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Permanent LinkIowa Code - 2014
Title XII - BUSINESS ENTITIES | Back to Title Listing
Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law) 
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| Back to Chapter Listing| Code Section | RTF | |
|---|---|---|
| §502.101 - Short title. | RTF | |
| §502.102 - Definitions. | RTF | |
| §502.103 - References to federal statutes. | RTF | |
| §502.104 - References to federal agencies. | RTF | |
| §502.105 - Electronic records and signatures. | RTF | |
| §502.201 - Exempt securities. | RTF | |
| §502.202 - Exempt transactions. | RTF | |
| §502.203 - Additional exemptions and waivers. | RTF | |
| §502.204 - Denial, suspension, revocation, condition, or limitation of exemptions. | RTF | |
| §502.205 | RTF | |
| §502.206 | RTF | |
| §502.206A | RTF | |
| §502.207 | RTF | |
| §502.207A | RTF | |
| §502.207B | RTF | |
| §502.208 | RTF | |
| §502.209 | RTF | |
| §502.210 | RTF | |
| §502.211 | RTF | |
| §502.212 | RTF | |
| §502.213 | RTF | |
| §502.214 | RTF | |
| §502.215 | RTF | |
| §502.216 | RTF | |
| §502.217 | RTF | |
| §502.218 | RTF | |
| §502.301 - Securities registration requirement. | RTF | |
| §502.302 - Notice filing. | RTF | |
| §502.303 - Securities registration by coordination. | RTF | |
| §502.304 - Securities registration by qualification. | RTF | |
| §502.304A - Expedited registration by filing for small issuers. | RTF | |
| §502.305 - Securities registration filings. | RTF | |
| §502.306 - Denial, suspension, and revocation of securities registration. | RTF | |
| §502.307 - Waiver and modification. | RTF | |
| §502.321A - Special definitions. | RTF | |
| §502.321B - Registration requirements — hearing. | RTF | |
| §502.321C - Filing of solicitation materials. | RTF | |
| §502.321D - Fraudulent, deceptive, or manipulative acts and practices prohibited. | RTF | |
| §502.321E - Limitations on offers and offerors. | RTF | |
| §502.321F - Administration — rules and orders. | RTF | |
| §502.321G - Fees. | RTF | |
| §502.321H - Nonapplication of corporate takeover law. | RTF | |
| §502.321I - Application of securities law. | RTF | |
| §502.401 - Broker-dealer registration requirement and exemptions. | RTF | |
| §502.402 - Agent registration requirement and exemptions. | RTF | |
| §502.403 - Investment adviser registration requirement and exemptions. | RTF | |
| §502.404 - Investment adviser representative registration requirement and exemptions. | RTF | |
| §502.405 - Federal covered investment adviser notice filing requirement. | RTF | |
| §502.406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative. | RTF | |
| §502.407 - Succession and change in registration of broker-dealer or investment adviser. | RTF | |
| §502.408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association. | RTF | |
| §502.409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative — cessation of business — abandoned filings. | RTF | |
| §502.410 - Filing fees. | RTF | |
| §502.411 - Postregistration requirements. | RTF | |
| §502.412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration. | RTF | |
| §502.501 - General fraud. | RTF | |
| §502.501A - Prohibited transactions of broker-dealers and agents. | RTF | |
| §502.502 - Prohibited conduct in providing investment advice. | RTF | |
| §502.502A | RTF | |
| §502.503 - Evidentiary burden. | RTF | |
| §502.504 - Filing of sales and advertising literature. | RTF | |
| §502.505 - Misleading filings. | RTF | |
| §502.506 - Misrepresentations concerning registration or exemption — official endorsements prohibited. | RTF | |
| §502.506A - Misstatements in publicity prohibited. | RTF | |
| §502.507 - Qualified immunity. | RTF | |
| §502.508 - Criminal penalties. | RTF | |
| §502.509 - Civil liability. | RTF | |
| §502.510 - Recision offers. | RTF | |
| §502.601 - Administration. | RTF | |
| §502.602 - Investigations and subpoenas. | RTF | |
| §502.603 - Civil enforcement. | RTF | |
| §502.603A | RTF | |
| §502.604 - Administrative enforcement. | RTF | |
| §502.604A - Limited law enforcement authority. | RTF | |
| §502.604B | RTF | |
| §502.605 - Rules, forms, orders, interpretative opinions, and hearings. | RTF | |
| §502.606 - Administrative files and opinions. | RTF | |
| §502.607 - Public records — confidentiality. | RTF | |
| §502.608 - Uniformity and cooperation with other agencies. | RTF | |
| §502.609 - Judicial review of orders. | RTF | |
| §502.610 - Jurisdiction. | RTF | |
| §502.611 - Service of process. | RTF | |
| §502.612 - Severability clause. | RTF | |
| §502.701 - Public joint investment trusts. | RTF |