• About the Securities Bureau
• 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

Exchange-Traded Funds (ETF) Advisory

Click on this title, Investor Education, for consumer information on the following:

• 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

• Licensing Requirements and Permitted Practices Bulletin
• Public Records Request
• New Rule on Audited Financials (11/24/2010)
• 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

Links to other helpful sites

North American Securities Administrators Association, Inc. (NASAA)

• Help for small business
• Information on the Small Company Offering Registration Program
• Investor Education Information

U.S. Securities and Exchange Commission (SEC)

• Form ADV (Paper Version) - Uniform Application for Investment Adviser Registration

Code of Iowa

Iowa Administrative Code

Financial Industry Regulatory Authority (FINRA)

NASD Regulation, Inc. (NASD-R)

Small Corporate Offering Registration Network

Investor Protection Trust (IPT)

Commodity Futures Trading Commission (CFTC)

Investing Online Resource Center

Securities Industry and Financial Markets Association (SIMFA)