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