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2005 Minnesota Statutes Index (topics)

SECURITIES

Abandoned and unclaimed securities

Delivery to Commerce Department, Minn. Statutes 2005 345.43

Presumption of abandonment, Minn. Statutes 2005 345.35

Sale, Minn. Statutes 2005 345.47

Acquisition, means, Minn. Statutes 2005 336.8-104

Administration of law

Commerce Department, duties, Minn. Statutes 2005 80A.19

Adverse claims

Agents, liability, Minn. Statutes 2005 336.8-115

Brokers, liability, Minn. Statutes 2005 336.8-115

Defined, Minn. Statutes 2005 336.8-102

Entitlement holders, liability, Minn. Statutes 2005 336.8-502, 2005 336.8-510

Local laws, application, Minn. Statutes 2005 336.8-110

Notice, Minn. Statutes 2005 336.8-105, 2005 336.8-304

Purchasers, Minn. Statutes 2005 336.8-302, 2005 336.8-303, 2005 336.8-503, 2005 336.8-510

Securities intermediaries, liability, Minn. Statutes 2005 336.8-115

Wrongful registration, defenses, Minn. Statutes 2005 336.8-404, 2005 336.8-406

Agents

Addresses, supplying to commissioner, Minn. Statutes 2005 45.0112

Defined, Minn. Statutes 2005 80A.14

Filing fees, return, Minn. Statutes 2005 80A.05

Licenses, Minn. Statutes 2005 45.0111, 2005 45.0292, 2005 80A.04 to 2005 80A.07, 2005 80A.28

Notice given, addresses and telephone numbers, Minn. Statutes 2005 45.0112

Surety bonds, Minn. Statutes 2005 80A.05

Telephone numbers, supplying to commissioner, Minn. Statutes 2005 45.0112

Transfer agents, see same under this topic

Alteration, security certificates, Minn. Statutes 2005 336.8-206

Appropriate evidence of appointment or incumbency

Defined, Minn. Statutes 2005 336.8-402

Appropriate persons

Defined, Minn. Statutes 2005 336.8-107

Demand that issuers not register transfer, Minn. Statutes 2005 336.8-403

Endorsement warranties, Minn. Statutes 2005 336.8-306

Registration of transfer, Minn. Statutes 2005 336.8-401

Assessments, registered owners, liability, Minn. Statutes 2005 336.8-207

Asset class, securities defined as, Minn. Statutes 2005 356.219

Attorney general, securities violations, Minn. Statutes 2005 80A.22

Audits and examinations, Minn. Statutes 2005 80A.06

Authenticating trustees

Registration of transfer, duties, Minn. Statutes 2005 336.8-407

Unauthorized signatures, Minn. Statutes 2005 336.8-205

Warranties, Minn. Statutes 2005 336.8-208

Authentication, warranties, Minn. Statutes 2005 336.8-208

Authorized securities

Higher Education Facilities Authority revenue bonds, Minn. Statutes 2005 136A.38

Higher Education Services Office revenue bonds, Minn. Statutes 2005 136A.178

Intermediate School District 287 (Hennepin County), bonds, Minn. Statutes 2005 136D.281

Intermediate School District 916 (Northeast Metro), bonds, Minn. Statutes 2005 136D.741

Intermediate School District 917 (Dakota County), bonds, Minn. Statutes 2005 136D.88

State university revenue bonds, Minn. Statutes 2005 136F.91

Banks

Deposits and collections, Minn. Statutes 2005 336.4-102

Officers or employees, sale to bank, Minn. Statutes 2005 48.08

Securities in lieu of surety bonds, Minn. Statutes 2005 48.13

Bearer form

Adverse claims, notice, Minn. Statutes 2005 336.8-304

Defined, Minn. Statutes 2005 336.8-102

Purchasers, control, Minn. Statutes 2005 336.8-106

Bearer, defined, Minn. Statutes 2005 336.1-201

Blank endorsements, Minn. Statutes 2005 336.8-304

Bona fide purchasers, see Purchasers for value under this topic

Bonds (public debt), see BONDS (PUBLIC DEBT)

Breach of warranty, liability, Minn. Statutes 2005 336.8-306

Broker-dealers, see BROKERS (SECURITIES)

Brokers, see BROKERS (SECURITIES)

Bucket shops, Minn. Statutes 2005 609.75

Burglary, Minn. Statutes 2005 609.582

Business corporations, see Securities under BUSINESS CORPORATIONS

Calls

Registered owners, liability, Minn. Statutes 2005 336.8-207

Revocation, Minn. Statutes 2005 336.8-203

Canadian securities

Exemption from registration, Minn. Statutes 2005 80A.15

Cancellation, material change, Minn. Statutes 2005 336.8-202

Certificated securities

Creditors' legal process, Minn. Statutes 2005 336.8-112

Defined, Minn. Statutes 2005 336.8-102

Delivery to purchasers, Minn. Statutes 2005 336.8-301

Evidence, rules, Minn. Statutes 2005 336.8-114

Housing Finance Agency bonds or notes, Minn. Statutes 2005 462A.08

Issuers' liens, Minn. Statutes 2005 336.8-209

Lack of genuineness, defense, Minn. Statutes 2005 336.8-202

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2005 336.8-405

Persons acting as issuers, duties to certificate holders or owners, Minn. Statutes 2005 336.8-407

Protected purchasers, control, Minn. Statutes 2005 336.8-301

Purchasers, Minn. Statutes 2005 336.8-105, 2005 336.8-106

Secured transactions, control by secured party, Minn. Statutes 2005 336.9-106

Security interests, perfection and priority, Minn. Statutes 2005 336.9-312

Signatures, Minn. Statutes 2005 336.8-205

Terms, Minn. Statutes 2005 336.8-202, 2005 336.8-204, 2005 336.8-209

Transfer warranties, Minn. Statutes 2005 336.8-108, 2005 336.8-109

Certificates of indebtedness, see CERTIFICATES OF INDEBTEDNESS

Checks, see CHECKS

Claims

Adverse claims, see same under this topic

Claims of beneficial interest, defined, Minn. Statutes 2005 520.21

Clearing corporations

Accounts and accounting, shares, pledge or title transfer, Minn. Statutes 2005 302.021

