reglab/housing_qa huggingface dataset:
IA Code § 502.606 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.606 - Administrative files and opinions.

502.606 Administrative files and opinions.   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.  [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]  2004 Acts, ch 1161, §56, 68
IA Code § 502.607 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.607 - Public records — confidentiality.

502.607 Public records — confidentiality.   1. Presumption of public records. Except as otherwise provided in subsection 2, records obtained by the administrator or filed under this chapter, including a record contained in or filed with a registration statement, application, notice filing, or report, are public records and are available for public examination.   2. Nonpublic records. Notwithstanding chapter 22, the following records are not public records and are not available for public examination under subsection 1:   a. A record obtained by the administrator in connection with an audit or inspection under section 502.411, subsection 4, or an investigation under section 502.602.   b. A part of a record filed in connection with a registration statement under sections 502.301 and 502.303 through 502.305 or a record under section 502.411, subsection 4, that contains trade secrets or confidential information if the person filing the registration statement or report has asserted a claim of confidentiality or privilege that is authorized by law.   c. A record that is not required to be provided to the administrator or filed under this chapter and is provided to the administrator only on the condition that the record will not be subject to public examination or disclosure.   d. A nonpublic record received from a person specified in section 502.608, subsection 1.   e. Any social security number, residential address unless used as a business address, and residential telephone number unless used as a business telephone number, contained in a record that is filed.   f. A record obtained by the administrator through a designee that the administrator determines by rule or order has been appropriately expunged from its own records by that designee, if the administrator finds that such expungement is in the public interest and does not impair investor protection.   3. Administrator discretion to disclose. If disclosure is for the purpose of a civil, administrative, or criminal investigation, action, or proceeding or to a person specified in section 502.608, subsection 1, the administrator may disclose a record obtained in connection with an audit or inspection under section 502.411, subsection 4, or a record obtained in connection with an investigation under section 502.602.  [C35, §8581-f6; C39, §8581.22; C46, 50, 54, 58, 62, §502.22; C66, 71, 73, 75, §502.2, 502.22; C77, 79, 81, §502.607]  97 Acts, ch 114, §16; 2004 Acts, ch 1161, §57, 68  Referred to in §22.7(43), 502.601, 502.602, 502.608
IA Code § 502.609 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.609 - Judicial review of orders.

502.609 Judicial review of orders.   A final order issued by the administrator under this chapter is subject to judicial review in accordance with chapter 17A.  [SS15, §1920-u5; C24, 27, §8534, 8535; C31, 35, §8581-c9; C39, §8581.09; C46, 50, 54, 58, 62, 66, 71, 73, 75, §502.9; C77, 79, 81, §502.609]  91 Acts, ch 40, §35; 97 Acts, ch 114, §18; 2000 Acts, ch 1147, §19; 2004 Acts, ch 1161, §59, 68  Referred to in §502.604
IA Code § 502.611 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.611 - Service of process.

