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Iowa Code - 2024

Title XII - BUSINESS ENTITIES | Back to Title Listing
Chapter 502 - UNIFORM SECURITIES ACT (BLUE SKY LAW) PDF Icon | Back to Chapter Listing
Code Section PDF RTF
§502.101 - Short title. PDF RTF
§502.102 - Definitions. PDF RTF
§502.103 - References to federal statutes. PDF RTF
§502.104 - References to federal agencies. PDF RTF
§502.105 - Electronic records and signatures. PDF RTF
§502.201 - Exempt securities. PDF RTF
§502.202 - Exempt transactions. PDF RTF
§502.203 - Additional exemptions and waivers. PDF RTF
§502.204 - Denial, suspension, revocation, condition, or limitation of exemptions. PDF RTF
§502.205 PDF RTF
§502.206 PDF RTF
§502.206A PDF RTF
§502.207 PDF RTF
§502.207A PDF RTF
§502.207B - Legislative review and oversight. PDF RTF
§502.208 PDF RTF
§502.209 PDF RTF
§502.210 PDF RTF
§502.211 PDF RTF
§502.212 PDF RTF
§502.213 PDF RTF
§502.214 PDF RTF
§502.215 PDF RTF
§502.216 PDF RTF
§502.217 PDF RTF
§502.218 PDF RTF
§502.301 - Securities registration requirement. PDF RTF
§502.302 - Notice filing. PDF RTF
§502.303 - Securities registration by coordination. PDF RTF
§502.304 - Securities registration by qualification. PDF RTF
§502.304A - Expedited registration by filing for small issuers. PDF RTF
§502.305 - Securities registration filings. PDF RTF
§502.306 - Denial, suspension, and revocation of securities registration. PDF RTF
§502.307 - Waiver and modification. PDF RTF
§502.308 - Reserved. PDF RTF
§502.309 - Reserved. PDF RTF
§502.310 - Reserved. PDF RTF
§502.311 - Reserved. PDF RTF
§502.312 - Reserved. PDF RTF
§502.313 - Reserved. PDF RTF
§502.314 - Reserved. PDF RTF
§502.315 - Reserved. PDF RTF
§502.316 - Reserved. PDF RTF
§502.317 - Reserved. PDF RTF
§502.318 - Reserved. PDF RTF
§502.319 - Reserved. PDF RTF
§502.320 - Reserved. PDF RTF
§502.321 - Reserved. PDF RTF
§502.321A - Special definitions. PDF RTF
§502.321B - Registration requirements — hearing. PDF RTF
§502.321C - Filing of solicitation materials. PDF RTF
§502.321D - Fraudulent, deceptive, or manipulative acts and practices prohibited. PDF RTF
§502.321E - Limitations on offers and offerors. PDF RTF
§502.321F - Administration — rules and orders. PDF RTF
§502.321G - Fees. PDF RTF
§502.321H - Nonapplication of corporate takeover law. PDF RTF
§502.321I - Application of securities law. PDF RTF
§502.401 - Broker-dealer registration requirement and exemptions. PDF RTF
§502.402 - Agent registration requirement and exemptions. PDF RTF
§502.403 - Investment adviser registration requirement and exemptions. PDF RTF
§502.404 - Investment adviser representative registration requirement and exemptions. PDF RTF
§502.405 - Federal covered investment adviser notice filing requirement. PDF RTF
§502.406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative. PDF RTF
§502.407 - Succession and change in registration of broker-dealer or investment adviser. PDF RTF
§502.408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association. PDF RTF
§502.409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative — cessation of business — abandoned filings. PDF RTF
§502.410 - Filing fees. PDF RTF
§502.411 - Postregistration requirements. PDF RTF
§502.412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration. PDF RTF
