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Title: Securities Broker-Dealers Firms and Agents
Alternate Title:
Description: Pursuant to Minn. Stats. §§ 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. Minnesota Department of Commerce
Subject: Financial Counselors/Planners
Financial Professionals
Securities
Securities Professionals
Creation Date: 2/15/2018 11:09:06 AM
Modification Date: 8/15/2024 4:07:04 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: 651-539-1500
Agency Fax: Agency URL: https://mn.gov/commerce/
Agency Address:
85 7th Place East, Suite 500

St. Paul
MN
55101
Unit Name: Securities Unit
Unit URL:
Unit Description:
Unit Phone: 651-539-1638
Unit Fax: Contact person(s): securities.commerce@state.mn.us
Unit URL:
Audience: Hold Application URL: https://www.finra.org/registration-exams-ce/classic-crd
Renewal URL: https://www.finra.org/registration-exams-ce/classic-crd
Versa URL:
Requirements:

Review:

Broker Dealers

Broker Dealers and their Agents

How to Register as a Broker Dealer Firm

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

Forms and Fee Requirements for Initial Registration

Registration Amendments & Renewals

Experience Requirement & Experience Requirements

Net Capital Requirements

How to Register as a Broker Dealer Agent

Forms and Fees Requirements for Initial Registration

Renewal of Registration

Required Examinations


Rules: 2876

Statutes: 80A

Forms:

Broker Dealer Firm
Forms and Fee Requirements for Initial Registration 

Broker Dealer Agent
Forms and Fees Requirements for Initial Registration

All applications for registration as a broker dealer must be filed electronically through FINRA's Central Registration Depository (CRD)


Fees:

Broker Dealer Firm

Forms and Fee Requirements for Initial Registration 

Registration Amendments & Renewals

Experience Requirement

Net Capital Requirements

Broker Dealer Agent

Forms and Fees Requirements for Initial Registration

 Renewal of Registration 

 Required Examinations


Period of Issuance:

 Annual


Length of Determination:
Other Info:
Activity: Securities Sales
License Detail URL:

Broker Dealer and their Agents

Securities

Minnesota Department of Commerce

   


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