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 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 None
