UNIFORM SECURITIES ACT (Blue Sky Law)

  1. Law
  2. Iowa Code
  3. BUSINESS ENTITIES
  4. UNIFORM SECURITIES ACT (Blue Sky Law)

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Section
502.101

Short title.

Section
502.102

Definitions.

Section
502.103

References to federal statutes.

Section
502.104

References to federal agencies.

Section
502.105

Electronic records and signatures.

Section
502.201

Exempt securities.

Section
502.202

Exempt transactions.

Section
502.203

Additional exemptions and waivers.

Section
502.204

Denial, suspension, revocation, condition, or limitation of exemptions.

Section
502.205

Section 502.205

Section
502.206

Section 502.206

Section
502.206A

Section 502.206A

Section
502.207

Section 502.207

Section
502.207A

Section 502.207A

Section
502.207B

Legislative review and oversight.

Section
502.208

Section 502.208

Section
502.209

Section 502.209

Section
502.210

Section 502.210

Section
502.211

Section 502.211

Section
502.212

Section 502.212

Section
502.213

Section 502.213

Section
502.214

Section 502.214

Section
502.215

Section 502.215

Section
502.216

Section 502.216

Section
502.217

Section 502.217

Section
502.218

Section 502.218

Section
502.301

Securities registration requirement.

Section
502.302

Notice filing.

Section
502.303

Securities registration by coordination.

Section
502.304

Securities registration by qualification.

Section
502.304A

Expedited registration by filing for small issuers.

Section
502.305

Securities registration filings.

Section
502.306

Denial, suspension, and revocation of securities registration.

Section
502.307

Waiver and modification.

Section
502.308

Reserved.

Section
502.309

Reserved.

Section
502.310

Reserved.

Section
502.311

Reserved.

Section
502.312

Reserved.

Section
502.313

Reserved.

Section
502.314

Reserved.

Section
502.315

Reserved.

Section
502.316

Reserved.

Section
502.317

Reserved.

Section
502.318

Reserved.

Section
502.319

Reserved.

Section
502.320

Reserved.

Section
502.321

Reserved.

Section
502.321A

Special definitions.

Section
502.321B

Registration requirements — hearing.

Section
502.321C

Filing of solicitation materials.

Section
502.321D

Fraudulent, deceptive, or manipulative acts and practices prohibited.

Section
502.321E

Limitations on offers and offerors.

Section
502.321F

Administration — rules and orders.

Section
502.321G

Fees.

Section
502.321H

Nonapplication of corporate takeover law.

Section
502.321I

Application of securities law.

Section
502.401

Broker-dealer registration requirement and exemptions.

Section
502.402

Agent registration requirement and exemptions.

Section
502.403

Investment adviser registration requirement and exemptions.

Section
502.404

Investment adviser representative registration requirement and exemptions.

Section
502.405

Federal covered investment adviser notice filing requirement.

Section
502.406

Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

Section
502.407

Succession and change in registration of broker-dealer or investment adviser.

Section
502.408

Termination of employment or association of agent and investment adviser representative and transfer of employment or association.

Section
502.409

Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative — cessation of business — abandoned filings.

Section
502.410

Filing fees.

Section
502.411

Postregistration requirements.

Section
502.412

Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.

Section
502.501

General fraud.

Section
502.501A

Prohibited transactions of broker-dealers and agents.

Section
502.502

Prohibited conduct in providing investment advice.

Section
502.502A

Advisory misconduct.

Section
502.503

Evidentiary burden.

Section
502.504

Filing of sales and advertising literature.

Section
502.505

Misleading filings.

Section
502.506

Misrepresentations concerning registration or exemption — official endorsements prohibited.

Section
502.506A

Misstatements in publicity prohibited.

Section
502.507

Qualified immunity.

Section
502.508

Criminal penalties.

Section
502.509

Civil liability.

Section
502.510

Rescission offers.

Section
502.601

Administration.

Section
502.602

Investigations and subpoenas.

Section
502.603

Civil enforcement.

Section
502.603A

Cooperation with other agencies.

Section
502.604

Administrative enforcement.

Section
502.604A

Law enforcement authority.

Section
502.604B

Limited law enforcement authority.

Section
502.605

Rules, forms, orders, interpretative opinions, and hearings.

Section
502.606

Administrative files and opinions.

Section
502.607

Public records — confidentiality.

Section
502.608

Uniformity and cooperation with other agencies.

Section
502.609

Judicial review of orders.

Section
502.610

Jurisdiction.

Section
502.611

Service of process.

Section
502.612

Severability clause.

Section
502.701

Public joint investment trusts.