Iowa Code
Title XII - BUSINESS ENTITIES
Chapter 502 - UNIFORM SECURITIES ACT (BLUE SKY LAW)

Section 502.204 - Denial, suspension, revocation, condition, or limitation of exemptions. - 502.204 Denial, suspension, revocation, condition, or limitation of exemptions. 1....

Section 502.205 - 502.205 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.206 - 502.206 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.206A - 502.206A Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.207 - 502.207 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.207A - 502.207A Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.207B - Legislative review and oversight. - 502.207B Legislative review and oversight. Repealed by 2001 Acts, ch...

Section 502.208 - 502.208 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.209 - 502.209 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.211 - 502.211 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.212 - 502.212 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.213 - 502.213 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.214 - 502.214 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.215 - 502.215 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.216 - 502.216 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.217 - 502.217 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.218 - 502.218 Repealed by 2004 Acts, ch 1161, §63, 68 ....

Section 502.301 - Securities registration requirement. - 502.301 Securities registration requirement. It is unlawful for a person...

Section 502.302 - Notice filing. - 502.302 Notice filing. 1. Required filing of records. With respect...

Section 502.303 - Securities registration by coordination. - 502.303 Securities registration by coordination. 1. Registration permitted. a. A...

Section 502.304 - Securities registration by qualification. - 502.304 Securities registration by qualification. 1. Registration permitted. A security...

Section 502.304A - Expedited registration by filing for small issuers. - 502.304A Expedited registration by filing for small issuers. 1. Registration...

Section 502.305 - Securities registration filings. - 502.305 Securities registration filings. 1. Who may file. A registration...

Section 502.306 - Denial, suspension, and revocation of securities registration. - 502.306 Denial, suspension, and revocation of securities registration. 1. Stop...

Section 502.307 - Waiver and modification. - 502.307 Waiver and modification. The administrator may waive or modify,...

Section 502.308 - Reserved. - 502.308 Reserved. Reserved.

Section 502.309 - Reserved. - 502.309 Reserved. Reserved.

Section 502.310 - Reserved. - 502.310 Reserved. Reserved.

Section 502.311 - Reserved. - 502.311 Reserved. Reserved.

Section 502.312 - Reserved. - 502.312 Reserved. Reserved.

Section 502.313 - Reserved. - 502.313 Reserved. Reserved.

Section 502.314 - Reserved. - 502.314 Reserved. Reserved.

Section 502.315 - Reserved. - 502.315 Reserved. Reserved.

Section 502.316 - Reserved. - 502.316 Reserved. Reserved.

Section 502.317 - Reserved. - 502.317 Reserved. Reserved.

Section 502.318 - Reserved. - 502.318 Reserved. Reserved.

Section 502.319 - Reserved. - 502.319 Reserved. Reserved.

Section 502.320 - Reserved. - 502.320 Reserved. Reserved.

Section 502.321 - Reserved. - 502.321 Reserved. Reserved.

Section 502.321A - Special definitions. - 502.321A Special definitions. For the purposes of this article, unless...

Section 502.321B - Registration requirements — hearing. - 502.321B Registration requirements — hearing. 1. Takeover filing required. It...

Section 502.321C - Filing of solicitation materials. - 502.321C Filing of solicitation materials. Copies of all advertisements, circulars,...

Section 502.321D - Fraudulent, deceptive, or manipulative acts and practices prohibited. - 502.321D Fraudulent, deceptive, or manipulative acts and practices prohibited. An...

Section 502.321E - Limitations on offers and offerors. - 502.321E Limitations on offers and offerors. 1. Same terms required....

Section 502.321F - Administration — rules and orders. - 502.321F Administration — rules and orders. 1. Exemption authority. The...

Section 502.321G - Fees. - 502.321G Fees. The administrator shall charge a nonrefundable filing fee...

Section 502.321H - Nonapplication of corporate takeover law. - 502.321H Nonapplication of corporate takeover law. If the target company...

Section 502.321I - Application of securities law. - 502.321I Application of securities law. All of the provisions of...

Section 502.401 - Broker-dealer registration requirement and exemptions. - 502.401 Broker-dealer registration requirement and exemptions. 1. Registration requirement. It...

Section 502.402 - Agent registration requirement and exemptions. - 502.402 Agent registration requirement and exemptions. 1. Registration requirement. It...

Section 502.403 - Investment adviser registration requirement and exemptions. - 502.403 Investment adviser registration requirement and exemptions. 1. Registration requirement....

Section 502.404 - Investment adviser representative registration requirement and exemptions. - 502.404 Investment adviser representative registration requirement and exemptions. 1. Registration...

