Section 80A.64 — Section 409; Withdrawal Of Registration Of Broker-dealer, Agent, And Investment Adviser.
80A.64 SECTION 409; WITHDRAWAL OF REGISTRATION OF BROKER-DEALER, AGENT, AND INVESTMENT ADVISER. Withdrawal of registration by a broker-dealer, agent, or investment adviser becomes effective 60 days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this chapter unless a revocation or suspension […]
Section 80A.65 — Section 410; Fees And Expenses.
80A.65 SECTION 410; FEES AND EXPENSES. Subdivision 1. Registration or notice filing fee. (a) There shall be a filing fee of $100 for every application for registration or notice filing. There shall be an additional fee of one-tenth of one percent of the maximum aggregate offering price at which the securities are to be offered […]
Section 80A.66 — Section 411; Postregistration Requirements.
80A.66 SECTION 411; POSTREGISTRATION REQUIREMENTS. (a) Financial requirements. Subject to Section 15(h) of the Securities Exchange Act of 1934 (15 U.S.C. Section 78o(h)) or Section 222 of the Investment Advisers Act of 1940 (15 U.S.C. Section 80b-22), a rule adopted or order issued under this chapter may establish minimum financial requirements for broker-dealers registered or […]
Section 80A.67 — Section 412; Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, Or Limitation Of Registration.
80A.67 SECTION 412; DENIAL, REVOCATION, SUSPENSION, WITHDRAWAL, RESTRICTION, CONDITION, OR LIMITATION OF REGISTRATION. (a) Disciplinary conditions-applicants. If the administrator finds that the order is in the public interest and subsection (d) authorizes the action, an order issued under this chapter may deny an application, or may condition or limit registration of an applicant to be […]
Section 80A.47 — Section 203; Additional Exemptions And Waivers.
80A.47 SECTION 203; ADDITIONAL EXEMPTIONS AND WAIVERS. A rule adopted or order issued under this chapter may exempt a security, transaction, or offer; a rule under this chapter may exempt a class of securities, transactions, or offers from any or all of the requirements of sections 80A.49 through 80A.54 and 80A.71; and an order under […]
Section 80A.48 — Section 204; Denial, Suspension, Revocation, Condition, Or Limitation Of Exemptions.
80A.48 SECTION 204; DENIAL, SUSPENSION, REVOCATION, CONDITION, OR LIMITATION OF EXEMPTIONS. (a) Enforcement related powers. Except with respect to a federal covered security or a transaction involving a federal covered security, an order under this chapter may deny, suspend application of, condition, limit, or revoke an exemption created under section 80A.45(3)(C), (7) or (8) or […]
Section 80A.49 — Section 301; Securities Registration Requirement.
80A.49 SECTION 301; SECURITIES REGISTRATION REQUIREMENT. It is unlawful for a person to offer or sell a security in this state unless: (1) the security is a federal covered security; (2) the security, transaction, or offer is exempted from registration under sections 80A.45 through 80A.47; or (3) the security is registered under this chapter. History: […]
Section 80A.50 — Section 302; Federal Covered Securities; Small Corporate Offering Registration.
80A.50 SECTION 302; FEDERAL COVERED SECURITIES; SMALL CORPORATE OFFERING REGISTRATION. (a) Federal covered securities. (1) Required filing of records. With respect to a federal covered security, as defined in Section 18(b)(2) of the Securities Act of 1933 (15 U.S.C. Section 77r(b)(2)), that is not otherwise exempt under sections 80A.45 through 80A.47, a rule adopted or […]
Section 80A.51 — Section 303; Securities Registration By Coordination.
80A.51 SECTION 303; SECURITIES REGISTRATION BY COORDINATION. (a) Registration permitted. A security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination under this section. (b) Required records. A registration statement and accompanying records under this section must contain or […]
Section 80A.52 — Section 304; Securities Registration By Qualification.
80A.52 SECTION 304; SECURITIES REGISTRATION BY QUALIFICATION. (a) Registration permitted. A security may be registered by qualification under this section. (b) Required records. A registration statement under this section must contain the information or records specified in section 80A.53, a consent to service of process complying with section 80A.88, and, if required by rule adopted […]