Iowa Chapter 502 — Uniform Securities Act
79 sections hosted, reproduced from the official public-domain source.
- Iowa Code § 502.101— Short title
- Iowa Code § 502.102— Definitions
- Iowa Code § 502.103— References to federal statutes
- Iowa Code § 502.104— References to federal agencies
- Iowa Code § 502.105— Electronic records and signatures
- Iowa Code § 502.201— Exempt securities
- Iowa Code § 502.202— Exempt transactions
- Iowa Code § 502.203— Additional exemptions and waivers
- Iowa Code § 502.204— Denial, suspension, revocation, condition, or limitation of exemptions
- Iowa Code § 502.207B— Legislative review and oversight. Repealed by
- Iowa Code § 502.301— Securities registration requirement
- Iowa Code § 502.302— Notice filing
- Iowa Code § 502.303— Securities registration by coordination
- Iowa Code § 502.304— Securities registration by qualification
- Iowa Code § 502.304A— Expedited registration by filing for small issuers
- Iowa Code § 502.305— Securities registration filings
- Iowa Code § 502.306— Denial, suspension, and revocation of securities registration
- Iowa Code § 502.307— Waiver and modification
- Iowa Code § 502.321A— Special definitions
- Iowa Code § 502.321B— Registration requirements — hearing
- Iowa Code § 502.321C— Filing of solicitation materials
- Iowa Code § 502.321D— Fraudulent, deceptive, or manipulative acts and practices prohibited
- Iowa Code § 502.321E— Limitations on offers and offerors
- Iowa Code § 502.321F— Administration — rules and orders
- Iowa Code § 502.321G— Fees
- Iowa Code § 502.321H— Nonapplication of corporate takeover law
- Iowa Code § 502.321I— Application of securities law
- Iowa Code § 502.401— Broker-dealer registration requirement and exemptions
- Iowa Code § 502.402— Agent registration requirement and exemptions
- Iowa Code § 502.403— Investment adviser registration requirement and exemptions
- Iowa Code § 502.404— Investment adviser representative registration requirement and exemptions
- Iowa Code § 502.405— Federal covered investment adviser notice filing requirement
- Iowa Code § 502.406— Registration by broker-dealer, agent, investment adviser, and investment adviser representative
- Iowa Code § 502.407— Succession and change in registration of broker-dealer or investment adviser
- Iowa Code § 502.408— Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- Iowa Code § 502.409— Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative — cessation of business — abandoned filings
- Iowa Code § 502.410— Filing fees
- Iowa Code § 502.411— Postregistration requirements
- Iowa Code § 502.412— Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration
- Iowa Code § 502.501— General fraud
- Iowa Code § 502.501A— Prohibited transactions of broker-dealers and agents
- Iowa Code § 502.502— Prohibited conduct in providing investment advice
- Iowa Code § 502.502A— Advisory misconduct. Repealed by
- Iowa Code § 502.503— Evidentiary burden
- Iowa Code § 502.504— Filing of sales and advertising literature
- Iowa Code § 502.505— Misleading filings
- Iowa Code § 502.506— Misrepresentations concerning registration or exemption — official endorsements prohibited
- Iowa Code § 502.506A— Misstatements in publicity prohibited
- Iowa Code § 502.507— Qualified immunity
- Iowa Code § 502.508— Criminal penalties
- Iowa Code § 502.509— Civil liability
- Iowa Code § 502.510— Rescission offers
- Iowa Code § 502.511— Investment advisers and investment adviser representatives — expungement of certain reported information
- Iowa Code § 502.601— Administration
- Iowa Code § 502.602— Investigations and subpoenas
- Iowa Code § 502.603— Civil enforcement
- Iowa Code § 502.603A— Cooperation with other agencies. Repealed by
- Iowa Code § 502.604— Administrative enforcement
- Iowa Code § 502.604A— Law enforcement authority
- Iowa Code § 502.604B— Limited law enforcement authority. Repealed by
- Iowa Code § 502.605— Rules, forms, orders, interpretative opinions, and hearings
- Iowa Code § 502.606— Administrative files and opinions
- Iowa Code § 502.607— Public records — confidentiality
- Iowa Code § 502.608— Uniformity and cooperation with other agencies
- Iowa Code § 502.609— Judicial review of orders
- Iowa Code § 502.610— Jurisdiction
- Iowa Code § 502.611— Service of process
- Iowa Code § 502.612— Severability clause
- Iowa Code § 502.701— Public joint investment trusts
- Iowa Code § 502.801— Definitions
- Iowa Code § 502.802— Notification to administrator
- Iowa Code § 502.803— Notification to administrator — immunity
- Iowa Code § 502.804— Notification to permissible third party
- Iowa Code § 502.805— Notification to permissible third party — immunity
- Iowa Code § 502.806— Disbursements or transactions — delay
- Iowa Code § 502.807— Disbursements or transactions — delay — immunity
- Iowa Code § 502.808— Training requirements
- Iowa Code § 502.809— Records
- Iowa Code § 502.810— Financial exploitation — reporting