reglab/housing_qa huggingface dataset:
IA Code § 501B.31 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 501B - REVISED UNIFORM UNINCORPORATED NONPROFIT ASSOCIATION ACT|Section 501B.31 - Uniformity of application and construction.

501B.31 Uniformity of application and construction.   In applying and construing this chapter, consideration shall be given to the need to promote uniformity of the law with respect to its subject matter among states that enact the revised uniform unincorporated nonprofit association Act as recommended by the national conference of commissioners on uniform state laws.  2010 Acts, ch 1112, §31, 33
IA Code § 501B.32 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 501B - REVISED UNIFORM UNINCORPORATED NONPROFIT ASSOCIATION ACT|Section 501B.32 - Relation to Electronic Signatures in Global and National Commerce Act.

501B.32 Relation to Electronic Signatures in Global and National Commerce Act.   This chapter modifies, limits, and supersedes the federal Electronic Signatures in Global and National Commerce Act, 15 U.S.C. §7001, et seq., but does not modify, limit, or supersede section 101(c) of that Act, 15 U.S.C. §7001(c), or authorize electronic delivery of any of the notices described in section 103(b) of that Act, 15 U.S.C. §7003(b).  2010 Acts, ch 1112, §32, 33
IA Code § 502.101 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.101 - Short title.

502.101 Short title.   This chapter may be cited as the “Iowa Uniform Securities Act”.  [C31, 35, §8581-c1; C39, §8581.01; C46, 50, 54, 58, 62, 66, 71, 73, 75, §502.1; C77, 79, 81, §502.101]
IA Code § 502.103 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.103 - References to federal statutes.

502.103 References to federal statutes.   “Securities Act of 1933”, 15 U.S.C. §77a et seq.; “Securities Exchange Act of 1934”, 15 U.S.C. §78a et seq.; “Public Utility Holding Company Act of 1935”, 15 U.S.C. §79 et seq.; “Investment Company Act of 1940”, 15 U.S.C. §80a-1 et seq.; “Investment Advisers Act of 1940”, 15 U.S.C. §80b-1 et seq.; “Employee Retirement Income Security Act of 1974”, 29 U.S.C. §1001 et seq.; “National Housing Act”, 12 U.S.C. §1701; “Commodity Exchange Act”, 7 U.S.C. §1 et seq.; “Internal Revenue Code”, 26 U.S.C. §1 et seq.; “Securities Investor Protection Act of 1970”, 15 U.S.C. §78aaa et seq.; “Securities Litigation Uniform Standards Act of 1998”, 112 Stat. 3227; “Small Business Investment Act of 1958”, 15 U.S.C. §661 et seq.; “Electronic Signatures in Global and National Commerce Act”, 15 U.S.C. §7001 et seq.; and “Dodd-Frank Wall Street Reform and Consumer Protection Act”, Pub. L. No. 111-203 mean those federal statutes and the rules and regulations adopted under those federal statutes, as in effect on January 1, 2015.  2004 Acts, ch 1161, §2, 68; 2015 Acts, ch 128, §2, 50, 51
IA Code § 502.104 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.104 - References to federal agencies.

502.104 References to federal agencies.   A reference in this chapter to an agency or department of the United States is also a reference to a successor agency or department.  2004 Acts, ch 1161, §3, 68
IA Code § 502.105 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.105 - Electronic records and signatures.

502.105 Electronic records and signatures.   This chapter modifies, limits, and supersedes the federal Electronic Signatures in Global and National Commerce Act, but does not modify, limit, or supersede §101(c) of that Act, 15 U.S.C. §7001(c), or authorize electronic delivery of any of the notices described in section 103(b) of that Act, 15 U.S.C. §7003(b). This chapter authorizes the filing of records and signatures, when specified by provisions of this chapter or by a rule adopted or order issued under this chapter, in a manner consistent with section 104(a) of that Act, 15 U.S.C. §7004(a).  2004 Acts, ch 1161, §4, 68
IA Code § 502.203 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.203 - Additional exemptions and waivers.

502.203 Additional exemptions and waivers.   A rule adopted or order issued under this chapter may exempt a security, transaction, or offer; a rule under this chapter may exempt a class of securities, transactions, or offers from any or all of the requirements of sections 502.301 through 502.306 and 502.504; and an order under this chapter may waive, in whole or in part, any or all of the conditions for an exemption or offer under sections 502.201 and 502.202.  [SS15, §1920-u1, -u13; C24, 27, §8526, 8554; C31, 35, §8581-c5; C39, §8581.05; C46, 50, 54, 58, 62, 66, 71, 73, 75, §502.5; C77, 79, 81, §502.203]  83 Acts, ch 169, §4 – 7; 91 Acts, ch 40, §10 – 14; 96 Acts, ch 1025, §4, 5; 2001 Acts, ch 118, §3; 2004 Acts, ch 1161, §7, 68  Referred to in §502.204, 502.301, 502.302, 502.504, 502.608
IA Code § 502.204 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.204 - Denial, suspension, revocation, condition, or limitation of exemptions.

