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Where Information is Found on IID's Website
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Iowa Insurance Division

330 Maple St.
Des Moines, IA
50319-0065

Phone 515-281-5705
Fax 515-281-3059
Toll Free Consumer Line
877-955-1212
Agent Licensing
515-281-7757
Securities & Regulated Industries Bureau

About the Securities & Regulated Industries Bureau

  • A brief description of the Bureau and its activities.
  • Iowa Administrative Code - Chapter 50: Securities Administrative Rules
  • Code of Iowa - Chapter 502: Iowa Uniform Securities Act

    • Electronic filing information
    By rule the Iowa Insurance Division is mandating that all issuers and filers currently manually notice filing Blue Sky registrations will notice file all Blue Sky registrations via the internet and this will be accomplished on or before December 31, 2009. The division will not mandate any vendor(s) but the vendor(s) must use the specifications below. There are also examples that will aid the vendor(s) in their work.

    Generic BlueExpress Protocol Manual

 

Investor Education

  • Ten Tips for Online Investors
  • How to Check Out Your Stockbroker or Brokerage Firm
  • Promissory Notes: Promises, Problems
  • Affinity Fraud
  • CD Alternatives
  • Preventing and Resolving Disputes
  • High Tech Investment Scams Are on the Rise
  • Choosing Investment Advisers and Financial Planners
  • About Municipal Bonds
  • Superhighway to Financial Ruin
  • How to Select and Work with a Stock Broker

Broker-Dealer and Investment Adviser Filing Information

  • Public Records Request
  • New Rule on Audited Financials (7/25/2007)
  • Investment Adviser Licensing
  • Broker-dealer and securities agent
  • Investment Adviser Public Disclosure

How to file a complaint

  • Investigate a company or individual before you invest.
  • Learn procedures for filing a complaint with the Securities Bureau.

Securities Registration/Small Business Assistance

  • Small Corporate Offering Registration information (SCOR)
  • Private Placements

Regulated Industries Unit

  • Download forms and learn more about:
    • Motor Vehicle Service Contracts
    • Continuing Care Retirement Facilities
    • Residential Service Contracts.
    • Preneed Funeral Merchandise and Services
    • Cemeteries
  • Sunnyside Memory Gardens receivership information

Links to other helpful sites

  • North American Securities Administrators Association, Inc. (NASAA)
  • U.S. Securities and Exchange Commission (SEC)
  • Securities Regulation Depository (SRD)
  • National Association of Securities Dealers (NASD)
  • NASD Regulation, Inc. (NASD-R)
  • Small Corporate Offering Registration Network (SCOR-NET)
  • Investor Protection Trust (IPT)
  • Commodity Futures Trading Commission (CFTC)
  • Investing Online Resource Center
  • Many more...
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