Creditors' claims, priority, Minn. Statutes 2005 336.8-511

Definitions, Minn. Statutes 2005 302.021, 2005 336.8-102

Insurance companies, Minn. Statutes 2005 60A.10, 2005 60A.11

Options, defined as financial assets, Minn. Statutes 2005 336.8-103

Rules, conflict of laws, effectiveness, Minn. Statutes 2005 336.8-111

Securities intermediaries, duties as, exemption, Minn. Statutes 2005 336.8-504

Shares, pledge and title transfer, Minn. Statutes 2005 302.021

Shares, pledge or title transfer, Minn. Statutes 2005 302.021

Commercial Code-investment securities

Citation, Minn. Statutes 2005 336.8-101

Definitions, Minn. Statutes 2005 336.8-102

Effective date of act, Minn. Statutes 2005 336.8-601

Generally, Minn. Statutes 2005 336.8-101 to 2005 336.8-603

Repealers, Minn. Statutes 2005 336.8-602

Savings clause, Minn. Statutes 2005 336.8-603

Commercially reasonable practices

Securities intermediaries, Minn. Statutes 2005 336.8-504 to 2005 336.8-509

Communicate, defined, Minn. Statutes 2005 336.8-102

Concealing criminal proceeds, Minn. Statutes 2005 609.496

Conflict of laws

Bank deposits and collections, Minn. Statutes 2005 336.4-102

Clearing corporation rules, effectiveness, Minn. Statutes 2005 336.8-111

Issuer's jurisdiction, local laws to govern, Minn. Statutes 2005 336.8-110

Negotiable instruments, Minn. Statutes 2005 336.3-102

Prevailing law, generally, Minn. Statutes 2005 336.1-301, 2005 336.8-110

Securities intermediary's jurisdiction, local laws to govern, Minn. Statutes 2005 336.8-110

Security certificates, governing law, Minn. Statutes 2005 336.8-103

Contracts for sale

Bet, exemption, Minn. Statutes 2005 609.75

Cancellation, Minn. Statutes 2005 336.8-202

Cancellation due to material change, Minn. Statutes 2005 336.8-202

Enforcement, statute of frauds inapplicable, Minn. Statutes 2005 336.8-113

Futures contracts, counties, Minn. Statutes 2005 118A.07

Contracts of purchase, bet, exemption, Minn. Statutes 2005 609.75

Cooperative associations

Distributions, forms of, Minn. Statutes 2005 308A.705

Exemption from registration, Minn. Statutes 2005 80A.15, 2005 308A.505

Corporate bonds, see under CORPORATIONS

Corporate takeovers, see Equity securities under CORPORATE TAKEOVERS

Corporations, registration, see Registration under this topic

Counterfeiting, evidence, signatures, Minn. Statutes 2005 634.01

Coupons (commercial paper), see COUPONS (COMMERCIAL PAPER)

Creditors

Claims, priority, Minn. Statutes 2005 336.8-511

Remedies, Minn. Statutes 2005 336.8-112

Custodians of funds, prohibited activities, Minn. Statutes 2005 80A.02

Damages

Civil liability, Minn. Statutes 2005 80A.23

Wrongful transfers, Minn. Statutes 2005 336.8-507

Debentures, see DEBENTURES

Defects

Constitutional violations, effect, Minn. Statutes 2005 336.8-202

Notice, Minn. Statutes 2005 336.8-202, 2005 336.8-203

Defenses

Certificated securities, validity, Minn. Statutes 2005 336.8-114

Genuineness, Minn. Statutes 2005 336.8-202

Guarantors defined as issuers, Minn. Statutes 2005 336.8-201

Purchasers of security entitlements, Minn. Statutes 2005 336.8-510

Staleness as notice, Minn. Statutes 2005 336.8-203

Wrongful registration, Minn. Statutes 2005 336.8-404, 2005 336.8-406

Definitions

Business corporation, Minn. Statutes 2005 302A.011

Commercial Code, Minn. Statutes 2005 336.1-201, 2005 336.4-104, 2005 336.5-102, 2005 336.8-102 to 2005 336.8-501

Corporate takeovers, Minn. Statutes 2005 80B.01

Generally, Minn. Statutes 2005 80A.14

Housing Finance Agency, Minn. Statutes 2005 462A.03

Income and franchise taxes, Minn. Statutes 2005 290.191

Insurance holding company systems, Minn. Statutes 2005 60D.15

Uniform Act for the Simplification of Fiduciary Security Transfers, Minn. Statutes 2005 520.21

Uniform Probate Code, Minn. Statutes 2005 524.1-201, 2005 524.6-301

Delivery

Defined, Minn. Statutes 2005 336.1-201

Securities intermediaries, duties, Minn. Statutes 2005 336.8-301

When delivery occurs, Minn. Statutes 2005 336.8-301, 2005 336.8-304

Deposits

Banks with trust powers, court-ordered deposits, Minn. Statutes 2005 48A.07

Central depositories, Minn. Statutes 2005 520.32

Federal reserve banks, Minn. Statutes 2005 520.33

Fiduciaries, duties, Minn. Statutes 2005 520.32, 2005 520.33

Trust companies, court-ordered deposits, Minn. Statutes 2005 48A.07

Uniform Fiduciaries Act, Minn. Statutes 2005 520.32

Destroyed instruments, Minn. Statutes 2005 336.8-405, 2005 336.8-406

Documentary draft, defined, Minn. Statutes 2005 336.4-104

Documents, securities defined as, Minn. Statutes 2005 336.5-102

Drafts (financial), see DRAFTS (FINANCIAL)

