Home > LawServer Pro > Business Law > Financial Services > Securities > Iowa Code Chapter 502 - Uniform securities Act (blue sky law)

Securities

For this topic:

Go back to the topic homeTopic Home
Join the forum for this topicForum
Sign up for Email related to this topicEmail
RSS feed for this topicRSS
FeedbackFeedback

Search the Iowa Code

Iowa Code Chapter 502 - Uniform securities Act (blue sky law)

Iowa Code > Title XII > Subtitle 4 > Chapter 502 - Uniform securities Act (blue sky law)

^{Current as of: 2009}

^{Check for updates}


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

________________________________________________________________________

Bookmark

Comments (0) add comment

Securities

Iowa Code Chapter 502 - Uniform securities Act (blue sky law)

Iowa Code > Title XII > Subtitle 4 > Chapter 502 - Uniform securities Act (blue sky law)

Iowa Laws: Securities

U.S. Code Provisions: Securities

Federal Regulations: Securities