Section 80A.90 — Section 703; Application Of Act To Existing Proceeding And Existing Rights And Duties.
80A.90 SECTION 703; APPLICATION OF ACT TO EXISTING PROCEEDING AND EXISTING RIGHTS AND DUTIES. (a) Applicability of predecessor act to pending proceedings and existing rights. The predecessor act exclusively governs all actions or proceedings that are pending on August 1, 2007, or may be instituted on the basis of conduct occurring before August 1, 2007, […]
Section 80A.91 — Agent Errors And Omissions Insurance; Choice Of Source.
80A.91 AGENT ERRORS AND OMISSIONS INSURANCE; CHOICE OF SOURCE. A broker-dealer shall not require an agent to maintain insurance coverage for the agent’s errors and omissions from a specific insurance company. This section does not apply if the agent is an employee of that broker-dealer, or if the broker-dealer or affiliated insurance company contributes to […]