Section 502.405 - Federal covered investment adviser notice filing requirement. - 502.405 Federal covered investment adviser notice filing requirement. 1. Notice...

Section 502.406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative. - 502.406 Registration by broker-dealer, agent, investment adviser, and investment adviser...

Section 502.407 - Succession and change in registration of broker-dealer or investment adviser. - 502.407 Succession and change in registration of broker-dealer or investment...

Section 502.408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association. - 502.408 Termination of employment or association of agent and investment...

Section 502.409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative — cessation of business — abandoned filings. - 502.409 Withdrawal of registration of broker-dealer, agent, investment adviser, and...

Section 502.410 - Filing fees. - 502.410 Filing fees. 1. Broker-dealers. A person shall pay a...

Section 502.411 - Postregistration requirements. - 502.411 Postregistration requirements. 1. Financial requirements. Subject to section 15(h)...

Section 502.412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration. - 502.412 Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of...

Section 502.501 - General fraud. - 502.501 General fraud. It is unlawful for a person, in...

Section 502.501A - Prohibited transactions of broker-dealers and agents. - 502.501A Prohibited transactions of broker-dealers and agents. A broker-dealer or...

Section 502.502 - Prohibited conduct in providing investment advice. - 502.502 Prohibited conduct in providing investment advice. 1. Fraud in...

Section 502.502A - Advisory misconduct. - 502.502A Advisory misconduct. Repealed by 2004 Acts, ch 1161, §63,...

Section 502.503 - Evidentiary burden. - 502.503 Evidentiary burden. 1. Civil. In a civil action or...

Section 502.504 - Filing of sales and advertising literature. - 502.504 Filing of sales and advertising literature. 1. Filing requirement....

Section 502.505 - Misleading filings. - 502.505 Misleading filings. It is unlawful for a person to...

Section 502.506 - Misrepresentations concerning registration or exemption — official endorsements prohibited. - 502.506 Misrepresentations concerning registration or exemption — official endorsements prohibited....

Section 502.506A - Misstatements in publicity prohibited. - 502.506A Misstatements in publicity prohibited. It is unlawful for any...

Section 502.507 - Qualified immunity. - 502.507 Qualified immunity. A broker-dealer, agent, investment adviser, federal covered...

Section 502.508 - Criminal penalties. - 502.508 Criminal penalties. 1. Criminal penalties. a. Except as provided...

Section 502.509 - Civil liability. - 502.509 Civil liability. 1. Securities Litigation Uniform Standards Act. Enforcement...

Section 502.510 - Rescission offers. - 502.510 Rescission offers. A purchaser, seller, or recipient of investment...

Section 502.601 - Administration. - 502.601 Administration. 1. Administration. This chapter shall be administered by...

Section 502.602 - Investigations and subpoenas. - 502.602 Investigations and subpoenas. 1. Authority to investigate. The administrator...

Section 502.603 - Civil enforcement. - 502.603 Civil enforcement. 1. Civil action instituted by administrator. If...

Section 502.603A - Cooperation with other agencies. - 502.603A Cooperation with other agencies. Repealed by 2004 Acts, ch...

Section 502.604 - Administrative enforcement. - 502.604 Administrative enforcement. 1. Issuance of an order or notice....

Section 502.604A - Law enforcement authority. - 502.604A Law enforcement authority. The administrator or the administrator’s designee,...

Section 502.604B - Limited law enforcement authority. - 502.604B Limited law enforcement authority. Repealed by 2004 Acts, ch...

Section 502.605 - Rules, forms, orders, interpretative opinions, and hearings. - 502.605 Rules, forms, orders, interpretative opinions, and hearings. 1. Issuance...

Section 502.606 - Administrative files and opinions. - 502.606 Administrative files and opinions. 1. Public register of filings....

Section 502.607 - Public records — confidentiality. - 502.607 Public records — confidentiality. 1. Presumption of public records....

Section 502.608 - Uniformity and cooperation with other agencies. - 502.608 Uniformity and cooperation with other agencies. 1. Objective of...

Section 502.609 - Judicial review of orders. - 502.609 Judicial review of orders. A final order issued by...

Section 502.610 - Jurisdiction. - 502.610 Jurisdiction. 1. Sales and offers to sell. Sections 502.301,...

Section 502.611 - Service of process. - 502.611 Service of process. 1. Signed consent to service of...

Section 502.612 - Severability clause. - 502.612 Severability clause. If any provision of this chapter or...

