION 612; SEVERABILITY CLAUSE.

TRANSITION

• Section 80A.90 — SECTION 703; APPLICATION OF ACT TO EXISTING PROCEEDING AND EXISTING RIGHTS AND DUTIES.
• Section 80A.91 — AGENT ERRORS AND OMISSIONS INSURANCE; CHOICE OF SOURCE.