§502.501 - General fraud. PDF RTF
§502.501A - Prohibited transactions of broker-dealers and agents. PDF RTF
§502.502 - Prohibited conduct in providing investment advice. PDF RTF
§502.502A - Advisory misconduct. PDF RTF
§502.503 - Evidentiary burden. PDF RTF
§502.504 - Filing of sales and advertising literature. PDF RTF
§502.505 - Misleading filings. PDF RTF
§502.506 - Misrepresentations concerning registration or exemption — official endorsements prohibited. PDF RTF
§502.506A - Misstatements in publicity prohibited. PDF RTF
§502.507 - Qualified immunity. PDF RTF
§502.508 - Criminal penalties. PDF RTF
§502.509 - Civil liability. PDF RTF
§502.510 - Rescission offers. PDF RTF
§502.511 - Investment advisers and investment adviser representatives — expungement of certain reported information. PDF RTF
§502.512 PDF RTF
§502.513 PDF RTF
§502.514 PDF RTF
§502.515 PDF RTF
§502.516 PDF RTF
§502.517 PDF RTF
§502.518 PDF RTF
§502.519 PDF RTF
§502.520 PDF RTF
§502.521 PDF RTF
§502.522 PDF RTF
§502.523 PDF RTF
§502.524 PDF RTF
§502.525 PDF RTF
§502.526 PDF RTF
§502.527 PDF RTF
§502.528 PDF RTF
§502.529 PDF RTF
§502.530 PDF RTF
§502.531 PDF RTF
§502.532 PDF RTF
§502.533 PDF RTF
§502.534 PDF RTF
§502.535 PDF RTF
§502.536 PDF RTF
§502.537 PDF RTF
§502.538 PDF RTF
§502.539 PDF RTF
§502.540 PDF RTF
§502.541 PDF RTF
§502.542 PDF RTF
§502.543 PDF RTF
§502.544 PDF RTF
§502.545 PDF RTF
§502.546 PDF RTF
§502.547 PDF RTF
§502.548 PDF RTF
§502.549 PDF RTF
§502.550 PDF RTF
§502.551 PDF RTF
§502.552 PDF RTF
§502.553 PDF RTF
§502.554 PDF RTF
§502.555 PDF RTF
§502.556 PDF RTF
§502.557 PDF RTF
§502.558 PDF RTF
§502.559 PDF RTF
§502.560 PDF RTF
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§502.562 PDF RTF
§502.563 PDF RTF
§502.564 PDF RTF
§502.565 PDF RTF
§502.566 PDF RTF
§502.567 PDF RTF
§502.568 PDF RTF
§502.569 PDF RTF
§502.570 PDF RTF
§502.571 PDF RTF
§502.572 PDF RTF
§502.573 PDF RTF
§502.574 PDF RTF
§502.575 PDF RTF
§502.576 PDF RTF
§502.577 PDF RTF
§502.578 PDF RTF
§502.579 PDF RTF
§502.580 PDF RTF
§502.581 PDF RTF
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§502.584 PDF RTF
§502.585 PDF RTF
§502.586 PDF RTF
§502.587 PDF RTF
§502.588 PDF RTF
§502.589 PDF RTF
§502.590 PDF RTF
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§502.593 PDF RTF
§502.594 PDF RTF
§502.595 PDF RTF
§502.596 PDF RTF
§502.597 PDF RTF
§502.598 PDF RTF
§502.599 PDF RTF
§502.600 PDF RTF
§502.601 - Administration. PDF RTF
§502.602 - Investigations and subpoenas. PDF RTF
§502.603 - Civil enforcement. PDF RTF
§502.603A - Cooperation with other agencies. PDF RTF
§502.604 - Administrative enforcement. PDF RTF
§502.604A - Law enforcement authority. PDF RTF
§502.604B - Limited law enforcement authority. PDF RTF
§502.605 - Rules, forms, orders, interpretative opinions, and hearings. PDF RTF
§502.606 - Administrative files and opinions. PDF RTF
§502.607 - Public records — confidentiality. PDF RTF
§502.608 - Uniformity and cooperation with other agencies. PDF RTF
§502.609 - Judicial review of orders. PDF RTF
§502.610 - Jurisdiction. PDF RTF
§502.611 - Service of process. PDF RTF
§502.612 - Severability clause. PDF RTF
§502.701 - Public joint investment trusts. PDF RTF
§502.702 - Reserved. PDF RTF
§502.703 - Reserved. PDF RTF
§502.704 - Reserved. PDF RTF
§502.705 - Reserved. PDF RTF
