Iowa Admin. Code r. 187-25.7 - Notice of significant events

Current through Register Vol. 44, No. 20, April 6, 2022

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

Iowa Admin. Code r. 187-25.7
Adopted by IAB December 21, 2016/Volume XXXIX, Number 13, effective 1/1/2017

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