Iowa Administrative Code
Agency 191 - INSURANCE DIVISION
SECURITIES
Chapter 50 - REGULATION OF SECURITIES OFFERINGS AND THOSE WHO ENGAGE IN THE SECURITIES BUSINESS
- Rule 191-50.1 - Definitions
- Rule 191-50.2 - Cost of audit or inspection
- Rule 191-50.3 - Interpretative opinions or no-action letters
- Rule 191-50.4 - Reserved
- Rule 191-50.5 - Reserved
- Rule 191-50.6 - Reserved
- Rule 191-50.7 - Reserved
- Rule 191-50.8 - Reserved
- Rule 191-50.9 - Reserved
- Rule 191-50.10 - Broker-dealer registrations, renewals, amendments, succession, and withdrawals
- Rule 191-50.11 - Principals
- Rule 191-50.12 - Agent and issuer registrations, renewals and amendments
- Rule 191-50.13 - Agent continuing education requirements
- Rule 191-50.14 - Broker-dealer record-keeping requirements
- Rule 191-50.15 - Broker-dealer minimum financial requirements and financial reporting requirements
- Rule 191-50.16 - Dishonest or unethical practices in the securities business
- Rule 191-50.17 - Rules of conduct
- Rule 191-50.18 - Limited registration of Canadian broker-dealers and agents
- Rule 191-50.19 - Brokerage services by national and state banks
- Rule 191-50.20 - Broker-dealers having contracts with national and state banks
- Rule 191-50.21 - Brokerage services by credit unions, savings banks, and savings and loan institutions
- Rule 191-50.22 - Broker-dealers having contracts with credit unions, savings banks, and savings and loan institutions
- Rule 191-50.23 - Reserved
- Rule 191-50.24 - Reserved
- Rule 191-50.25 - Reserved
- Rule 191-50.26 - Reserved
- Rule 191-50.27 - Reserved
- Rule 191-50.28 - Reserved
- Rule 191-50.29 - Reserved
- Rule 191-50.30 - Electronic filing with designated entity
- Rule 191-50.31 - Investment adviser applications and renewals
- Rule 191-50.32 - Application for investment adviser representative registration
- Rule 191-50.33 - Examination requirements
- Rule 191-50.34 - Notice filing requirements for federal covered investment advisers
- Rule 191-50.35 - Withdrawal of investment adviser registration
- Rule 191-50.36 - Investment adviser brochure
- Rule 191-50.37 - Cash solicitation
- Rule 191-50.38 - Prohibited conduct in providing investment advice
- Rule 191-50.39 - Custody of client funds or securities by investment advisers
- Rule 191-50.40 - Minimum financial requirements for investment advisers
- Rule 191-50.41 - Bonding requirements for investment advisers
- Rule 191-50.42 - Record-keeping requirements for investment advisers
- Rule 191-50.43 - Financial reporting requirements for investment advisers
- Rule 191-50.44 - Solely incidental services by certain professionals
- Rule 191-50.45 - Registration exemption for investment advisers to private funds
- Rule 191-50.46 - Contents of investment advisory contract
- Rule 191-50.47 - Business continuity and succession planning for investment advisers
- Rule 191-50.48 - Reserved
- Rule 191-50.49 - Reserved
- Rule 191-50.50 - Internet advertising by broker-dealers, investment advisers, broker-dealer agents, investment adviser representatives, and federal covered investment advisers
- Rule 191-50.51 - Consent to service
- Rule 191-50.52 - Denial, suspension or revocation of agent or investment adviser representative registration for failure to pay child support
- Rule 191-50.53
- Rule 191-50.54 - Denial, suspension or revocation of agent or investment adviser representative registration for failure to pay state debt
- Rule 191-50.55 - Reserved
- Rule 191-50.56 - Reserved
- Rule 191-50.57 - Reserved
- Rule 191-50.58 - Reserved
- Rule 191-50.59 - Reserved
- Rule 191-50.60 - Notice filings for investment company securities offerings
- Rule 191-50.61 - Registration of small corporate offerings
- Rule 191-50.62 - Streamlined registration for certain equity securities
- Rule 191-50.63 - Registration of multijurisdictional offerings
- Rule 191-50.64 - Form of financial statements
- Rule 191-50.65 - Reports contingent to registration by qualification
- Rule 191-50.66 - NASAA guidelines and statements of policy
- Rule 191-50.67 - Amendments to registration by qualification
- Rule 191-50.68 - Delivery of prospectus
- Rule 191-50.69 - Advertisements
- Rule 191-50.70 - Fee for securities registration filings under Iowa Code section 502.305
- Rule 191-50.71 - Reserved
- Rule 191-50.72 - Reserved
- Rule 191-50.73 - Reserved
- Rule 191-50.74 - Reserved
- Rule 191-50.75 - Reserved
- Rule 191-50.76 - Reserved
- Rule 191-50.77 - Reserved
- Rule 191-50.78 - Reserved
- Rule 191-50.79 - Reserved
- Rule 191-50.80
- Rule 191-50.81 - Notice filings for Rule 506 offerings
- Rule 191-50.82 - Notice filings for agricultural cooperative associations
- Rule 191-50.83 - Unsolicited order exemption
- Rule 191-50.84 - Solicitation of interest exemption
- Rule 191-50.85 - Internet offers exemption
- Rule 191-50.86 - Denial, suspension, revocation, condition, or limitation of limited offering transaction exemption
- Rule 191-50.87 - Nonprofit securities exemption
- Rule 191-50.88 - Transactions with specified investors
- Rule 191-50.89 - Designated securities manuals
- Rule 191-50.90 - Intrastate crowdfunding exemption
- Rule 191-50.91 - Notice filing requirement for federal crowdfunding offerings
- Rule 191-50.92 - Notice filing requirement for Regulation A - Tier 2 offerings
- Rule 191-50.93 - Reserved
- Rule 191-50.94 - Reserved
- Rule 191-50.95 - Reserved
- Rule 191-50.96 - Reserved
- Rule 191-50.97 - Reserved
- Rule 191-50.98 - Reserved
- Rule 191-50.99 - Reserved
- Rule 191-50.100 - Fraudulent practices
- Rule 191-50.101 - Rescission offers
- Rule 191-50.102 - Fraudulent, deceptive or manipulative act, practice, or course of business in providing investment advice
- Rule 191-50.103 - Investment advisory contracts
- Rule 191-50.104 - Reserved
- Rule 191-50.105 - Reserved
- Rule 191-50.106 - Reserved
- Rule 191-50.107 - Reserved
- Rule 191-50.108 - Reserved
- Rule 191-50.109 - Reserved
- Rule 191-50.110 - Application by viatical settlement investment contract issuers and registration of agents to sell viatical settlement investment contracts
- Rule 191-50.111 - Risk disclosure
- Rule 191-50.112 - Advertising of viatical settlement investment contracts
- Rule 191-50.113 - Duty to disclose
Disclaimer: These regulations may not be the most recent version. Iowa may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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