Iowa Code - 2021
Title XII - BUSINESS ENTITIES | Back to Title Listing
Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law) | Back to Chapter Listing
Code Section | RTF | |
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§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 - Legislative review and oversight. | 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 | |
§502.308 - Reserved. | RTF | |
§502.309 - Reserved. | RTF | |
§502.310 - Reserved. | RTF | |
§502.311 - Reserved. | RTF | |
§502.312 - Reserved. | RTF | |
§502.313 - Reserved. | RTF | |
§502.314 - Reserved. | RTF | |
§502.315 - Reserved. | RTF | |
§502.316 - Reserved. | RTF | |
§502.317 - Reserved. | RTF | |
§502.318 - Reserved. | RTF | |
§502.319 - Reserved. | RTF | |
§502.320 - Reserved. | RTF | |
§502.321 - Reserved. | 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 - Advisory misconduct. | 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 - Rescission offers. | RTF | |
§502.601 - Administration. | RTF | |
§502.602 - Investigations and subpoenas. | RTF | |
§502.603 - Civil enforcement. | RTF | |
§502.603A - Cooperation with other agencies. | RTF | |
§502.604 - Administrative enforcement. | RTF | |
§502.604A - Law enforcement authority. | RTF | |
§502.604B - Limited law enforcement authority. | 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 |