Securities

Electronic filing information
The Iowa Insurance Division participates in the BlueExpress filing system. This system allows  issuers and filers who currently file hard copy notice filings of Blue Sky registrations to make these filings and related payments electronically.   A majority of Iowa filers use this system. If your firm would like to learn more about the system, review the specifications as outlined in the manual below.  To discuss signing up for this system, please send an inquiry to iowasec@iid.iowa.gov

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

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

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)

Code of Iowa

Iowa Administrative Code

Financial Industry Regulatory Authority (FINRA)

Small Corporate Offering Registrations for Iowa

Investor Protection Trust (IPT)

Commodity Futures Trading Commission (CFTC)

Investing Online Resource Center

Securities Industry and Financial Markets Association (SIMFA)