The Minnesota Department of Commerce registers securities agents, broker-dealers, and investment advisers while helping Minnesota consumers make informed decisions about their investments.
We ensure that investment products sold in Minnesota meet minimum standards of fairness and disclosure.
Enforcement actions taken against securities entities dating back to January 2000.
The commissioner may grant a written opinion in the areas of securities, franchises and subdivided land.
Find registration, licensing forms, and more for agents, broker-dealers, investment advisers, and federally registered advisers.
Filings submitted for registration or exemption by financial organizations are available to the public.
Up-to-date rules and rule proposals for those selling securities and investment products in Minnesota.