Chapter 50 - REGULATION OF SECURITIES OFFERINGS AND THOSE WHO ENGAGE IN THE SECURITIES BUSINESS

  1. Rule 191-50.1 - Definitions
  2. Rule 191-50.2 - Cost of audit or inspection
  3. Rule 191-50.3 - Interpretative opinions or no-action letters
  4. Rule 191-50.4 - Reserved
  5. Rule 191-50.5 - Reserved
  6. Rule 191-50.6 - Reserved
  7. Rule 191-50.7 - Reserved
  8. Rule 191-50.8 - Reserved
  9. Rule 191-50.9 - Reserved
  10. Rule 191-50.10 - Broker-dealer registrations, renewals, amendments, succession, and withdrawals
  11. Rule 191-50.11 - Principals
  12. Rule 191-50.12 - Agent and issuer registrations, renewals and amendments
  13. Rule 191-50.13 - Agent continuing education requirements
  14. Rule 191-50.14 - Broker-dealer record-keeping requirements
  15. Rule 191-50.15 - Broker-dealer minimum financial requirements and financial reporting requirements
  16. Rule 191-50.16 - Dishonest or unethical practices in the securities business
  17. Rule 191-50.17 - Rules of conduct
  18. Rule 191-50.18 - Limited registration of Canadian broker-dealers and agents
  19. Rule 191-50.19 - Brokerage services by national and state banks
  20. Rule 191-50.20 - Broker-dealers having contracts with national and state banks
  21. Rule 191-50.21 - Brokerage services by credit unions, savings banks, and savings and loan institutions
  22. Rule 191-50.22 - Broker-dealers having contracts with credit unions, savings banks, and savings and loan institutions
  23. Rule 191-50.23 - Reserved
  24. Rule 191-50.24 - Reserved
  25. Rule 191-50.25 - Reserved
  26. Rule 191-50.26 - Reserved
  27. Rule 191-50.27 - Reserved
  28. Rule 191-50.28 - Reserved
  29. Rule 191-50.29 - Reserved
  30. Rule 191-50.30 - Electronic filing with designated entity
  31. Rule 191-50.31 - Investment adviser applications and renewals
  32. Rule 191-50.32 - Application for investment adviser representative registration
  33. Rule 191-50.33 - Examination requirements
  34. Rule 191-50.34 - Notice filing requirements for federal covered investment advisers
  35. Rule 191-50.35 - Withdrawal of investment adviser registration
  36. Rule 191-50.36 - Investment adviser brochure
  37. Rule 191-50.37 - Cash solicitation
  38. Rule 191-50.38 - Prohibited conduct in providing investment advice
  39. Rule 191-50.39 - Custody of client funds or securities by investment advisers
  40. Rule 191-50.40 - Minimum financial requirements for investment advisers
  41. Rule 191-50.41 - Bonding requirements for investment advisers
  42. Rule 191-50.42 - Record-keeping requirements for investment advisers
  43. Rule 191-50.43 - Financial reporting requirements for investment advisers
  44. Rule 191-50.44 - Solely incidental services by certain professionals
  45. Rule 191-50.45 - Registration exemption for investment advisers to private funds
  46. Rule 191-50.46 - Contents of investment advisory contract
  47. Rule 191-50.47 - Business continuity and succession planning for investment advisers
  48. Rule 191-50.48 - Reserved
  49. Rule 191-50.49 - Reserved
  50. Rule 191-50.50 - Internet advertising by broker-dealers, investment advisers, broker-dealer agents, investment adviser representatives, and federal covered investment advisers
  51. Rule 191-50.51 - Consent to service
  52. Rule 191-50.52 - Denial, suspension or revocation of agent or investment adviser representative registration for failure to pay child support
  53. Rule 191-50.53 - [Rescinded]
  54. Rule 191-50.54 - Denial, suspension or revocation of agent or investment adviser representative registration for failure to pay state debt
  55. Rule 191-50.55 - Reserved
  56. Rule 191-50.56 - Reserved
  57. Rule 191-50.57 - Reserved
  58. Rule 191-50.58 - Reserved
  59. Rule 191-50.59 - Reserved
  60. Rule 191-50.60 - Notice filings for investment company securities offerings
  61. Rule 191-50.61 - Registration of small corporate offerings
  62. Rule 191-50.62 - Streamlined registration for certain equity securities
  63. Rule 191-50.63 - Registration of multijurisdictional offerings
  64. Rule 191-50.64 - Form of financial statements
  65. Rule 191-50.65 - Reports contingent to registration by qualification
  66. Rule 191-50.66 - NASAA guidelines and statements of policy
  67. Rule 191-50.67 - Amendments to registration by qualification
  68. Rule 191-50.68 - Delivery of prospectus
  69. Rule 191-50.69 - Advertisements
  70. Rule 191-50.70 - Fee for securities registration filings under Iowa Code section 502.305
  71. Rule 191-50.71 - Reserved
  72. Rule 191-50.72 - Reserved
  73. Rule 191-50.73 - Reserved
  74. Rule 191-50.74 - Reserved
  75. Rule 191-50.75 - Reserved
  76. Rule 191-50.76 - Reserved
  77. Rule 191-50.77 - Reserved
  78. Rule 191-50.78 - Reserved
  79. Rule 191-50.79 - Reserved
  80. Rule 191-50.80 - [Rescinded]
  81. Rule 191-50.81 - Notice filings for Rule 506 offerings
  82. Rule 191-50.82 - Notice filings for agricultural cooperative associations
  83. Rule 191-50.83 - Unsolicited order exemption
  84. Rule 191-50.84 - Solicitation of interest exemption
  85. Rule 191-50.85 - Internet offers exemption
  86. Rule 191-50.86 - Denial, suspension, revocation, condition, or limitation of limited offering transaction exemption
  87. Rule 191-50.87 - Nonprofit securities exemption
  88. Rule 191-50.88 - Transactions with specified investors
  89. Rule 191-50.89 - Designated securities manuals
  90. Rule 191-50.90 - Intrastate crowdfunding exemption
  91. Rule 191-50.91 - Notice filing requirement for federal crowdfunding offerings
  92. Rule 191-50.92 - Notice filing requirement for Regulation A - Tier 2 offerings
  93. Rule 191-50.93 - Reserved
  94. Rule 191-50.94 - Reserved
  95. Rule 191-50.95 - Reserved
  96. Rule 191-50.96 - Reserved
  97. Rule 191-50.97 - Reserved
  98. Rule 191-50.98 - Reserved
  99. Rule 191-50.99 - Reserved
  100. Rule 191-50.100 - Fraudulent practices
  101. Rule 191-50.101 - Rescission offers
  102. Rule 191-50.102 - Fraudulent, deceptive or manipulative act, practice, or course of business in providing investment advice
  103. Rule 191-50.103 - Investment advisory contracts
  104. Rule 191-50.104 - Reserved
  105. Rule 191-50.105 - Reserved
  106. Rule 191-50.106 - Reserved
  107. Rule 191-50.107 - Reserved
  108. Rule 191-50.108 - Reserved
  109. Rule 191-50.109 - Reserved
  110. Rule 191-50.110 - Application by viatical settlement investment contract issuers and registration of agents to sell viatical settlement investment contracts
  111. Rule 191-50.111 - Risk disclosure
  112. Rule 191-50.112 - Advertising of viatical settlement investment contracts
  113. Rule 191-50.113 - Duty to disclose

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