Due care standards

Securities intermediaries, Minn. Statutes 2005 336.8-504 to 2005 336.8-509

Endorsements

Adverse claims, notice, Minn. Statutes 2005 336.8-105

Appropriate persons, duties, Minn. Statutes 2005 336.8-107

Assurance of genuineness, Minn. Statutes 2005 336.8-401

Blank endorsements, Minn. Statutes 2005 336.8-304

Defined, Minn. Statutes 2005 336.8-102

Effectiveness, determination, Minn. Statutes 2005 336.8-107

Endorsees, obligations, Minn. Statutes 2005 336.8-304

For collection endorsement, Minn. Statutes 2005 336.8-105

For surrender endorsement, Minn. Statutes 2005 336.8-105

Partial endorsements, Minn. Statutes 2005 336.8-304

Representatives, duties, effectiveness, Minn. Statutes 2005 336.8-107

Special endorsements, Minn. Statutes 2005 336.8-304

Warranties, Minn. Statutes 2005 336.8-108, 2005 336.8-306

Wrongful registration, defenses, Minn. Statutes 2005 336.8-404

Entitlement holders

Adverse claims, Minn. Statutes 2005 336.8-502, 2005 336.8-510

Control agreements, Minn. Statutes 2005 336.8-106

Defined, Minn. Statutes 2005 336.8-102

Jurisdiction agreements, Minn. Statutes 2005 336.8-110

Property interest in financial assets held by securities intermediaries, Minn. Statutes 2005 336.8-503, 2005 336.8-505, 2005 336.8-506, 2005 336.8-511

Rights and duties, Minn. Statutes 2005 336.8-110

Entitlement orders

Appropriate persons, defined, Minn. Statutes 2005 336.8-107

Defined, Minn. Statutes 2005 336.8-102

Effectiveness, determination, Minn. Statutes 2005 336.8-107

Originators, warranties, Minn. Statutes 2005 336.8-109

Representatives, duties, effectiveness, Minn. Statutes 2005 336.8-107

Securities intermediaries, compliance requirements, Minn. Statutes 2005 336.8-507

Equity securities, defined, Minn. Statutes 2005 80B.01

Evidence

Certificated securities, rules, Minn. Statutes 2005 336.8-114

Fiduciaries, appointment or incumbency, Minn. Statutes 2005 336.8-402

Exercise of rights

Trustees, enumerated powers of trustees, Minn. Statutes 2005 501B.81

Federal covered advisers, licenses, Minn. Statutes 2005 80A.04, 2005 80A.05

Federal covered securities

Commerce Department, duties, Minn. Statutes 2005 80A.122

Defined as permissible investments, Minn. Statutes 2005 53B.03

Definitions, Minn. Statutes 2005 80A.14

Fees and expenses, Minn. Statutes 2005 80A.28

Registration, see same under this topic

Sales and advertising literature, filing requirements, exemption, Minn. Statutes 2005 80A.16

Federal registration statement, Minn. Statutes 2005 80A.10

Federal securities, limitations, Minn. Statutes 2005 48.16

Fees and expenses

Generally, Minn. Statutes 2005 80A.28

Registration statements, filing fees, failure to pay, Minn. Statutes 2005 80A.13

Fiduciaries

Appointment or incumbency, evidence, Minn. Statutes 2005 336.8-402

Assignments by fiduciaries, duties regarding, Minn. Statutes 2005 520.23, 2005 520.24

Endorsements or instructions, Minn. Statutes 2005 336.8-402

Registration by or in name of fiduciaries, Minn. Statutes 2005 520.22

Securities deposited in central depository, duties, Minn. Statutes 2005 520.32

Securities deposited in federal reserve banks, duties, Minn. Statutes 2005 520.33

Transfer agents, see same under this topic

Transfers, see same under this topic

Fiduciary security transfers, Minn. Statutes 2005 520.28

Filing

Generally, Minn. Statutes 2005 80A.26

Misleading filings, Minn. Statutes 2005 80A.17

Sales and advertising literature, Minn. Statutes 2005 80A.15, 2005 80A.16

Financial assets

Acquisition, means, Minn. Statutes 2005 336.8-104

Defined, Minn. Statutes 2005 336.8-102

Determination rules, Minn. Statutes 2005 336.8-103

Entitlement holders, see same under this topic

Holders, rights, Minn. Statutes 2005 336.8-501

Limited liability companies, determination rules, Minn. Statutes 2005 336.8-103

Partnerships, determination rules, Minn. Statutes 2005 336.8-103

Securities intermediaries, see same under this topic

Security entitlements, see same under this topic

Security interests, grants by securities intermediaries, Minn. Statutes 2005 336.8-504

Financial assurances

Radioactive materials licenses, Minn. Statutes 2005 144.1204

Fines, Commerce Department, imposing, Minn. Statutes 2005 45.027

Foreign corporations

Business transactions, exceptions, Minn. Statutes 2005 303.03

Forgery, evidence, Minn. Statutes 2005 634.01

Forms

Commerce Department duties, Minn. Statutes 2005 80A.25

Form U-7, small corporate offerings, Minn. Statutes 2005 80A.115

Fraud and deceit, Minn. Statutes 2005 80A.01

Fraud

Alterations, effect, Minn. Statutes 2005 336.8-206

Misleading filings, Minn. Statutes 2005 80A.17

Revocation of license, Minn. Statutes 2005 80A.07

U.S. post office fraud order, Minn. Statutes 2005 80A.07

Gambling debts, security void, Minn. Statutes 2005 541.21

Genuine

Defenses, Minn. Statutes 2005 336.8-202

Endorsements or instructions, assurances, Minn. Statutes 2005 336.8-401, 2005 336.8-402

Signatures, Minn. Statutes 2005 336.8-208, 2005 336.8-306

Goods, exclusions, Commercial Code, Minn. Statutes 2005 336.2-105

Government agencies, Minn. Statutes 2005 336.8-202

Government securities

Financial assurances, radioactive materials licenses, Minn. Statutes 2005 144.1204

Workers' compensation self-insurance, Minn. Statutes 2005 79A.04

Guarantee of signature

Defined, Minn. Statutes 2005 336.8-402

Guarantors, liability, Minn. Statutes 2005 336.8-306

Signatures of endorsers or originators of instructions, warranties, Minn. Statutes 2005 336.8-306, 2005 336.8-402

