Iowa Code - 2023
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 | |
§502.702 - Reserved. | RTF | |
§502.703 - Reserved. | RTF | |
§502.704 - Reserved. | RTF | |
§502.705 - Reserved. | RTF | |
§502.706 - Reserved. | RTF | |
§502.707 - Reserved. | RTF | |
§502.708 - Reserved. | RTF | |
§502.709 - Reserved. | RTF | |
§502.710 - Reserved. | RTF | |
§502.711 - Reserved. | RTF | |
§502.712 - Reserved. | RTF | |
§502.713 - Reserved. | RTF | |
§502.714 - Reserved. | RTF | |
§502.715 - Reserved. | RTF | |
§502.716 - Reserved. | RTF | |
§502.717 - Reserved. | RTF | |
§502.718 - Reserved. | RTF | |
§502.719 - Reserved. | RTF | |
§502.720 - Reserved. | RTF | |
§502.721 - Reserved. | RTF | |
§502.722 - Reserved. | RTF | |
§502.723 - Reserved. | RTF | |
§502.724 - Reserved. | RTF | |
§502.725 - Reserved. | RTF | |
§502.726 - Reserved. | RTF | |
§502.727 - Reserved. | RTF | |
§502.728 - Reserved. | RTF | |
§502.729 - Reserved. | RTF | |
§502.730 - Reserved. | RTF | |
§502.731 - Reserved. | RTF | |
§502.732 - Reserved. | RTF | |
§502.733 - Reserved. | RTF | |
§502.734 - Reserved. | RTF | |
§502.735 - Reserved. | RTF | |
§502.736 - Reserved. | RTF | |
§502.737 - Reserved. | RTF | |
§502.738 - Reserved. | RTF | |
§502.739 - Reserved. | RTF | |
§502.740 - Reserved. | RTF | |
§502.741 - Reserved. | RTF | |
§502.742 - Reserved. | RTF | |
§502.743 - Reserved. | RTF | |
§502.744 - Reserved. | RTF | |
§502.745 - Reserved. | RTF | |
§502.746 - Reserved. | RTF | |
§502.747 - Reserved. | RTF | |
§502.748 - Reserved. | RTF | |
§502.749 - Reserved. | RTF | |
§502.750 - Reserved. | RTF | |
§502.751 - Reserved. | RTF | |
§502.752 - Reserved. | RTF | |
§502.753 - Reserved. | RTF | |
§502.754 - Reserved. | RTF | |
§502.755 - Reserved. | RTF | |
§502.756 - Reserved. | RTF | |
§502.757 - Reserved. | RTF | |
§502.758 - Reserved. | RTF | |
§502.759 - Reserved. | RTF | |
§502.760 - Reserved. | RTF | |
§502.761 - Reserved. | RTF | |
§502.762 - Reserved. | RTF | |
§502.763 - Reserved. | RTF | |
§502.764 - Reserved. | RTF | |
§502.765 - Reserved. | RTF | |
§502.766 - Reserved. | RTF | |
§502.767 - Reserved. | RTF | |
§502.768 - Reserved. | RTF | |
§502.769 - Reserved. | RTF | |
§502.770 - Reserved. | RTF | |
§502.771 - Reserved. | RTF | |
§502.772 - Reserved. | RTF | |
§502.773 - Reserved. | RTF | |
§502.774 - Reserved. | RTF | |
§502.775 - Reserved. | RTF | |
§502.776 - Reserved. | RTF | |
§502.777 - Reserved. | RTF | |
§502.778 - Reserved. | RTF | |
§502.779 - Reserved. | RTF | |
§502.780 - Reserved. | RTF | |
§502.781 - Reserved. | RTF | |
§502.782 - Reserved. | RTF | |
§502.783 - Reserved. | RTF | |
§502.784 - Reserved. | RTF | |
§502.785 - Reserved. | RTF | |
§502.786 - Reserved. | RTF | |
§502.787 - Reserved. | RTF | |
§502.788 - Reserved. | RTF | |
§502.789 - Reserved. | RTF | |
§502.790 - Reserved. | RTF | |
§502.791 - Reserved. | RTF | |
§502.792 - Reserved. | RTF | |
§502.793 - Reserved. | RTF | |
§502.794 - Reserved. | RTF | |
§502.795 - Reserved. | RTF | |
§502.796 - Reserved. | RTF | |
§502.797 - Reserved. | RTF | |
§502.798 - Reserved. | RTF | |
§502.799 - Reserved. | RTF | |
§502.800 - Reserved. | RTF | |
§502.801 - Definitions. | RTF | |
§502.802 - Notification to administrator. | RTF | |
§502.803 - Notification to administrator — immunity. | RTF | |
§502.804 - Notification to permissible third party. | RTF | |
§502.805 - Notification to permissible third party — immunity. | RTF | |
§502.806 - Disbursements or transactions — delay. | RTF | |
§502.807 - Disbursements or transactions — delay — immunity. | RTF | |
§502.808 - Training requirements. | RTF | |
§502.809 - Records. | RTF | |
§502.810 - Financial exploitation — reporting. | RTF |