There is a newer version of the Iowa Code
2011 Iowa Code
TITLE XII BUSINESS ENTITIES
SUBTITLE 4 SECURITIES
CHAPTER 502 UNIFORM SECURITIES ACT (Blue Sky Law)
- 502.101 Short title.
- 502.102 Definitions.
- 502.103 References to federal statutes.
- 502.104 References to federal agencies.
- 502.105 Electronic records and signatures.
- 502.201 Exempt securities.
- 502.202 Exempt transactions.
- 502.203 Additional exemptions and waivers.
- 502.204 Denial, suspension, revocation, condition, or limitation of exemptions.
- 502.205 through 502.207A Repealed by 2004 Acts, ch 1161, § 63, 68. See § 502.302 – 502.304A, 502.503.
- 502.208 and 502.209 Repealed by 2004 Acts, ch 1161, § 63, 68. See § 502.305, 502.306.
- 502.211 through 502.218 Repealed by 2004 Acts, ch 1161, § 63, 68. See § 502.321B – 502.321I.
- 502.301 Securities registration requirement.
- 502.302 Notice filing.
- 502.303 Securities registration by coordination.
- 502.304 Securities registration by qualification.
- 502.304A Expedited registration by filing for small issuers.
- 502.305 Securities registration filings.
- 502.306 Denial, suspension, and revocation of securities registration.
- 502.307 Waiver and modification.
- 502.321A Special definitions.
- 502.321B Registration requirements — hearing.
- 502.321C Filing of solicitation materials.
- 502.321D Fraudulent, deceptive, or manipulative acts and practices prohibited.
- 502.321E Limitations on offers and offerors.
- 502.321F Administration — rules and orders.
- 502.321G Fees.
- 502.321H Nonapplication of corporate takeover law.
- 502.321I Application of securities law.
- 502.401 Broker-dealer registration requirement and exemptions.
- 502.402 Agent registration requirement and exemptions.
- 502.403 Investment adviser registration requirement and exemptions.
- 502.404 Investment adviser representative registration requirement and exemptions.
- 502.405 Federal covered investment adviser notice filing requirement.
- 502.406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
- 502.407 Succession and change in registration of broker-dealer or investment adviser.
- 502.408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
- 502.409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative — cessation of business — abandoned filings.
- 502.410 Filing fees.
- 502.411 Postregistration requirements.
- 502.412 Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
- 502.501 General fraud.
- 502.501A Prohibited transactions of broker-dealers and agents.
- 502.502 Prohibited conduct in providing investment advice.
- 502.503 Evidentiary burden.
- 502.504 Filing of sales and advertising literature.
- 502.505 Misleading filings.
- 502.506 Misrepresentations concerning registration or exemption — official endorsements prohibited.
- 502.506A Misstatements in publicity prohibited.
- 502.507 Qualified immunity.
- 502.508 Criminal penalties.
- 502.509 Civil liability.
- 502.510 Recision offers.
- 502.601 Administration.
- 502.602 Investigations and subpoenas.
- 502.603 Civil enforcement.
- 502.604 Administrative enforcement.
- 502.604A Limited law enforcement authority.
- 502.605 Rules, forms, orders, interpretative opinions, and hearings.
- 502.606 Administrative files and opinions.
- 502.607 Public records — confidentiality.
- 502.608 Uniformity and cooperation with other agencies.
- 502.609 Judicial review of orders.
- 502.610 Jurisdiction.
- 502.611 Service of process.
- 502.612 Severability clause.
- 502.701 Public joint investment trusts.
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