Hearings, Commerce Department, duties, Minn. Statutes 2005 80A.24

Holders, blank endorsements

Conversion to special endorsements, Minn. Statutes 2005 336.8-304

Housing Finance Agency bonds or notes, see Housing Finance Agency under BONDS (PUBLIC DEBT)

Indemnity bonds

Lost, destroyed, or wrongfully taken instruments, claimant's bond, Minn. Statutes 2005 336.8-405

Registration of transfer, Minn. Statutes 2005 336.8-403

Injunctions

Commerce Department, issuing by, Minn. Statutes 2005 45.027

Creditors' legal process, Minn. Statutes 2005 336.8-112

Registration of transfer, Minn. Statutes 2005 336.8-403

Instructions

Appropriate persons, defined, Minn. Statutes 2005 336.8-107

Assurance of genuineness, Minn. Statutes 2005 336.8-401, 2005 336.8-402

Defined, Minn. Statutes 2005 336.8-102

Effectiveness, determination, Minn. Statutes 2005 336.8-107

Incomplete instructions, Minn. Statutes 2005 336.8-305

Originator of instructions, Minn. Statutes 2005 336.8-305, 2005 336.8-306

Registered owners, rights, Minn. Statutes 2005 336.8-207

Representatives, duties, effectiveness, Minn. Statutes 2005 336.8-107

Signature guarantors, warranties, Minn. Statutes 2005 336.8-306

Uncertificated securities, registration of transfer warranties, Minn. Statutes 2005 336.8-108

Wrongful registration, defenses, Minn. Statutes 2005 336.8-404

Insurance

Authority to issue, generally, Minn. Statutes 2005 60A.06

Minnesota standard fire insurance policy, exclusion, Minn. Statutes 2005 65A.01

Policies, exemption, readability law, Minn. Statutes 2005 72C.03

Interest in

Acquisition, means, Minn. Statutes 2005 336.8-104

Ownership of interest, income and franchise taxes, exceptions, Minn. Statutes 2005 290.015

Protected purchasers, acquisition free of adverse claims, Minn. Statutes 2005 336.8-303

Interest rates, advertising, Minn. Statutes 2005 45.025

Interpretive opinions

Commerce Department, duties, Minn. Statutes 2005 80A.26

Investigations, Commerce Department, Minn. Statutes 2005 45.027

Investment advisers, see under BROKERS (SECURITIES)

Investment Board

Access, Minn. Statutes 2005 11A.10

Authorized investments, Minn. Statutes 2005 11A.04, 2005 11A.24

Investment company securities, defined, Minn. Statutes 2005 336.8-103

Investments in

Banks, Minn. Statutes 2005 48.39

Cemetery permanent care and improvement funds, Minn. Statutes 2005 306.38, 2005 306.44, 2005 306.79

County cemetery funds, Minn. Statutes 2005 306.48

Health maintenance organizations, Minn. Statutes 2005 61A.28

Higher Education Services Office, student loan account funds, Minn. Statutes 2005 136A.16

Highway user tax investment fund, Minn. Statutes 2005 161.081

Institutional funds, Minn. Statutes 2005 309.65

Insurance companies

Generally, Minn. Statutes 2005 60A.11

Investments of Insurers Act, Minn. Statutes 2005 60L.07, 2005 60L.08, 2005 60L.09

Life insurance companies, Minn. Statutes 2005 60L.02, 2005 61A.28

Subsidiaries, Minn. Statutes 2005 60D.16

Investment Board, Minn. Statutes 2005 11A.24

Metropolitan Airports Commission, Minn. Statutes 2005 473.606

Nonprofit health service plan corporations, Minn. Statutes 2005 61A.28

Public funds (local), Minn. Statutes 2005 118A.04

Public retirement plans, Minn. Statutes 2005 356A.06

Reinsurance intermediary-brokers (RBs), fiduciary funds, Minn. Statutes 2005 60A.715

State airports fund, Minn. Statutes 2005 360.017

Trunk highway fund, Minn. Statutes 2005 161.04

Trusts, Minn. Statutes 2005 501B.81

Workers' compensation commercial self-insurance common claims funds, Minn. Statutes 2005 79A.22

Issuance

Generally, Minn. Statutes 2005 336.8-201 to 2005 336.8-210

Lost, destroyed, or wrongfully taken instruments, new certificates, Minn. Statutes 2005 336.8-405, 2005 336.8-406

Not establishment of a security entitlement, Minn. Statutes 2005 336.8-501

Overissue, Minn. Statutes 2005 336.8-210, 2005 336.8-404, 2005 336.8-405

Issuers

Control agreements, Minn. Statutes 2005 336.8-106

Defenses, Minn. Statutes 2005 336.8-202

Defined, Minn. Statutes 2005 336.8-201

Demand to not register transfer, duties, Minn. Statutes 2005 336.8-403

Employees, unauthorized signatures, Minn. Statutes 2005 336.8-205

Endorsements and instructions, assurance, Minn. Statutes 2005 336.8-402

Generally, Minn. Statutes 2005 336.8-201 to 2005 336.8-210

Indemnity bonds, Minn. Statutes 2005 336.8-403, 2005 336.8-405

Jurisdiction, Minn. Statutes 2005 336.8-110

Liability, Minn. Statutes 2005 80A.23, 2005 336.8-401, 2005 336.8-404

Liens, validity, Minn. Statutes 2005 336.8-209

Notice received, lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2005 336.8-405, 2005 336.8-406

Overissue, Minn. Statutes 2005 336.8-210, 2005 336.8-404, 2005 336.8-405

Payments or distributions by, securities intermediaries, liability, Minn. Statutes 2005 336.8-505

Persons acting as, duties to certificate holders or owners, Minn. Statutes 2005 336.8-407