Section 502.701 - Public joint investment trusts. - 502.701 Public joint investment trusts. 1. A joint investment trust...

Section 502.702 - Reserved. - 502.702 Reserved. Reserved.

Section 502.703 - Reserved. - 502.703 Reserved. Reserved.

Section 502.704 - Reserved. - 502.704 Reserved. Reserved.

Section 502.705 - Reserved. - 502.705 Reserved. Reserved.

Section 502.706 - Reserved. - 502.706 Reserved. Reserved.

Section 502.707 - Reserved. - 502.707 Reserved. Reserved.

Section 502.708 - Reserved. - 502.708 Reserved. Reserved.

Section 502.709 - Reserved. - 502.709 Reserved. Reserved.

Section 502.710 - Reserved. - 502.710 Reserved. Reserved.

Section 502.711 - Reserved. - 502.711 Reserved. Reserved.

Section 502.712 - Reserved. - 502.712 Reserved. Reserved.

Section 502.713 - Reserved. - 502.713 Reserved. Reserved.

Section 502.714 - Reserved. - 502.714 Reserved. Reserved.

Section 502.715 - Reserved. - 502.715 Reserved. Reserved.

Section 502.716 - Reserved. - 502.716 Reserved. Reserved.

Section 502.717 - Reserved. - 502.717 Reserved. Reserved.

Section 502.718 - Reserved. - 502.718 Reserved. Reserved.

Section 502.719 - Reserved. - 502.719 Reserved. Reserved.

Section 502.720 - Reserved. - 502.720 Reserved. Reserved.

Section 502.721 - Reserved. - 502.721 Reserved. Reserved.

Section 502.722 - Reserved. - 502.722 Reserved. Reserved.

Section 502.723 - Reserved. - 502.723 Reserved. Reserved.

Section 502.724 - Reserved. - 502.724 Reserved. Reserved.

Section 502.725 - Reserved. - 502.725 Reserved. Reserved.

Section 502.726 - Reserved. - 502.726 Reserved. Reserved.

Section 502.727 - Reserved. - 502.727 Reserved. Reserved.

Section 502.728 - Reserved. - 502.728 Reserved. Reserved.

Section 502.729 - Reserved. - 502.729 Reserved. Reserved.

Section 502.730 - Reserved. - 502.730 Reserved. Reserved.

Section 502.731 - Reserved. - 502.731 Reserved. Reserved.

Section 502.732 - Reserved. - 502.732 Reserved. Reserved.

Section 502.733 - Reserved. - 502.733 Reserved. Reserved.

Section 502.734 - Reserved. - 502.734 Reserved. Reserved.

Section 502.735 - Reserved. - 502.735 Reserved. Reserved.

Section 502.736 - Reserved. - 502.736 Reserved. Reserved.

Section 502.737 - Reserved. - 502.737 Reserved. Reserved.

Section 502.738 - Reserved. - 502.738 Reserved. Reserved.

Section 502.739 - Reserved. - 502.739 Reserved. Reserved.

Section 502.740 - Reserved. - 502.740 Reserved. Reserved.

Section 502.741 - Reserved. - 502.741 Reserved. Reserved.

Section 502.742 - Reserved. - 502.742 Reserved. Reserved.

Section 502.743 - Reserved. - 502.743 Reserved. Reserved.

Section 502.744 - Reserved. - 502.744 Reserved. Reserved.

Section 502.745 - Reserved. - 502.745 Reserved. Reserved.

Section 502.746 - Reserved. - 502.746 Reserved. Reserved.

Section 502.747 - Reserved. - 502.747 Reserved. Reserved.

Section 502.748 - Reserved. - 502.748 Reserved. Reserved.

Section 502.749 - Reserved. - 502.749 Reserved. Reserved.

Section 502.750 - Reserved. - 502.750 Reserved. Reserved.

Section 502.751 - Reserved. - 502.751 Reserved. Reserved.

Section 502.752 - Reserved. - 502.752 Reserved. Reserved.

Section 502.753 - Reserved. - 502.753 Reserved. Reserved.

Section 502.754 - Reserved. - 502.754 Reserved. Reserved.

Section 502.755 - Reserved. - 502.755 Reserved. Reserved.

Section 502.756 - Reserved. - 502.756 Reserved. Reserved.

Section 502.757 - Reserved. - 502.757 Reserved. Reserved.

Section 502.758 - Reserved. - 502.758 Reserved. Reserved.

Section 502.759 - Reserved. - 502.759 Reserved. Reserved.

Section 502.760 - Reserved. - 502.760 Reserved. Reserved.

