502.701 Public joint investment trusts.
1. A joint investment trust organized pursuant to chapter 28E for the purposes of joint investment of public funds is subject to the jurisdiction and authority of the administrator, including all requirements of this chapter, except the registration provisions of sections 502.301 and 502.321I.
2. The administrator may make examinations within or without the state, of the business and records of each joint investment trust, at the times and in the scope as the administrator determines. The administrator shall have the authority to contract for outside professional services in the conduct of examinations. The examinations may be made without prior notice to the joint investment trust or the trust’s investment advisor. The administrator may copy all records the administrator feels are necessary to conduct the examination. The expense reasonably attributable to the examination shall be paid by the joint investment trusts whose business is examined. For the purpose of avoiding unnecessary duplication of examinations, the administrator may cooperate with other regulatory authorities.
92 Acts, ch 1156, §41; 2005 Acts, ch 19, §124, 126
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.