Information and resources available to consumers, broker dealer firms, their representatives.
Broker dealers and their representatives are regulated by the Department of Commerce, please find more information here.
Broker Dealers, their representatives and the securities they sell must be registered in the State of Minnesota, find more information here.
Check your broker dealer’s record and research the background of your registered representative here before you do business with them.
Find up to date information and resources about broker dealers and the industry.
Check the list of Frequently Asked Questions before you call the Minnesota Department of Commerce-Securities Division.