Registration of transfer, Minn. Statutes 2005 336.8-110, 2005 336.8-401

Restrictions on transfer, effect, Minn. Statutes 2005 336.8-204, 2005 336.8-401

Rights regarding registered owners, Minn. Statutes 2005 336.8-207

Small corporate offerings, Minn. Statutes 2005 80A.115

Wrongful registration, liability, Minn. Statutes 2005 336.8-404

Legislative intent, Minn. Statutes 2005 80A.31

Liability

Assessments, Minn. Statutes 2005 336.8-207

Breach of warranty, Minn. Statutes 2005 336.8-306

Calls, Minn. Statutes 2005 336.8-207

Damages, Minn. Statutes 2005 80A.23

Guarantors, Minn. Statutes 2005 336.8-306

Issuers, Minn. Statutes 2005 80A.23

Payments or distributions made by issuers, Minn. Statutes 2005 336.8-505

Registration of transfer, Minn. Statutes 2005 336.8-401, 2005 336.8-403

State, securities issued by, Minn. Statutes 2005 3.736

Wrongful registration, Minn. Statutes 2005 336.8-404

Wrongful transfers, Minn. Statutes 2005 336.8-504, 2005 336.8-507

Licenses

Agents, see same under this topic

Broker, see BROKERS (SECURITIES)

Investment advisers, see under BROKERS (SECURITIES)

Liens, issuers' liens, validity, Minn. Statutes 2005 336.8-209

Limited interest, purchasers, Minn. Statutes 2005 336.8-302

Limited liability companies

Foreign limited liability companies, Minn. Statutes 2005 322B.945

Interest in, Minn. Statutes 2005 322B.30

Membership interests converted to, mergers, Minn. Statutes 2005 322B.71

Membership interests defined as securities, Minn. Statutes 2005 336.8-103

Membership interests exchanged for, exchanges, Minn. Statutes 2005 322B.71

Right to purchase, company powers, generally, Minn. Statutes 2005 322B.20

Trading, company powers, Minn. Statutes 2005 322B.20

Liquor warehouse receipts

Sale deemed sale of securities, Minn. Statutes 2005 80A.29

Loans of, life insurance companies, Minn. Statutes 2005 61A.282

Lost, destroyed, or wrongfully taken instruments

Indemnity bonds, Minn. Statutes 2005 336.8-405

New certificates, issuance, Minn. Statutes 2005 336.8-405, 2005 336.8-406

Notice requirements, Minn. Statutes 2005 336.8-405, 2005 336.8-406

Registration of transfer, Minn. Statutes 2005 336.8-405

Manipulative, deceptive, fraudulent devices or contrivances, Minn. Statutes 2005 80A.03

Mining corporations

Fraudulent issuance or sale, Minn. Statutes 2005 300.65

Misleading filings, Minn. Statutes 2005 80A.17

Money market instruments

Income and franchise taxes, property and receipts factors, Minn. Statutes 2005 290.191

Money orders, see MONEY ORDERS

Municipal securities

Investment Board, purchasing, Minn. Statutes 2005 11A.04

Negotiable instruments, see NEGOTIABLE INSTRUMENTS

Nonprofit corporations, Minn. Statutes 2005 317A.161

Nonrecourse loans, exemptions, Minn. Statutes 2005 80A.125

Notice requirements

Adverse claims, fiduciary security transfers, Minn. Statutes 2005 520.25

Defects, Minn. Statutes 2005 336.8-202, 2005 336.8-203

Defenses, Minn. Statutes 2005 336.8-202, 2005 336.8-203

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2005 336.8-405, 2005 336.8-406

Staleness, Minn. Statutes 2005 336.8-203

Obligations and interests

Guarantors defined as issuers, Minn. Statutes 2005 336.8-201

Indebtedness, obligation to pay, Minn. Statutes 2005 3.736

Securities or financial assets, determination rules, Minn. Statutes 2005 336.8-103

Oil or gas lands, registration of, Minn. Statutes 2005 80A.30

Orders

Denying applications, Minn. Statutes 2005 80A.07

Financial statements, form, Minn. Statutes 2005 80A.25

Revoking licenses, Minn. Statutes 2005 80A.07

Stop orders, registration statements, Minn. Statutes 2005 80A.10, 2005 80A.13

Overissue

Defined, Minn. Statutes 2005 336.8-210

Identical securities in lieu of, Minn. Statutes 2005 336.8-210, 2005 336.8-404

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2005 336.8-405

Recovery, Minn. Statutes 2005 336.8-210

Wrongful registration, defenses, Minn. Statutes 2005 336.8-404

Owners, registered, Minn. Statutes 2005 336.8-207, 2005 336.8-405, 2005 336.8-406

Ownership of interest, Minn. Statutes 2005 290.015, 2005 336.8-104, 2005 336.8-303

Partial endorsements, separate transfers, Minn. Statutes 2005 336.8-304

Partnerships

Interest in partnership defined as securities, Minn. Statutes 2005 336.8-103

Petroleum products distributors, Minn. Statutes 2005 296A.03

Pledges, State Lottery, Minn. Statutes 2005 349A.06, 2005 349A.07

Presumptions

Certificated securities, signatures, Minn. Statutes 2005 336.8-114

Prior transactions, validation, Minn. Statutes 2005 336.10-102

Probate, Minn. Statutes 2005 524.1-201, 2005 524.6-302 to 2005 524.6-311

Professional firms, ownership interest transactions, exception, Minn. Statutes 2005 319B.07

Protected purchasers

Acquisition of interest free of adverse claims, Minn. Statutes 2005 336.8-303

Defined, Minn. Statutes 2005 336.8-303

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2005 336.8-405

Rights, Minn. Statutes 2005 336.8-303

Security certificates in registered form, endorsement, Minn. Statutes 2005 336.8-304

Public securities, defined as personal property, Minn. Statutes 2005 272.03

Purchasers for value

Blanks incorrectly filled, enforcement, Minn. Statutes 2005 336.8-206

Issuers' defenses, Minn. Statutes 2005 336.8-202

Issuers' liens, validity, Minn. Statutes 2005 336.8-209

Securities intermediaries deemed as, Minn. Statutes 2005 336.8-116

Unauthorized signatures, Minn. Statutes 2005 336.8-205

Purchasers

Adverse claims, Minn. Statutes 2005 336.8-503, 2005 336.8-510

Certificated securities, control, Minn. Statutes 2005 336.8-106

Control agreements, Minn. Statutes 2005 336.8-106

Limited interest, Minn. Statutes 2005 336.8-302

Protected purchasers, Minn. Statutes 2005 336.8-303, 2005 336.8-304, 2005 336.8-405

