Minnesota SF4264 modifies provisions for securities broker-dealers and agents, including record-keeping, reporting, and conduct standards.

Minnesota SF4264 amends securities broker-dealer and agent regulations, focusing on record-keeping, reporting, and conduct standards. It mandates broker-dealers and investment advisers to maintain records and file reports with the administrator, including financial reports and audit or inspection requests. The bill also outlines specific conduct standards for broker-dealers and agents, prohibiting practices such as fraud, deception, and manipulative activities.

Minnesota SF4264 modifies provisions for securities broker-dealers and agents, including record-keeping, reporting, and conduct standards.

Minnesota SF4264 amends securities broker-dealer and agent regulations, focusing on record-keeping, reporting, and conduct standards. It mandates broker-dealers and investment advisers to maintain records and file reports with the administrator, including financial reports and audit or inspection requests. The bill also outlines specific conduct standards for broker-dealers and agents, prohibiting practices such as fraud, deception, and manipulative activities.