§ 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 Rescission offers
§ 502.601 Administration
§ 502.602 Investigations and subpoenas
§ 502.603 Civil enforcement
§ 502.604 Administrative enforcement
§ 502.604A 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
§ 502.801 Definitions
§ 502.802 Notification to administrator
§ 502.803 Notification to administrator — immunity.
§ 502.804 Notification to permissible third party
§ 502.805 Notification to permissible third party — immunity.
§ 502.806 Disbursements or transactions — delay.
§ 502.807 Disbursements or transactions — delay — immunity.
§ 502.808 Training requirements
§ 502.809 Records
§ 502.810 Financial exploitation — reporting.

Terms Used In Iowa Code > Chapter 502 - Uniform Securities Act (Blue Sky Law)

  • Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Annuity: A periodic (usually annual) payment of a fixed sum of money for either the life of the recipient or for a fixed number of years. A series of payments under a contract from an insurance company, a trust company, or an individual. Annuity payments are made at regular intervals over a period of more than one full year.
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Attachment: A procedure by which a person's property is seized to pay judgments levied by the court.
  • Bankruptcy: Refers to statutes and judicial proceedings involving persons or businesses that cannot pay their debts and seek the assistance of the court in getting a fresh start. Under the protection of the bankruptcy court, debtors may discharge their debts, perhaps by paying a portion of each debt. Bankruptcy judges preside over these proceedings.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Bequest: Property gifted by will.
  • clerk: means clerk of the court in which the action or proceeding is brought or is pending; and the words "clerk's office" mean the office of that clerk. See Iowa Code 4.1
  • Common law: The legal system that originated in England and is now in use in the United States. It is based on judicial decisions rather than legislative action.
  • Contract: A legal written agreement that becomes binding when signed.
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Damages: Money paid by defendants to successful plaintiffs in civil cases to compensate the plaintiffs for their injuries.
  • Defendant: In a civil suit, the person complained against; in a criminal case, the person accused of the crime.
  • Dependent: A person dependent for support upon another.
  • Devise: To gift property by will.
  • Discovery: Lawyers' examination, before trial, of facts and documents in possession of the opponents to help the lawyers prepare for trial.
  • Escrow: Money given to a third party to be held for payment until certain conditions are met.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Federal Reserve System: The central bank of the United States. The Fed, as it is commonly called, regulates the U.S. monetary and financial system. The Federal Reserve System is composed of a central governmental agency in Washington, D.C. (the Board of Governors) and twelve regional Federal Reserve Banks in major cities throughout the United States. Source: OCC
  • Felony: A crime carrying a penalty of more than a year in prison.
  • Fiduciary: A trustee, executor, or administrator.
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • following: when used by way of reference to a chapter or other part of a statute mean the next preceding or next following chapter or other part. See Iowa Code 4.1
  • Fraud: Intentional deception resulting in injury to another.
  • Gift: A voluntary transfer or conveyance of property without consideration, or for less than full and adequate consideration based on fair market value.
  • Guarantor: A party who agrees to be responsible for the payment of another party's debts should that party default. Source: OCC
  • Guardian: A person legally empowered and charged with the duty of taking care of and managing the property of another person who because of age, intellect, or health, is incapable of managing his (her) own affairs.
  • Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
  • Interest rate: The amount paid by a borrower to a lender in exchange for the use of the lender's money for a certain period of time. Interest is paid on loans or on debt instruments, such as notes or bonds, either at regular intervals or as part of a lump sum payment when the issue matures. Source: OCC
  • Internet: means the federated international system that is composed of allied electronic communication networks linked by telecommunication channels, that uses standardized protocols, and that facilitates electronic communication services, including but not limited to use of the world wide web; the transmission of electronic mail or messages; the transfer of files and data or other electronic information; and the transmission of voice, image, and video. See Iowa Code 4.1
  • Internet site: means a specific location on the internet that is determined by internet protocol numbers, by a domain name, or by both, including but not limited to domain names that use the designations ". See Iowa Code 4.1
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Lease: A contract transferring the use of property or occupancy of land, space, structures, or equipment in consideration of a payment (e.g., rent). Source: OCC
  • Liabilities: The aggregate of all debts and other legal obligations of a particular person or legal entity.
  • Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
  • Livestock: includes but is not limited to an animal classified as an ostrich, rhea, or emu. See Iowa Code 4.1
  • Misdemeanor: Usually a petty offense, a less serious crime than a felony, punishable by less than a year of confinement.
  • Mortgage: The written agreement pledging property to a creditor as collateral for a loan.
  • Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • person: means individual, corporation, limited liability company, government or governmental subdivision or agency, business trust, estate, trust, partnership or association, or any other legal entity. See Iowa Code 4.1
  • Plaintiff: The person who files the complaint in a civil lawsuit.
  • property: includes personal and real property. See Iowa Code 4.1
  • Rescission: The cancellation of budget authority previously provided by Congress. The Impoundment Control Act of 1974 specifies that the President may propose to Congress that funds be rescinded. If both Houses have not approved a rescission proposal (by passing legislation) within 45 days of continuous session, any funds being withheld must be made available for obligation.
  • Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
  • Rule: includes "regulation". See Iowa Code 4.1
  • Service of process: The service of writs or summonses to the appropriate party.
  • Settlement: Parties to a lawsuit resolve their difference without having a trial. Settlements often involve the payment of compensation by one party in satisfaction of the other party's claims.
  • state: when applied to the different parts of the United States, includes the District of Columbia and the territories, and the words "United States" may include the said district and territories. See Iowa Code 4.1
  • Statute: A law passed by a legislature.
  • Subpoena: A command to a witness to appear and give testimony.
  • Testify: Answer questions in court.
  • Testimony: Evidence presented orally by witnesses during trials or before grand juries.
  • Trustee: A person or institution holding and administering property in trust.
  • undertaking: means a promise or security in any form. See Iowa Code 4.1
  • United States: includes all the states. See Iowa Code 4.1
  • Writ: A formal written command, issued from the court, requiring the performance of a specific act.
  • year: means twelve consecutive months. See Iowa Code 4.1