Purchasers for value, see same under this topic

Rejection or rescission of transfer, Minn. Statutes 2005 336.8-307

Rights acquired, Minn. Statutes 2005 336.8-302

Security entitlements, control, Minn. Statutes 2005 336.8-106

Uncertificated securities, control, Minn. Statutes 2005 336.8-106

Purchases

Rescission, action for, Minn. Statutes 2005 80A.23

Securities regulation, unlawful activities, Minn. Statutes 2005 80A.01

Without intent to control, racketeering, exemption, Minn. Statutes 2005 609.903

Receipts from disposition, definitions

Uniform Principal and Income Act, Minn. Statutes 2005 501B.61, 2005 501B.64

Registered form

Defined, Minn. Statutes 2005 336.8-102

Protected purchasers, endorsement, Minn. Statutes 2005 336.8-304

Purchasers, control, Minn. Statutes 2005 336.8-106

Registered owners

Calls or assessments, liability, Minn. Statutes 2005 336.8-207

Notice given, lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2005 336.8-405, 2005 336.8-406

Rights, Minn. Statutes 2005 336.8-207

Registration of transfer

Appropriate persons, duties, Minn. Statutes 2005 336.8-401

Authenticating trustees, duties, Minn. Statutes 2005 336.8-407

Business trusts, Minn. Statutes 2005 318.03

Conditions for, Minn. Statutes 2005 336.8-401

Definitions, Minn. Statutes 2005 336.8-402

Demand that issuer not register transfer, Minn. Statutes 2005 336.8-403

Effectiveness, Minn. Statutes 2005 336.8-110

Endorsements or instructions, assurance, Minn. Statutes 2005 336.8-402

Exemptions, Minn. Statutes 2005 80A.15

Fees and expenses, Minn. Statutes 2005 80A.28

Issuers, Minn. Statutes 2005 336.8-201, 2005 336.8-401, 2005 336.8-403

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2005 336.8-405, 2005 336.8-406

Oil and gas lands, Minn. Statutes 2005 80A.30

Proof of authority to transfer, Minn. Statutes 2005 336.8-307

Registered owners, rights, Minn. Statutes 2005 336.8-207

Registrars, duties, Minn. Statutes 2005 336.8-407

Requirement of registration before sale, Minn. Statutes 2005 80A.08

Statements, see Registration statements under this topic

Transfer agents, duties, Minn. Statutes 2005 336.8-407

Unlawful representations, Minn. Statutes 2005 80A.18

Warranties, Minn. Statutes 2005 336.8-108

Wrongful registration, liability, Minn. Statutes 2005 336.8-404

Registration statements

Consent to service of process, Minn. Statutes 2005 80A.09, 2005 80A.27

Denial, suspension, revocation of registration reasons for, Minn. Statutes 2005 80A.13

Effective date, Minn. Statutes 2005 80A.09, 2005 80A.12

Exemptions, generally, Minn. Statutes 2005 80A.15

Fees and expenses, Minn. Statutes 2005 80A.13, 2005 80A.28

Generally, Minn. Statutes 2005 80A.12

Misleading filings, Minn. Statutes 2005 80A.17

Registration by coordination, Minn. Statutes 2005 80A.10

Registration by notification, Minn. Statutes 2005 80A.09

Registration by qualification, Minn. Statutes 2005 80A.10, 2005 80A.11

Unlawful representations concerning, Minn. Statutes 2005 80A.18

Registration

Coordinated registration, Minn. Statutes 2005 80A.12

Exemptions, Minn. Statutes 2005 80A.15

Federal covered securities, Minn. Statutes 2005 80A.08, 2005 80A.122

Generally, Minn. Statutes 2005 80A.08

Small corporate offerings, Minn. Statutes 2005 80A.115

Statements, see Registration statements under this topic

Reinsurance, reduction of liability, Minn. Statutes 2005 60A.093

Reports about, annual reports to shareholders, Minn. Statutes 2005 80A.12

Rulemaking about, Minn. Statutes 2005 80A.16, 2005 80A.25

Rural Finance Authority, bonds, Minn. Statutes 2005 41C.07, 2005 41C.10

Sale of oil or gas lands

Violations and penalties, Minn. Statutes 2005 80A.29

Sales and advertising literature

Filing requirements, Minn. Statutes 2005 80A.15, 2005 80A.16

Sales

Banks with trust powers, guarantees, Minn. Statutes 2005 48A.08

Defined, Minn. Statutes 2005 80A.14

Number per year, limitations, Minn. Statutes 2005 80A.15

Real estate brokers and agents, Minn. Statutes 2005 82.41

Real estate licensure, exemption, Minn. Statutes 2005 82.23

Securities regulation, unlawful activities, Minn. Statutes 2005 80A.01

Tax judgment sales, Minn. Statutes 2005 270C.7101

Trust companies, guarantees, Minn. Statutes 2005 48A.08

Secured parties

Creditors' legal process, Minn. Statutes 2005 336.8-112

Security certificates, redelivery warranties, Minn. Statutes 2005 336.8-108

Securities accounts

Defined, Minn. Statutes 2005 336.8-501

Secured transactions, Minn. Statutes 2005 336.9-106, 2005 336.9-108, 2005 336.9-203

Transfers to, Minn. Statutes 2005 336.8-508

Securities and exchange commission

Orders revoking registration or license, Minn. Statutes 2005 80A.07, 2005 80A.13

Securities intermediaries

Adverse claims, Minn. Statutes 2005 336.8-115, 2005 336.8-510

Commercially reasonable practices, Minn. Statutes 2005 336.8-504 to 2005 336.8-509

