Skip to content

Securities Unit

The Minnesota Department of Commerce registers securities agents, broker-dealers, and investment advisers while helping Minnesota consumers make informed decisions about their investments.

 
 


  • What We Do

    We ensure that investment products sold in Minnesota meet minimum standards of fairness and disclosure.

  • Broker Dealers

    Information and resources available to consumers, broker dealers, firms and their representatives.


  • Investment Advisors

    Information and resources tailored to investments advisers includes details on the Dodd-Frank Act.


  • Franchises

    Information and resources available to franchises and those preparing to offer franchises for sale in the State of Minnesota.


  • Subdivided Land and Time Shares

    Information on the registration and sale of timeshares and subdivided land.


  • Securities Registration

    Information on how to register securities in the state. Securities Registration (SCOR) Form (.pdf)

  • Investor Education

    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

    Enforcement information and CARDS access to public information about enforcement actions taken by the department and a variety of other public regulatory documents.

  • Complaint Form

    Complaints regarding investment related individuals and topics.