Iowa § 502.804 Notification to permissible third party

Iowa Statutes

§ 502.804 — Notification to permissible third party

Iowa § 502.804

Title XIIBUSINESS ENTITIES

Ch. 502UNIFORM SECURITIES ACT (BLUE SKY LAW)

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Bluebook

Iowa Code § 502.804 (2026).

Text

1.If a broker-dealer, investment adviser, or qualified individual reasonably believes financial exploitation of an eligible adult has occurred, has been attempted, or is being attempted, the broker-dealer, investment adviser, or qualified individual may notify a permissible third party. The administrator may adopt rules regarding the form and manner of the notification under this section.

2.Broker-dealers, investment advisers, and qualified individuals shall not notify a permissible third party the broker-dealer, investment adviser, or qualified individual reasonably suspects of financial exploitation or other abuse of the eligible adult.

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1. If a broker-dealer, investment adviser, or qualified individual reasonably believes
financial exploitation of an eligible adult has occurred, has been attempted, or is being
attempted, the broker-dealer, investment adviser, or qualified individual may notify a
permissible third party. The administrator may adopt rules regarding the form and manner
of the notification under this section.
2. Broker-dealers, investment advisers, and qualified individuals shall not notify a
permissible third party the broker-dealer, investment adviser, or qualified individual
reasonably suspects of financial exploitation or other abuse of the eligible adult.