Investing in Securities

The Minnesota Department of Commerce-Securities Division seeks to protect investors from becoming victim to fraudulent scams by providing oversight of state laws and regulations. If a fraudulent deal occurs, our enforcement team handles complaints and inquiries, which may lead to regulatory action.

Enforcement / Minnesota Department of Commerce - Business

Before you invest

Securities scams encompass a wide range of crimes, with the primary goal of raising money through deceitful means. It is important to research an investment for legitimacy prior to becoming an investor.

Below are resources to provide insight into spotting scams and to researching requirements for a securities offering:

Minnesota Department of Commerce: Your Financial Journey

Warning Signs of Fraud | NASAA

NASAA Videos | NASAA

Red Flags of Investment Fraud Checklist | Investor.gov

How to Avoid Fraud | Investor.gov

Fraud Literacy Quiz | Investor.gov

Resources for Investors | SEC.gov

A publication created for how issuers can raise capital in Minnesota, as well as requirements.
Raising Capital: Securities Law and Business Considerations

FINRA Broker Check

Investor Education