502.103 References to federal statutes.
“Securities Act of 1933”, 15 U.S.C. §77a et seq.; “Securities Exchange Act of 1934”, 15 U.S.C. §78a et seq.; “Public Utility Holding Company Act of 1935”, 15 U.S.C. §79 et seq.; “Investment Company Act of 1940”, 15 U.S.C. §80a-1 et seq.; “Investment Advisers Act of 1940”, 15 U.S.C. §80b-1 et seq.; “Employee Retirement Income Security Act of 1974”, 29 U.S.C. §1001 et seq.; “National Housing Act”, 12 U.S.C. §1701; “Commodity Exchange Act”, 7 U.S.C. §1 et seq.; “Internal Revenue Code”, 26 U.S.C. §1 et seq.; “Securities Investor Protection Act of 1970”, 15 U.S.C. §78aaa et seq.; “Securities Litigation Uniform Standards Act of 1998”, 112 Stat. 3227; “Small Business Investment Act of 1958”, 15 U.S.C. §661 et seq.; “Electronic Signatures in Global and National Commerce Act”, 15 U.S.C. §7001 et seq.; and “Dodd-Frank Wall Street Reform and Consumer Protection Act”, Pub. L. No. 111-203 mean those federal statutes and the rules and regulations adopted under those federal statutes, as in effect on January 1, 2015.
2004 Acts, ch 1161, §2, 68; 2015 Acts, ch 128, §2, 50, 51
Structure Iowa Code
Chapter 502 - UNIFORM SECURITIES ACT (BLUE SKY LAW)
Section 502.101 - Short title.
Section 502.102 - Definitions.
Section 502.103 - References to federal statutes.
Section 502.104 - References to federal agencies.
Section 502.105 - Electronic records and signatures.
Section 502.201 - Exempt securities.
Section 502.202 - Exempt transactions.
Section 502.203 - Additional exemptions and waivers.
Section 502.204 - Denial, suspension, revocation, condition, or limitation of exemptions.
Section 502.207B - Legislative review and oversight.
Section 502.301 - Securities registration requirement.
Section 502.302 - Notice filing.
Section 502.303 - Securities registration by coordination.
Section 502.304 - Securities registration by qualification.
Section 502.304A - Expedited registration by filing for small issuers.
Section 502.305 - Securities registration filings.
Section 502.306 - Denial, suspension, and revocation of securities registration.
Section 502.307 - Waiver and modification.
Section 502.321A - Special definitions.
Section 502.321B - Registration requirements — hearing.
Section 502.321C - Filing of solicitation materials.
Section 502.321D - Fraudulent, deceptive, or manipulative acts and practices prohibited.
Section 502.321E - Limitations on offers and offerors.
Section 502.321F - Administration — rules and orders.
Section 502.321H - Nonapplication of corporate takeover law.
Section 502.321I - Application of securities law.
Section 502.401 - Broker-dealer registration requirement and exemptions.
Section 502.402 - Agent registration requirement and exemptions.
Section 502.403 - Investment adviser registration requirement and exemptions.
Section 502.404 - Investment adviser representative registration requirement and exemptions.
Section 502.405 - Federal covered investment adviser notice filing requirement.
Section 502.407 - Succession and change in registration of broker-dealer or investment adviser.
Section 502.410 - Filing fees.
Section 502.411 - Postregistration requirements.
Section 502.501 - General fraud.
Section 502.501A - Prohibited transactions of broker-dealers and agents.
Section 502.502 - Prohibited conduct in providing investment advice.
Section 502.502A - Advisory misconduct.
Section 502.503 - Evidentiary burden.
Section 502.504 - Filing of sales and advertising literature.
Section 502.505 - Misleading filings.
Section 502.506A - Misstatements in publicity prohibited.
Section 502.507 - Qualified immunity.
Section 502.508 - Criminal penalties.
Section 502.509 - Civil liability.
Section 502.510 - Rescission offers.
Section 502.601 - Administration.
Section 502.602 - Investigations and subpoenas.
Section 502.603 - Civil enforcement.
Section 502.603A - Cooperation with other agencies.
Section 502.604 - Administrative enforcement.
Section 502.604A - Law enforcement authority.
Section 502.604B - Limited law enforcement authority.
Section 502.605 - Rules, forms, orders, interpretative opinions, and hearings.
Section 502.606 - Administrative files and opinions.
Section 502.607 - Public records — confidentiality.
Section 502.608 - Uniformity and cooperation with other agencies.
Section 502.609 - Judicial review of orders.
Section 502.610 - Jurisdiction.
Section 502.611 - Service of process.
Section 502.612 - Severability clause.
Section 502.701 - Public joint investment trusts.
Section 502.801 - Definitions.
Section 502.802 - Notification to administrator.
Section 502.803 - Notification to administrator — immunity.
Section 502.804 - Notification to permissible third party.
Section 502.805 - Notification to permissible third party — immunity.
Section 502.806 - Disbursements or transactions — delay.
Section 502.807 - Disbursements or transactions — delay — immunity.