502.611 Service of process.   1. Signed consent to service of process. A consent to service of process required by this chapter must be signed and filed in the form required by a rule or order under this chapter. A consent appointing the administrator as a person’s agent for service of process in a noncriminal action or proceeding against the person, or the person’s successor or personal representative under this chapter or a rule adopted or order issued under this chapter after the consent is filed, has the same force and validity as if the service of process were made personally on the person filing the consent. A person that has filed a consent complying with this subsection in connection with a previous application for registration or notice filing need not file an additional consent.   2. Conduct constituting appointment of agent for service of process. If a person, including a nonresident of this state, engages in an act, practice, or course of business prohibited or made actionable by this chapter or a rule adopted or order issued under this chapter and the person has not filed a consent to service of process under subsection 1, the act, practice, or course of business constitutes the appointment of the administrator as the person’s agent for service of process in a noncriminal action or proceeding against the person or the person’s successor or personal representative.   3. Procedure for service of process. If service of process is made on the administrator under subsection 1 or 2 it shall be made as provided in section 505.30, but is not effective unless all of the following apply:   a. The plaintiff, which may be the administrator, shall promptly send notice of the service of process and a copy of the service of process by certified mail to the defendant or respondent at the address set forth in the consent to service of process or, if a consent to service of process has not been filed, to the defendant’s or respondent’s last known principal place of business.   b. The plaintiff shall file an affidavit of compliance with this subsection in the action or proceeding on or before the return day of the service of process, if any, or within the time that the court, or the administrator in a proceeding before the administrator, allows.   4. Service of process in an administrative proceeding or civil action by administrator. Service of process pursuant to subsection 3 may be used in a proceeding before the administrator or by the administrator in a civil action in which the administrator is the moving party.   5. Opportunity to defend. If process is served under subsection 3, the court, or the administrator in a proceeding before the administrator, shall order continuances as are necessary or appropriate to afford the defendant or respondent reasonable opportunity to defend.  [C77, 79, 81, §502.611]  90 Acts, ch 1196, §5; 2004 Acts, ch 1161, §61, 68; 2018 Acts, ch 1018, §1  Referred to in §502.201, 502.302, 502.303, 502.304, 502.405, 502.406
IA Code § 502.612 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.612 - Severability clause.

502.612 Severability clause.   If any provision of this chapter or its application to any person or circumstances is held invalid, the invalidity does not affect other provisions or applications of this chapter that can be given effect without the invalid provision or application, and to this end the provisions of this chapter are severable.  2004 Acts, ch 1161, §62, 68
IA Code § 502.701 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.701 - Public joint investment trusts.

502.701 Public joint investment trusts.   1. A joint investment trust organized pursuant to chapter 28E for the purposes of joint investment of public funds is subject to the jurisdiction and authority of the administrator, including all requirements of this chapter, except the registration provisions of sections 502.301 and 502.321I.   2. The administrator may make examinations within or without the state, of the business and records of each joint investment trust, at the times and in the scope as the administrator determines. The administrator shall have the authority to contract for outside professional services in the conduct of examinations. The examinations may be made without prior notice to the joint investment trust or the trust’s investment advisor. The administrator may copy all records the administrator feels are necessary to conduct the examination. The expense reasonably attributable to the examination shall be paid by the joint investment trusts whose business is examined. For the purpose of avoiding unnecessary duplication of examinations, the administrator may cooperate with other regulatory authorities.  92 Acts, ch 1156, §41; 2005 Acts, ch 19, §124, 126
IA Code § 502A.2 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.2 - Unlawful commodity transactions.

502A.2 Unlawful commodity transactions.   Except as otherwise provided in section 502A.3 or 502A.4, a person shall not sell or purchase, or offer to sell or purchase, a commodity under a commodity contract, or under a commodity option, or offer to enter into, or enter into as seller or purchaser, a commodity contract or commodity option.  90 Acts, ch 1169, §2  Referred to in §502A.3, 502A.4, 502A.6, 502A.19, 502A.22
IA Code § 502A.3 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.3 - Exempt person transactions.

502A.3 Exempt person transactions.   1. The prohibitions in section 502A.2 do not apply to a transaction in which any of the following persons, or any employee, officer, or director of a listed person acting solely in that capacity, is the purchaser or seller:   a. A person registered with the commodity futures trading commission as a futures commission merchant or as a leverage transaction merchant whose activities require such registration.   b. A person registered with the securities and exchange commission as a broker-dealer whose activities require such registration.   c. A person affiliated with, and whose obligations and liabilities under the transaction are guaranteed by, a person referred to in paragraph “a” or “b”.   d. A person who is a member of a contract market designated by the commodity futures trading commission, or any CFTC clearinghouse.   e. A financial institution.   f. A person registered under the laws of this state as a securities broker-dealer whose activities require such registration.   2. This exemption provided by this section does not apply to any transaction or activity which is prohibited by the Commodity Exchange Act or CFTC rule.  90 Acts, ch 1169, §3; 2012 Acts, ch 1023, §100  Referred to in §502A.2, 502A.4, 502A.6
IA Code § 502A.5 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.5 - Unlawful commodity activities.