Control agreements, Minn. Statutes 2005 336.8-106

Creditors' claims, priority, Minn. Statutes 2005 336.8-511

Deemed purchasers for value, Minn. Statutes 2005 336.8-116

Defined, Minn. Statutes 2005 336.8-102

Delivery of securities, duties, Minn. Statutes 2005 336.8-301

Due care standards, Minn. Statutes 2005 336.8-504 to 2005 336.8-509

Entitlement orders, compliance, Minn. Statutes 2005 336.8-507

Issuers' defenses, Minn. Statutes 2005 336.8-202

Jurisdiction, Minn. Statutes 2005 336.8-110

Liability, Minn. Statutes 2005 336.8-115, 2005 336.8-505, 2005 336.8-507

Property held for entitlement holders

Application of other laws, compliance, Minn. Statutes 2005 336.8-509

Changing to other forms of security holding, Minn. Statutes 2005 336.8-508

Claims against, priority, Minn. Statutes 2005 336.8-511

Duties, Minn. Statutes 2005 336.8-504

Entitlement holders' rights, exercising, Minn. Statutes 2005 336.8-506

Obligation to perform duties, Minn. Statutes 2005 336.8-509

Rights and claims, exemption, Minn. Statutes 2005 336.8-503

Rights and duties, Minn. Statutes 2005 336.8-110

Security certificates, warranties, Minn. Statutes 2005 336.8-109

Security entitlements, Minn. Statutes 2005 336.8-106, 2005 336.8-501

Security certificates

Alteration, Minn. Statutes 2005 336.8-206

Bearer form, Minn. Statutes 2005 336.8-102, 2005 336.8-106, 2005 336.8-304

Conflict of laws, governing law, Minn. Statutes 2005 336.8-103

Defined, Minn. Statutes 2005 336.8-102

Endorsement warranties, Minn. Statutes 2005 336.8-108, 2005 336.8-306

Partial endorsements, separate transfers, Minn. Statutes 2005 336.8-304

Persons acting as issuers, duties to certificate holders or owners, Minn. Statutes 2005 336.8-407

Registered form, Minn. Statutes 2005 336.8-102, 2005 336.8-106, 2005 336.8-304

Secured parties, warranties, Minn. Statutes 2005 336.8-108

Securities intermediaries, warranties, Minn. Statutes 2005 336.8-109

Signatures, Minn. Statutes 2005 336.8-208

Unauthorized signatures, Minn. Statutes 2005 336.8-205

Security entitlements

Acquisition, Minn. Statutes 2005 336.8-104, 2005 336.8-110, 2005 336.8-501

Control by secured party, Minn. Statutes 2005 336.9-106

Creditors' legal process, Minn. Statutes 2005 336.8-112

Defined, Minn. Statutes 2005 336.8-102

Descriptions of property, sufficiency, Minn. Statutes 2005 336.9-108

Generally, Minn. Statutes 2005 336.8-501 to 2005 336.8-511

Perfection of interest, Minn. Statutes 2005 336.8-510

Purchasers, Minn. Statutes 2005 336.8-106, 2005 336.8-510

Securities intermediaries, Minn. Statutes 2005 336.8-106, 2005 336.8-501

Security interests, Minn. Statutes 2005 336.9-203

Security interests

Creditors' claims, priority, Minn. Statutes 2005 336.8-511

Holders' or purchasers' rights, priority, Minn. Statutes 2005 336.9-331

Perfection, Minn. Statutes 2005 336.8-510, 2005 336.8-603

Securities intermediaries, grants by, Minn. Statutes 2005 336.8-504

Uncertificated securities, see same under this topic

Service of process

Power to bring, Commerce Department, Minn. Statutes 2005 45.028

Signatures

Certificated securities, rules of evidence, Minn. Statutes 2005 336.8-114

Effect, generally, Minn. Statutes 2005 336.8-208

Endorsers, Minn. Statutes 2005 336.8-306, 2005 336.8-402

Guarantee of signature, Minn. Statutes 2005 336.8-306, 2005 336.8-402

Originators of instructions, Minn. Statutes 2005 336.8-306, 2005 336.8-402

Unauthorized signatures, effect, Minn. Statutes 2005 336.8-205

Warranties, Minn. Statutes 2005 336.8-208, 2005 336.8-306

Small corporate offerings, Minn. Statutes 2005 80A.115

Special endorsements, Minn. Statutes 2005 336.8-304

Staleness, notice of defect or defense, Minn. Statutes 2005 336.8-203

State government securities

Issuance and sale, liability limits, Minn. Statutes 2005 3.736

Public funds (local), collateral in lieu of surety bonds, Minn. Statutes 2005 118A.03

Statute of frauds

Contract enforcement, inapplicable, Minn. Statutes 2005 336.8-113

Stocks, see STOCKS

Subdivided lands

Subdivided land sales law, exemption, Minn. Statutes 2005 83.25, 2005 83.26

Tax judgment sales, Minn. Statutes 2005 270C.7101, 2005 270C.7105

Tax-exempt securities

Intermediate School District 287 (Hennepin County), bonds, Minn. Statutes 2005 136D.281

Intermediate School District 916 (Northeast Metro), bonds, Minn. Statutes 2005 136D.741

Intermediate School District 917 (Dakota County), bonds, Minn. Statutes 2005 136D.88

Taxes, laws, compliance, Minn. Statutes 2005 336.8-401

Taxpayers

Confiscation of property for taxes, release, Minn. Statutes 2005 270C.67

Terms

Alteration, enforcement, Minn. Statutes 2005 336.8-206

Blanks, filling, Minn. Statutes 2005 336.8-206

Cancellation, material change, Minn. Statutes 2005 336.8-202

Issuers' liens, Minn. Statutes 2005 336.8-209

Requirements, generally, Minn. Statutes 2005 336.8-202

Transfer restrictions, notice, Minn. Statutes 2005 336.8-204

Theft, registration of transfer, Minn. Statutes 2005 336.8-405

Township mutual companies

Overnight repurchase agreements, collateral, Minn. Statutes 2005 67A.231

Transactions

Home solicitation sales, exemption, Minn. Statutes 2005 325G.06

Plain Language Contract Act, exemption, Minn. Statutes 2005 325G.30

Registration requirements, exemptions, Minn. Statutes 2005 80A.15

Transfer agents

Adverse claims, Minn. Statutes 2005 336.8-115, 2005 520.25

Assignments by fiduciaries, duties, Minn. Statutes 2005 520.23, 2005 520.24

Endorsements or instructions, assurance of authority to sign, Minn. Statutes 2005 336.8-402

