We regulate securities products and professionals. The following information and resources will help answer any questions about licensing and registration for securities agents, broker-dealers, investment advisers, and federally-registered advisers.
License requirements for broker-dealers.
License requirements for investment advisers.
License requirements for federally registered advisers.
License requirements for securities agents.
Forms and procedures to register a security in Minnesota.
Check to see that a security is properly-registered with the state.
Small Corporate Offering Registration.
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