502A.5 Unlawful commodity activities.   1. A person shall not engage in a trade or business or otherwise act as a commodity merchant unless the person is either of the following:   a. Registered or temporarily licensed with the commodity futures trading commission for each activity constituting the person as a commodity merchant and the registration or temporary license has not expired, been suspended, or revoked.   b. Exempt from such registration by virtue of the Commodity Exchange Act or of a CFTC rule.   2. A board of trade shall not trade, or provide a place for the trading of, any commodity contract or commodity option required to be traded on or subject to the rules of a contract market designated by the commodity futures trading commission unless the board of trade has been so designated for the commodity contract or commodity option and the designation has not been vacated, suspended, or revoked.  90 Acts, ch 1169, §5  Referred to in §502A.19
IA Code § 502A.6 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.6 - Fraudulent conduct.

502A.6 Fraudulent conduct.   A person shall not directly or indirectly do any of the following in or in connection with the purchase or sale of, the offer to sell, the offer to purchase, the offer to enter into, or the entry into of, a commodity contract or commodity option subject to section 502A.2, 502A.3, 502A.4, subsection 1, paragraph “b”, or section 502A.4, subsection 1, paragraph “d”:   1. Cheat or defraud, or attempt to cheat or defraud, another person or employ any device, scheme, or artifice to defraud another person.   2. Make a false report or enter a false record.   3. Make an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading.   4. Engage in a transaction, act, practice, or course of business, including, without limitation, any form of advertising or solicitation, which operates or would operate as a fraud or deceit upon any person.   5. Misappropriate or convert the funds, security, or property of another person.  90 Acts, ch 1169, §6  Referred to in §502A.19
IA Code § 502A.7 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.7 - Liability of principals, controlling persons, and others.

502A.7 Liability of principals, controlling persons, and others.   1. The act, omission, or failure of an official, agent, or other person acting for an individual, association, partnership, corporation, or trust within the scope of the person’s employment or office shall be deemed the act, omission, or failure of the individual, association, partnership, corporation, or trust, as well as of the person.   2. A person who directly or indirectly controls another person liable under this chapter, a partner, officer, or director of the other person, a person occupying a similar status or performing similar functions, and an employee of such other person who materially aids in the violation, is liable jointly and severally with and to the same extent as the other person, unless the person who is liable by virtue of this provision sustains the burden of proof that the person did not know, and in exercise of reasonable care could not have known, of the existence of the facts by reason of which the liability is alleged to exist.  90 Acts, ch 1169, §7
IA Code § 502A.8 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.8 - Securities laws unaffected.

502A.8 Securities laws unaffected.   This chapter does not impair, derogate, or otherwise affect the authority or powers of the administrator under chapter 502 or the application of any provision of chapter 502 to a person or transaction subject to that chapter.  90 Acts, ch 1169, §8
IA Code § 502A.9 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.9 - Purpose.

502A.9 Purpose.   This chapter may be construed and implemented to effectuate its general purpose to protect investors, to prevent and prosecute illegal and fraudulent schemes involving commodity contracts and to maximize coordination with federal and other states’ laws and the administration and enforcement of those laws. This chapter is not intended to create any rights or remedies upon which actions may be brought by private persons against persons who violate this chapter.  90 Acts, ch 1169, §9
IA Code § 502A.11 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.11 - Investigations.

502A.11 Investigations.   1. The administrator may make investigations, within or without this state, as the administrator finds necessary or appropriate to do either or both of the following:   a. Determine whether any person has violated, or is about to violate this chapter or any rule or order of the administrator.   b. Aid in enforcement of this chapter.   2. The administrator may publish information concerning a violation of this chapter or any rule or order of the administrator.   3. For purposes of an investigation or proceeding under this chapter, the administrator or any officer or employee designated by rule or order, may administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, agreements, or other documents or records which the administrator finds to be relevant or material to the inquiry.   4. a. If a person does not give testimony or produce the documents required by the administrator or a designated employee pursuant to an administrative subpoena, the administrator or designated employee may apply for a court order compelling compliance with the subpoena or the giving of the required testimony.   b. The request for order of compliance may be addressed to either of the following:   (1) The Polk county district trial court or the district court where service may be obtained on the person refusing to testify or produce, if the person is within this state.   (2) The appropriate court of the state having jurisdiction over the person refusing to testify or produce, if the person is outside this state.  90 Acts, ch 1169, §10  Referred to in §502A.12, 502A.15
IA Code § 502A.12 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.12 - Enforcement of chapter.