Section 502.761 - Reserved. - 502.761 Reserved. Reserved.

Section 502.762 - Reserved. - 502.762 Reserved. Reserved.

Section 502.763 - Reserved. - 502.763 Reserved. Reserved.

Section 502.764 - Reserved. - 502.764 Reserved. Reserved.

Section 502.765 - Reserved. - 502.765 Reserved. Reserved.

Section 502.766 - Reserved. - 502.766 Reserved. Reserved.

Section 502.767 - Reserved. - 502.767 Reserved. Reserved.

Section 502.768 - Reserved. - 502.768 Reserved. Reserved.

Section 502.769 - Reserved. - 502.769 Reserved. Reserved.

Section 502.770 - Reserved. - 502.770 Reserved. Reserved.

Section 502.771 - Reserved. - 502.771 Reserved. Reserved.

Section 502.772 - Reserved. - 502.772 Reserved. Reserved.

Section 502.773 - Reserved. - 502.773 Reserved. Reserved.

Section 502.774 - Reserved. - 502.774 Reserved. Reserved.

Section 502.775 - Reserved. - 502.775 Reserved. Reserved.

Section 502.776 - Reserved. - 502.776 Reserved. Reserved.

Section 502.777 - Reserved. - 502.777 Reserved. Reserved.

Section 502.778 - Reserved. - 502.778 Reserved. Reserved.

Section 502.779 - Reserved. - 502.779 Reserved. Reserved.

Section 502.780 - Reserved. - 502.780 Reserved. Reserved.

Section 502.781 - Reserved. - 502.781 Reserved. Reserved.

Section 502.782 - Reserved. - 502.782 Reserved. Reserved.

Section 502.783 - Reserved. - 502.783 Reserved. Reserved.

Section 502.784 - Reserved. - 502.784 Reserved. Reserved.

Section 502.785 - Reserved. - 502.785 Reserved. Reserved.

Section 502.786 - Reserved. - 502.786 Reserved. Reserved.

Section 502.787 - Reserved. - 502.787 Reserved. Reserved.

Section 502.788 - Reserved. - 502.788 Reserved. Reserved.

Section 502.789 - Reserved. - 502.789 Reserved. Reserved.

Section 502.790 - Reserved. - 502.790 Reserved. Reserved.

Section 502.791 - Reserved. - 502.791 Reserved. Reserved.

Section 502.792 - Reserved. - 502.792 Reserved. Reserved.

Section 502.793 - Reserved. - 502.793 Reserved. Reserved.

Section 502.794 - Reserved. - 502.794 Reserved. Reserved.

Section 502.795 - Reserved. - 502.795 Reserved. Reserved.

Section 502.796 - Reserved. - 502.796 Reserved. Reserved.

Section 502.797 - Reserved. - 502.797 Reserved. Reserved.

Section 502.798 - Reserved. - 502.798 Reserved. Reserved.

Section 502.799 - Reserved. - 502.799 Reserved. Reserved.

Section 502.800 - Reserved. - 502.800 Reserved. Reserved.

Section 502.801 - Definitions. - 502.801 Definitions. For purposes of this article, unless the context...

Section 502.802 - Notification to administrator. - 502.802 Notification to administrator. If a broker-dealer, investment adviser, or...

Section 502.803 - Notification to administrator — immunity. - 502.803 Notification to administrator — immunity. A broker-dealer, investment adviser,...

Section 502.804 - Notification to permissible third party. - 502.804 Notification to permissible third party. 1. If a broker-dealer,...

Section 502.805 - Notification to permissible third party — immunity. - 502.805 Notification to permissible third party — immunity. A broker-dealer,...

Section 502.806 - Disbursements or transactions — delay. - 502.806 Disbursements or transactions — delay. 1. If a broker-dealer,...

Section 502.807 - Disbursements or transactions — delay — immunity. - 502.807 Disbursements or transactions — delay — immunity. A broker-dealer...

Section 502.808 - Training requirements. - 502.808 Training requirements. 1. A broker-dealer or investment adviser shall...

Section 502.809 - Records. - 502.809 Records. A broker-dealer or investment adviser shall provide access...

Section 502.810 - Financial exploitation — reporting. - 502.810 Financial exploitation — reporting. Annually, on or before January...

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Iowa Code Title XII - BUSINESS ENTITIES Chapter 502 - UNIFORM SECURITIES ACT (BLUE SKY LAW)

Iowa Code
Title XII - BUSINESS ENTITIES
Chapter 502 - UNIFORM SECURITIES ACT (BLUE SKY LAW)