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.
Information and resources available to consumers, broker dealers, firms and their representatives.
Information and resources tailored to investments advisers includes details on the Dodd-Frank Act.
Information and resources available to franchises and those preparing to offer franchises for sale in the State of Minnesota.
Information on the registration and sale of timeshares and subdivided land.
Information on how to register securities in the state. Securities Registration (SCOR) Form (.pdf)
Consumer education and outreach are among our top priorities. These tools, tips, and warnings will help you avoid scams and make informed investment decisions in today's complex financial marketplace.
Enforcement information and CARDS access to public information about enforcement actions taken by the department and a variety of other public regulatory documents.
Complaints regarding investment related individuals and topics.