§502.706 - Reserved. PDF RTF
§502.707 - Reserved. PDF RTF
§502.708 - Reserved. PDF RTF
§502.709 - Reserved. PDF RTF
§502.710 - Reserved. PDF RTF
§502.711 - Reserved. PDF RTF
§502.712 - Reserved. PDF RTF
§502.713 - Reserved. PDF RTF
§502.714 - Reserved. PDF RTF
§502.715 - Reserved. PDF RTF
§502.716 - Reserved. PDF RTF
§502.717 - Reserved. PDF RTF
§502.718 - Reserved. PDF RTF
§502.719 - Reserved. PDF RTF
§502.720 - Reserved. PDF RTF
§502.721 - Reserved. PDF RTF
§502.722 - Reserved. PDF RTF
§502.723 - Reserved. PDF RTF
§502.724 - Reserved. PDF RTF
§502.725 - Reserved. PDF RTF
§502.726 - Reserved. PDF RTF
§502.727 - Reserved. PDF RTF
§502.728 - Reserved. PDF RTF
§502.729 - Reserved. PDF RTF
§502.730 - Reserved. PDF RTF
§502.731 - Reserved. PDF RTF
§502.732 - Reserved. PDF RTF
§502.733 - Reserved. PDF RTF
§502.734 - Reserved. PDF RTF
§502.735 - Reserved. PDF RTF
§502.736 - Reserved. PDF RTF
§502.737 - Reserved. PDF RTF
§502.738 - Reserved. PDF RTF
§502.739 - Reserved. PDF RTF
§502.740 - Reserved. PDF RTF
§502.741 - Reserved. PDF RTF
§502.742 - Reserved. PDF RTF
§502.743 - Reserved. PDF RTF
§502.744 - Reserved. PDF RTF
§502.745 - Reserved. PDF RTF
§502.746 - Reserved. PDF RTF
§502.747 - Reserved. PDF RTF
§502.748 - Reserved. PDF RTF
§502.749 - Reserved. PDF RTF
§502.750 - Reserved. PDF RTF
§502.751 - Reserved. PDF RTF
§502.752 - Reserved. PDF RTF
§502.753 - Reserved. PDF RTF
§502.754 - Reserved. PDF RTF
§502.755 - Reserved. PDF RTF
§502.756 - Reserved. PDF RTF
§502.757 - Reserved. PDF RTF
§502.758 - Reserved. PDF RTF
§502.759 - Reserved. PDF RTF
§502.760 - Reserved. PDF RTF
§502.761 - Reserved. PDF RTF
§502.762 - Reserved. PDF RTF
§502.763 - Reserved. PDF RTF
§502.764 - Reserved. PDF RTF
§502.765 - Reserved. PDF RTF
§502.766 - Reserved. PDF RTF
§502.767 - Reserved. PDF RTF
§502.768 - Reserved. PDF RTF
§502.769 - Reserved. PDF RTF
§502.770 - Reserved. PDF RTF
§502.771 - Reserved. PDF RTF
§502.772 - Reserved. PDF RTF
§502.773 - Reserved. PDF RTF
§502.774 - Reserved. PDF RTF
§502.775 - Reserved. PDF RTF
§502.776 - Reserved. PDF RTF
§502.777 - Reserved. PDF RTF
§502.778 - Reserved. PDF RTF
§502.779 - Reserved. PDF RTF
§502.780 - Reserved. PDF RTF
§502.781 - Reserved. PDF RTF
§502.782 - Reserved. PDF RTF
§502.783 - Reserved. PDF RTF
§502.784 - Reserved. PDF RTF
§502.785 - Reserved. PDF RTF
§502.786 - Reserved. PDF RTF
§502.787 - Reserved. PDF RTF
§502.788 - Reserved. PDF RTF
§502.789 - Reserved. PDF RTF
§502.790 - Reserved. PDF RTF
§502.791 - Reserved. PDF RTF
§502.792 - Reserved. PDF RTF
§502.793 - Reserved. PDF RTF
§502.794 - Reserved. PDF RTF
§502.795 - Reserved. PDF RTF
§502.796 - Reserved. PDF RTF
§502.797 - Reserved. PDF RTF
§502.798 - Reserved. PDF RTF
§502.799 - Reserved. PDF RTF
§502.800 - Reserved. PDF RTF
§502.801 - Definitions. PDF RTF
§502.802 - Notification to administrator. PDF RTF
§502.803 - Notification to administrator — immunity. PDF RTF
§502.804 - Notification to permissible third party. PDF RTF
§502.805 - Notification to permissible third party — immunity. PDF RTF
§502.806 - Disbursements or transactions — delay. PDF RTF
§502.807 - Disbursements or transactions — delay — immunity. PDF RTF
§502.808 - Training requirements. PDF RTF
§502.809 - Records. PDF RTF
§502.810 - Financial exploitation — reporting. PDF RTF