Iowa Admin. Code r. 187-25.7 - Notice of significant events
A registrant shall notify the administrator immediately and in writing within 15 calendar days of the occurrence of any of the following events.
(1) The registrant or any of
the registrant's officers, directors, owners, or affiliates file for bankruptcy
protection or commence reorganization proceedings.
(2) A prosecuting authority files criminal
charges against the registrant or any of a registrant's officers, directors,
owners, or affiliates.
(3) Another
state or jurisdiction institutes registration denial, cease and desist,
suspension or revocation procedures, or other regulatory action against the
registrant or any of the registrant's officers, directors, owners, or
affiliates.
Notes
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