Skip to content

Recent Events Impacting Investment Advisers


Investment Advisers News, Important Links and Other Information


Minnesota Department of Commerce-Securities Unit Surveys 

Minnesota Department of Commerce-Securities Unit Examination Program

As a result of changes to Federal Securities Laws, the Minnesota Department of Commerce is now responsible for the supervision of more than 375 registered investment advisers. A function of this oversight will be to periodically examine each investment adviser to ensure they are in compliance with State Securities Laws.

Legislation Affecting Investment Advisors Registered in Minnesota

Notice to Private Fund Advisors


As of August 1, 2013, Minnesota private fund advisers must file with the IARD the same information as is required for exempt reporting advisers. Minn. Stat. 80A.58 (2013). Additional information required to be submitted by advisers to 3(c)(1) funds should be submitted directly to the Department of Commerce, care of Diane Walters in the securities section. Direct electronic submissions to Diane.Walters@state.mn.us.


Articles and Recent News


The following articles detail recent events impacting investment advisers.

Investment Alerts

Investor Bulletin: Custody of Your Investment Assets (Securities and Exchange Commission)
Investor Alert: Investment Seminars – Trading Seminar Fraud  (Securities and Exchange Commission)