§ 502.606 — Administrative files and opinions

Iowa § 502.606

• Jurisdiction: Iowa
• Title XII: BUSINESS ENTITIES
• Ch. 502: UNIFORM SECURITIES ACT (BLUE SKY LAW)

Text

1. Public register of filings. The administrator shall maintain, or designate a person to
maintain, a register of applications for registration of securities; registration statements;
notice filings; applications for registration of broker-dealers, agents, investment advisers,
and investment adviser representatives; notice filings by federal covered investment advisers
that are or have been effective under this chapter or the predecessor chapter; notices of
claims of exemption from registration or notice filing requirements contained in a record;
orders issued under this chapter or the predecessor chapter; and interpretative opinions or
no action determinations issued under this chapter.
2. Public availability. The administrator shall make all rules, forms, interpretative
opinions, and orders available to the public.
3. Copies of public records. The administrator shall furnish a copy of a record that is
a public record or a certification that the public record does not exist to a person that so
requests. A rule adopted under this chapter may establish a reasonable charge for furnishing
the record or certification. A copy of the record certified or a certificate by the administrator
of a record’s nonexistence is prima facie evidence of a record or its nonexistence.

Legislative History

[SS15, §1920-u17; C24, 27, §8575; C31, 35, §8581-c19; C39, §8581.24; C46, 50, 54, 58, 62, 66, 71, 73, 75, §502.24; C77, 79, 81, §502.606]