{"id":2358,"date":"2017-04-03T00:24:05","date_gmt":"2017-04-03T00:24:05","guid":{"rendered":"http:\/\/suretyone.com\/blog\/?p=2358"},"modified":"2017-04-03T00:24:05","modified_gmt":"2017-04-03T00:24:05","slug":"minnesota-investment-adviser-surety-bond","status":"publish","type":"post","link":"https:\/\/suretyone.com\/blog\/minnesota-investment-adviser-surety-bond\/","title":{"rendered":"Minnesota Investment Adviser Surety Bond"},"content":{"rendered":"

Minnesota statute (80A.41 Section 102<\/a>) defines an\u00a0“Investment adviser” as\u00a0a “person that, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or the advisability of investing in, purchasing, or selling securities or that, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. The term includes a financial planner or other person that, as an integral component of other financially related services, provides investment advice to others for compensation as part of a business or that holds itself out as providing investment advice to others for compensation.\u00a0Every investment adviser registered or required to be registered under the Minnesota Securities Act, Minnesota Statutes, chapter 80A, having custody of or discretionary authority over client funds or securities must post with the administrator<\/a> of the Department of Commerce, a Minnesota investment adviser surety bond<\/strong> in the maximum amount authorized by Minnesota Statutes, section 80A.66, subsection (e). A surety bond required by law must be\u00a0issued by a surety company qualified to do business in the state. The Minnesota investment adviser bond must be in the form approved\u00a0by the administrator and shall be subject to the claims of all clients of such investment adviser regardless of the client’s state of residence. The rule adopted pursuant to the Minnesota securities act may require a broker-dealer or investment adviser that has custody of or discretionary authority over funds or securities of a customer to post this bond\u00a0in an amount of at least $25,000, but not to exceed $100,000. Generally a bond is\u00a0not be required of a broker-dealer registered under with the state\u00a0whose net capital exceeds, or of an investment adviser registered under this chapter whose minimum financial requirements exceed, the amounts required by rule or order promulgated by the Administrator.<\/p>\n

National surety leader<\/strong>, Surety One, Inc.<\/a> specializes in underwriting surety and fidelity bonds for the financial services sector. \u00a0For more information or application materials for a Minnesota Investment Adviser surety bond visit us at SuretyOne.com<\/a>, call (800) 373-2804, or email us at Underwriting@SuretyOne.com.<\/p>\n

#RIA #investments #investmentadviser #registeredinvestmentadviser #suretybond #suretybonds\u00a0#SuretyOne<\/p>\n

\n","protected":false},"excerpt":{"rendered":"

Minnesota statute (80A.41 Section 102) defines an\u00a0“Investment adviser” as\u00a0a “person that, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or the advisability of investing in, purchasing,… Continue Reading →<\/a><\/p>\n","protected":false},"author":1,"featured_media":2359,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":[],"categories":[139],"tags":[2071,2149,2150,814,816,2152,2151,2147,2148,2146],"yoast_head":"\nMinnesota Investment Adviser Surety Bond<\/title>\n<meta name=\"description\" content=\"Minnesota law requires RIAs that wish to do business in the state to post a Minnesota investment adviser surety bond to protect the adviser's clients.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/suretyone.com\/blog\/minnesota-investment-adviser-surety-bond\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Minnesota Investment Adviser Surety Bond\" \/>\n<meta property=\"og:description\" content=\"Minnesota law requires RIAs that wish to do business in the state to post a Minnesota investment adviser surety bond to protect the adviser's clients.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/suretyone.com\/blog\/minnesota-investment-adviser-surety-bond\/\" \/>\n<meta property=\"og:site_name\" content=\"Surety One, Inc.\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/www.facebook.com\/Surety1\/\" \/>\n<meta property=\"article:author\" content=\"https:\/\/www.facebook.com\/Surety1\" \/>\n<meta property=\"article:published_time\" content=\"2017-04-03T00:24:05+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/suretyone.com\/blog\/wp-content\/uploads\/registered_investment_adviser_surety_bond.jpg\" \/>\n\t<meta property=\"og:image:width\" content=\"1200\" \/>\n\t<meta property=\"og:image:height\" content=\"627\" \/>\n<meta name=\"twitter:card\" content=\"summary\" \/>\n<meta name=\"twitter:creator\" content=\"@SuretyOne\" \/>\n<meta name=\"twitter:site\" content=\"@SuretyOne\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"C. 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