Title: Securities Offering Registration
Description: Pursuant to Minn. Stat. § 80A.49
, all securities offered or sold in Minnesota must meet requirements for “federal covered securities,” be registered with the Minnesota Department of Commerce, or be exempt from registration. Applications for registration of securities must meet disclosure requirements and merit review standards.
Creation Date: 9/11/2008 2:17:13 PM
Modification Date: 7/18/2019 2:02:00 PM
Agency Name: Commerce, Minnesota Department of
Agency URL: https://mn.gov/commerce/
Agency Description: The Minnesota Department of Commerce is the chief regulator for the banking, energy, insurance, real estate, securities, telecommunications industries and also operates Minnesota's Unclaimed Property.
Agency Phone: 651-539-1600
Agency Fax: Agency URL: https://mn.gov/commerce/
85 7th Place East, Suite 500
Unit Name: Securities Unit
Unit Phone: 651-539-1638
Unit Fax: Contact person(s): firstname.lastname@example.org
Reg D / Mutual Funds / UITs
Contact the MN Dept. of Commerce Securities Unit at 651-539-1638 | email@example.com
Fee amounts are defined in Minn.Stat. § 80A.65(1). There is a $100 filing fee for every application for securities registration, and an additional fee of one-tenth of one percent of the maximum aggregate offering price at which the securities are to be offered in Minnesota. The maximum combined fees (i.e., the $100 filing fee plus the additional, variable fee) must not exceed $300.
Amendments made to an effective securities registration may require the payment of a $25 amendment fee. See Minn.Stat. § 80A.65(3) and Minn. Stat. § 80A.53(i).
Checks should be made payable to the Minnesota Department of Commerce.
Period of Issuance:
Length of Determination:
Activity: Securities Sales
License Detail URL:
Securities, Franchises and Subdivided Lands