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Broker Dealers

Broker Dealers and their Agents

Registration Requirements

Pursuant to Minnesota Statutes §§ 80A.56 and 80A.57, it is unlawful for a person to transact business in Minnesota as a broker-dealer or agent unless the person is registered or exempt from registration.

Initial registration and renewal fees for broker dealer agents are $65.

How to Register as a Broker Dealer Firm

Application requirements for broker-dealers are defined in Minnesota Statute §80A.61 and Minnesota Rule 2876.4062.  All applications for registration as a broker dealer must be filed electronically through the Central Registration Depository (CRD) system.

How to Register as a Broker Dealer Agent

Order posted 7/25/23 
Broker-Dealer Agent Examination Validity Extension Program [pdf]
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