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Helpful Links


The following links to resources and forms will be helpful in the registration process:

The North American Securities Administrators Association NASAA has protected Main Street investors from fraud for 100 years, longer than any other securities regulator. State securities regulation predates the creation of the federal Securities and Exchange Commission (SEC) by more than two decades.  The primary goal of NASAA is to advocate for the protection of investors.
 
The U.S. Securities and Exchange Commission (SEC) protects investors, maintains fair, orderly, and efficient markets, and facilitates capital formation.
 
FINRA is the largest independent regulator for all securities firms doing business in the United States. They oversee nearly 4,450 brokerage firms, 161,065 branch offices and 629,755 registered securities representatives. FINRA’s chief role is to protect investors by maintaining the fairness of the U.S. capital markets.
 
Investment Adviser Registration Depository (IARD) has three objectives: (1) to create a regulatory system for Investment Advisers to improve overall regulation of advisers, (2) to make information about Investment Advisers available to the public, and (3) to provide Investment Advisers an efficient automated filing system. The information provided via this Web page pertains to the third objective.
 
In order to conduct business in the State of Minnesota, you will need to register with the Minnesota Secretary of State.
 
For the regulatory framework governing the conduct of investment advisers, see Minnesota Statute 80A and Minnesota Rule 2876.

The definition of what constitutes financial abuse of a vulnerable adult; a criminal act in the State of Minnesota
 
This document outlines the new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.