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Iowa Administrative Code - 01/31/2018

Insurance Division [191] | Agency Listing
Chapter 50 REGULATION OF SECURITIES OFFERINGS AND THOSE WHO ENGAGE IN THE SECURITIES BUSINESS | Chapter Listing (Official Version - PDF format)
Rules PDF RTF Waivers
191.50.1 Definitions.
191.50.2 Cost of audit or inspection.
191.50.3 Interpretative opinions or no-action letters.
191.50.4 Reserved
191.50.5 Reserved
191.50.6 Reserved
191.50.7 Reserved
191.50.8 Reserved
191.50.9 Reserved
191.50.10 Broker-dealer registrations, renewals, amendments, succession, and withdrawals.
191.50.11 Principals.
191.50.12 Agent and issuer registrations, renewals and amendments.
191.50.13 Agent continuing education requirements.
191.50.14 Broker-dealer record-keeping requirements.
191.50.15 Broker-dealer minimum financial requirements and financial reporting requirements.
191.50.16 Dishonest or unethical practices in the securities business.
191.50.17 Rules of conduct.
191.50.18 Limited registration of Canadian broker-dealers and agents.
191.50.19 Brokerage services by national and state banks.
191.50.20 Broker-dealers having contracts with national and state banks.
191.50.21 Brokerage services by credit unions, savings banks, and savings and loan institutions.
191.50.22 Broker-dealers having contracts with credit unions, savings banks, and savings and loan institutions.
191.50.23 Reserved
191.50.24 Reserved
191.50.25 Reserved
191.50.26 Reserved
191.50.27 Reserved
191.50.28 Reserved
191.50.29 Reserved
191.50.30 Electronic filing with designated entity.
191.50.31 Investment adviser applications and renewals.
191.50.32 Application for investment adviser representative registration.
191.50.33 Examination requirements.
191.50.34 Notice filing requirements for federal covered investment advisers.
191.50.35 Withdrawal of investment adviser registration.
191.50.36 Investment adviser brochure.
191.50.37 Cash solicitation.
191.50.38 Prohibited conduct in providing investment advice.
191.50.39 Custody of client funds or securities by investment advisers.
191.50.40 Minimum financial requirements for investment advisers.
191.50.41 Bonding requirements for investment advisers.
191.50.42 Record-keeping requirements for investment advisers.
191.50.43 Financial reporting requirements for investment advisers.
191.50.44 Solely incidental services by certain professionals.
191.50.45 Registration exemption for investment advisers to private funds.
191.50.46 Contents of investment advisory contract.
191.50.47 Business continuity and succession planning for investment advisers.
191.50.48 Reserved
191.50.49 Reserved
191.50.50 Internet advertising by broker-dealers, investment advisers, broker-dealer agents, investment adviser representatives, and federal covered investment advisers.
191.50.51 Consent to service.
191.50.52 Denial, suspension or revocation of agent or investment adviser representative registration for failure to pay child support.
191.50.53 Denial, suspension or revocation of agent or investment adviser representative registration for failure to pay debts owed to or collected by the college student aid commission.
191.50.54 Denial, suspension or revocation of agent or investment adviser representative registration for failure to pay state debt.
191.50.55 Use of senior-specific certifications and professional designations.
191.50.56 Reserved
191.50.57 Reserved
191.50.58 Reserved
191.50.59 Reserved
191.50.60 Notice filings for investment company securities offerings.
191.50.61 Registration of small corporate offerings.
191.50.62 Streamlined registration for certain equity securities.
191.50.63 Registration of multijurisdictional offerings.
191.50.64 Form of financial statements.
191.50.65 Reports contingent to registration by qualification.
191.50.66 NASAA guidelines and statements of policy.
191.50.67 Amendments to registration by qualification.
191.50.68 Delivery of prospectus.
191.50.69 Advertisements.
191.50.70 Fee for securities registration filings under Iowa Code section .
191.50.71 Reserved
191.50.72 Reserved
191.50.73 Reserved
191.50.74 Reserved
191.50.75 Reserved
191.50.76 Reserved
191.50.77 Reserved
191.50.78 Reserved
191.50.79 Reserved
191.50.80 Uniform limited offering exemption.
191.50.81 Notice filings for Rule 506 offerings.
191.50.82 Notice filings for agricultural cooperative associations.
191.50.83 Unsolicited order exemption.
191.50.84 Solicitation of interest exemption.
191.50.85 Internet offers exemption.
191.50.86 Denial, suspension, revocation, condition, or limitation of limited offering transaction exemption.
191.50.87 Nonprofit securities exemption.
191.50.88 Transactions with specified investors.
191.50.89 Designated securities manuals.
191.50.90 Intrastate crowdfunding exemption.
191.50.91 Notice filing requirement for federal crowdfunding offerings.
191.50.92 Notice filing requirement for Regulation A – Tier 2 offerings.
191.50.93 Reserved
191.50.94 Reserved
191.50.95 Reserved
191.50.96 Reserved
191.50.97 Reserved
191.50.98 Reserved
191.50.99 Reserved
191.50.100 Fraudulent practices.
191.50.101 Rescission offers.
191.50.102 Fraudulent, deceptive or manipulative act, practice, or course of business in providing investment advice.
191.50.103 Investment advisory contracts.
191.50.104 Reserved
191.50.105 Reserved
191.50.106 Reserved
191.50.107 Reserved
191.50.108 Reserved
191.50.109 Reserved
191.50.110 Application by viatical settlement investment contract issuers and registration of agents to sell viatical settlement investment contracts.
191.50.111 Risk disclosure.
191.50.112 Advertising of viatical settlement investment contracts.
191.50.113 Duty to disclose.