502A.12 Enforcement of chapter.   1. If the administrator believes, whether or not based upon an investigation conducted under section 502A.11, that a person has engaged or is about to engage in an act or practice constituting a violation of this chapter or a rule or order issued under this chapter, the administrator may do any or all of the following:   a. Issue a cease and desist order.   b. Issue an order imposing a civil penalty in amount which may not exceed ten thousand dollars for a single violation or one hundred thousand dollars for multiple violations in a single proceeding or a series of related proceedings.   c. Initiate any of the actions specified in subsection 2.   2. The administrator may institute any or all of the following actions in the appropriate courts of this state, or in the appropriate courts of another state, in addition to any legal or equitable remedies otherwise available:   a. A declaratory judgment.   b. An action for a prohibitory or mandatory injunction to enjoin the violation and to ensure compliance with this chapter or a rule or order of the administrator.   c. An action for disgorgement.   d. An action for appointment of a receiver or conservator for the defendant or the defendant’s assets.   e. An action for restitution.  90 Acts, ch 1169, §11
IA Code § 502A.14 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.14 - Criminal penalties.

502A.14 Criminal penalties.   1. A person who willfully violates either of the following shall, upon conviction, be fined not more than twenty thousand dollars or be imprisoned not more than ten years, or both, for each violation.   a. This chapter.   b. A rule or order of the administrator under this chapter.   2. A person convicted of violating a rule or order under this chapter may be fined, but may not be imprisoned, if the person proves the person had no knowledge of the rule or order.   3. The administrator may refer such evidence as is available concerning violations of this chapter or any rule or order of the administrator to the attorney general or the proper county attorney, who may, with or without such a reference from the administrator, institute the appropriate criminal proceedings under this chapter.   4. This chapter does not limit the power of the state to proceed against a person for conduct which constitutes a breach of duty, a crime, or a violation under common law, rule, or another statute. An action pursuant to this chapter is not an election of remedies, and an aggrieved person or the state retains any other common law or statutory causes of action which may exist against a person alleged to have violated this chapter or against a person convicted of such a violation.  90 Acts, ch 1169, §13
IA Code § 502A.15 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502A - COMMODITIES CODE|Section 502A.15 - Administration of chapter.

502A.15 Administration of chapter.   1. This chapter shall be administered by the administrator of the securities and regulated industries bureau of the insurance division of the department of commerce.   2. The administrator or any employees of the administrator shall not use any information which is filed with or obtained by the administrator which is not public information for personal gain or benefit, and the administrator or any employees of the administrator shall not conduct any securities or commodity dealings based upon any such information, even though public, if there has not been a sufficient period of time for the securities or commodity markets to assimilate such information.   3. a. Except as provided in paragraph “b”, all information collected, assembled, or maintained by the administrator is public information and is available for the examination of the public as provided by chapter 22.   b. The following are exceptions to paragraph “a” and are confidential:   (1) Information obtained in an investigation pursuant to section 502A.11, unless published pursuant to section 502A.11, subsection 2.   (2) Information made confidential by chapter 22.   (3) Information obtained from federal agencies which cannot be disclosed under federal law.   c. The administrator in the administrator’s discretion may disclose any information made confidential under paragraph “b” to persons identified in section 502A.16, subsection 1.   d. This chapter does not create or derogate any privilege which exists at common law, by statute or otherwise when documentary or other evidence is sought under subpoena directed to the administrator or any employee of the administrator.  90 Acts, ch 1169, §14; 2006 Acts, ch 1117, §14