Fiduciaries, see same under this topic

Nonliability, Minn. Statutes 2005 520.26

Registration of transfer, duties, Minn. Statutes 2005 336.8-407

Unauthorized signatures, Minn. Statutes 2005 336.8-205

Warranties, Minn. Statutes 2005 336.8-108, 2005 336.8-208, 2005 336.8-306

Transfer warranties, Minn. Statutes 2005 336.8-108, 2005 336.8-109

Transfers

Adverse claims, Minn. Statutes 2005 520.25

Agents, see Transfer agents under this topic

By endorsement, Minn. Statutes 2005 336.8-304

Corporations, nonliability, Minn. Statutes 2005 520.26

Definitions, Minn. Statutes 2005 520.21

Fiduciaries, liability, Minn. Statutes 2005 520.02, 2005 520.26, 2005 520.27

Interpretation of law, Minn. Statutes 2005 520.30

Proof of authority to transfer, Minn. Statutes 2005 336.8-307

Registration of transfer, see same under this topic

Rejection or rescission, Minn. Statutes 2005 336.8-307

Restrictions by issuer, effect, Minn. Statutes 2005 336.8-204, 2005 336.8-401

Rights acquired, Minn. Statutes 2005 336.8-302

Signature guarantors, warranties, Minn. Statutes 2005 336.8-306

Third parties, nonliability, Minn. Statutes 2005 520.27

Transfer agents, nonliability, Minn. Statutes 2005 520.26

Warranties, Minn. Statutes 2005 336.8-108, 2005 336.8-109

Wrongful transfers, Minn. Statutes 2005 336.8-504, 2005 336.8-507

Trustees, authenticating, Minn. Statutes 2005 336.8-205, 2005 336.8-208, 2005 336.8-407

Trusts

Power of alienation, suspension, Minn. Statutes 2005 501B.09

Uncertificated securities

Creditors' legal process, Minn. Statutes 2005 336.8-112

Definitions, Minn. Statutes 2005 336.8-102

Delivery to purchasers, Minn. Statutes 2005 336.8-301

Housing Finance Agency bonds or notes, Minn. Statutes 2005 462A.08

Lost, destroyed, or wrongfully taken instruments, Minn. Statutes 2005 336.8-405

Persons acting as issuers, duties to certificate holders or owners, Minn. Statutes 2005 336.8-407

Protected purchasers, control, Minn. Statutes 2005 336.8-301

Purchasers, control, Minn. Statutes 2005 336.8-106

Registration of transfer warranties, Minn. Statutes 2005 336.8-108, 2005 336.8-109

Secured transactions, control by secured party, Minn. Statutes 2005 336.9-106

Signature warranties, Minn. Statutes 2005 336.8-306

Terms, Minn. Statutes 2005 336.8-202, 2005 336.8-204

Transfer warranties, Minn. Statutes 2005 336.8-108

Uniform Act for the Simplification of Fiduciary Security Transfers, Minn. Statutes 2005 520.21 to 2005 520.31

Usury, see USURY

Validity

Certificated securities, defenses or defects, Minn. Statutes 2005 336.8-114

Local laws, application, Minn. Statutes 2005 336.8-110

Rules, Minn. Statutes 2005 336.8-202

Valuables, securities defined as, Minn. Statutes 2005 327.70

Violations and penalties

Business corporations, directors, liability, Minn. Statutes 2005 302A.251

Civil liability, Minn. Statutes 2005 80A.23, 2005 82.43

Failure to provide notice of termination of effectiveness, Minn. Statutes 2005 80A.12

Felonies, generally, Minn. Statutes 2005 80A.22

Generally, Minn. Statutes 2005 45.027

Limited liability companies, governors, liability, Minn. Statutes 2005 322B.663

Referral to county attorney, Minn. Statutes 2005 80A.22

Voided securities, gambling debts, Minn. Statutes 2005 541.21

Voting rights, registered owners, Minn. Statutes 2005 336.8-207

Voting securities

Insurance holding companies, Minn. Statutes 2005 60D.15, 2005 60L.02

Trustees, enumerated powers of trustees, Minn. Statutes 2005 501B.81

Warranties

Authenticating trustees, Minn. Statutes 2005 336.8-208

Breach of warranty, liability, Minn. Statutes 2005 336.8-306

Endorsements, Minn. Statutes 2005 336.8-108, 2005 336.8-306, 2005 336.8-402

Entitlement orders, Minn. Statutes 2005 336.8-109

Instructions, Minn. Statutes 2005 336.8-108, 2005 336.8-306, 2005 336.8-402

Registrars, Minn. Statutes 2005 336.8-208

Registration of transfer warranties, Minn. Statutes 2005 336.8-108, 2005 336.8-109

Secured parties, Minn. Statutes 2005 336.8-108

Signatures of endorsers or originators of instructions, Minn. Statutes 2005 336.8-306, 2005 336.8-402

Transfer agents, Minn. Statutes 2005 336.8-108, 2005 336.8-208, 2005 336.8-306

Transfer warranties, Minn. Statutes 2005 336.8-108, 2005 336.8-109

Workers' compensation self-insurance, see Securities under WORKERS COMPENSATION SELF-INSURANCE

Worthless securities

Income and franchise taxes, refunds, Minn. Statutes 2005 289A.40

Wrongful registration, liability

Violations and penalties, Minn. Statutes 2005 336.8-404

Wrongful transfers, Minn. Statutes 2005 336.8-507

Violations and penalties, Minn. Statutes 2005 336.8-504

Wrongfully taken instruments, Minn. Statutes 2005 336.8-405, 2005 336.8-406

700 State Office Building, 100 Rev. Dr. Martin Luther King Jr. Blvd., St. Paul, MN 55155 ♦ Phone: (651) 296-2868 ♦ TTY: 1-800-627-3529 ♦ Fax: (651) 296-0569