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2019 Iowa Code
Title XII - BUSINESS ENTITIES
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 502.205
- Section 502.206
- Section 502.206A
- Section 502.207
- Section 502.207A
- Section 502.207B - Legislative review and oversight.
- Section 502.208
- Section 502.209
- Section 502.210 - Limits on securities registered by qualification.
- Section 502.211
- Section 502.212
- Section 502.213
- Section 502.214
- Section 502.215
- Section 502.216
- Section 502.217
- Section 502.218
- 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 502.321G - Fees.
- 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 502.406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
- Section 502.407 - Succession and change in registration of broker-dealer or investment adviser.
- Section 502.408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
- Section 502.409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative — cessation of business — abandoned filings.
- Section 502.410 - Filing fees.
- Section 502.411 - Postregistration requirements.
- Section 502.412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
- 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 502.506 - Misrepresentations concerning registration or exemption — official endorsements prohibited.
- 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 - Limited 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.
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