Skip to main content

Minnesota Statutes Securities (Ch. 80, 80A) § 80A.71. Section 504;  filing of sales and advertising literature

Welcome to FindLaw's Cases & Codes, a free source of state and federal court opinions, state laws, and the United States Code. For more information about the legal concepts addressed by these cases and statutes, visit FindLaw's Learn About the Law.

(a) Filing requirement.  Except as otherwise provided in subsection (b), a rule adopted or order issued under this chapter may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this chapter.

(b) Excluded communications.  This section does not apply to sales and advertising literature specified in subsection (a) which relates to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by section 80A.45 , 80A.46 , or 80A.47 except as required pursuant to section 80A.45(7) .

Cite this article: FindLaw.com - Minnesota Statutes Securities (Ch. 80, 80A) § 80A.71. Section 504;  filing of sales and advertising literature - last updated January 01, 2018 | https://codes.findlaw.com/mn/securities-ch-80-80a/mn-st-sect-80a-71/


FindLaw Codes may not reflect the most recent version of the law in your jurisdiction. Please verify the status of the code you are researching with the state legislature or via Westlaw before relying on it for your legal needs.

Copied to clipboard