§ 502.809 — Records

Iowa § 502.809

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

Text

A broker-dealer or investment adviser shall provide access to or copies of records that
are relevant to the suspected or attempted financial exploitation of an eligible adult to the
administrator, either as part of a notification to the administrator pursuant to section 502.802,
or upon the request of the administrator. The records may include historical records as well
as records relating to the most recent transactions that may comprise financial exploitation
of an eligible adult. The administrator may share the records with law enforcement if the
administrator determines it is necessary or appropriate in the public interest and for the
protection of the eligible adult. All records made available to the administrator or law
enforcement pursuant to this section shall be considered confidential public records under
chapter 22 and shall not be available for examination by the public pursuant to section 22.2.
Nothing in this section shall limit or otherwise impede the authority of the administrator
or law enforcement to access or examine the books and records of broker-dealers and
investment advisers as otherwise provided by law.