State Codes and Statutes

Statutes > Iowa > Title-12 > Subtitle-4 > Chapter-502

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.
502.205 THROUGH 502.207A
502.207B
502.208 AND 502.209
502.210
502.211 THROUGH 502.218
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.
502.502A
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.
502.603A
502.604 - ADMINISTRATIVE ENFORCEMENT.
502.604A - LIMITED LAW ENFORCEMENT AUTHORITY.
502.604B
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.

State Codes and Statutes

Statutes > Iowa > Title-12 > Subtitle-4 > Chapter-502

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.
502.205 THROUGH 502.207A
502.207B
502.208 AND 502.209
502.210
502.211 THROUGH 502.218
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.
502.502A
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.
502.603A
502.604 - ADMINISTRATIVE ENFORCEMENT.
502.604A - LIMITED LAW ENFORCEMENT AUTHORITY.
502.604B
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.

State Codes and Statutes


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State Codes and Statutes

Statutes > Iowa > Title-12 > Subtitle-4 > Chapter-502

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.
502.205 THROUGH 502.207A
502.207B
502.208 AND 502.209
502.210
502.211 THROUGH 502.218
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.
502.502A
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.
502.603A
502.604 - ADMINISTRATIVE ENFORCEMENT.
502.604A - LIMITED LAW ENFORCEMENT AUTHORITY.
502.604B
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.

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