502.204 Denial, suspension, revocation, condition, or limitation of exemptions.   1. Enforcement-related powers. Except with respect to a federal covered security or a transaction involving a federal covered security, an order under this chapter may deny, suspend application of, condition, limit, or revoke an exemption created under section 502.201, subsection 3, paragraph “c”, or subsection 7, 8A, or 8B, or section 502.202, or an exemption or waiver created under section 502.203 with respect to a specific security, transaction, or offer. An order under this section may be issued only pursuant to the procedures in section 502.306, subsection 4, or section 502.604, and only prospectively.   2. Knowledge of order required. A person does not violate section 502.301, 502.303 through 502.306, 502.504, or 502.510 by an offer to sell, offer to purchase, sale, or purchase effected after the entry of an order issued under this section if the person did not know, and in the exercise of reasonable care could not have known, of the order.  [C31, 35, §8581-c4; C39, §8581.04; C46, 50, 54, 58, 62, 66, 71, 73, 75, §502.4(5); C77, 79, 81, §502.204]  2004 Acts, ch 1161, §8, 68; 2005 Acts, ch 19, §75  Referred to in §502.201, 502.604
IA Code § 502.207B (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.207B - Legislative review and oversight.

502.207B Legislative review and oversight. Repealed by  2001 Acts, ch 118, §58  .
IA Code § 502.301 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.301 - Securities registration requirement.

502.301 Securities registration requirement.   It is unlawful for a person to offer or sell a security in this state unless one of the following applies:   1. The security is a federal covered security.   2. The security, transaction, or offer is exempted from registration under sections 502.201 through 502.203.   3. The security is registered under this chapter.  [SS15, §1920-u15; C24, 27, §8561, 8563; C31, 35, §8581-c11; C39, §8581.11; C46, 50, 54, 58, 62, 66, 71, 73, 75, §502.11; C77, 79, 81, §502.301]  83 Acts, ch 169, §9; 91 Acts, ch 40, §19; 96 Acts, ch 1025, §7; 98 Acts, ch 1106, §3, 4, 24; 2004 Acts, ch 1161, §9, 68  Referred to in §502.201, 502.202, 502.203, 502.204, 502.509, 502.607, 502.608, 502.610, 502.701, 536A.22
IA Code § 502.307 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.307 - Waiver and modification.

502.307 Waiver and modification.   The administrator may waive or modify, in whole or in part, any or all of the requirements of sections 502.302, 502.303, and 502.304, subsection 2, or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to section 502.305, subsection 9.  2004 Acts, ch 1161, §16, 68
IA Code § 502.308 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.308 - Reserved.

502.308 Reserved. Reserved.
IA Code § 502.309 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.309 - Reserved.

502.309 Reserved. Reserved.
IA Code § 502.310 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.310 - Reserved.

502.310 Reserved. Reserved.
IA Code § 502.311 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.311 - Reserved.

502.311 Reserved. Reserved.
IA Code § 502.312 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.312 - Reserved.

502.312 Reserved. Reserved.
IA Code § 502.313 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.313 - Reserved.

502.313 Reserved. Reserved.
IA Code § 502.314 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.314 - Reserved.

502.314 Reserved. Reserved.
IA Code § 502.315 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.315 - Reserved.

502.315 Reserved. Reserved.
IA Code § 502.316 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.316 - Reserved.

502.316 Reserved. Reserved.
IA Code § 502.317 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.317 - Reserved.

502.317 Reserved. Reserved.
IA Code § 502.318 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.318 - Reserved.

502.318 Reserved. Reserved.
IA Code § 502.319 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.319 - Reserved.

502.319 Reserved. Reserved.
IA Code § 502.320 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.320 - Reserved.

502.320 Reserved. Reserved.
IA Code § 502.321 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.321 - Reserved.

502.321 Reserved. Reserved.
IA Code § 502.321C (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.321C - Filing of solicitation materials.

502.321C Filing of solicitation materials.   Copies of all advertisements, circulars, letters, or other materials disseminated by the offeror or the target company, soliciting or requesting the acceptance or rejection of a takeover offer, shall be filed with the administrator and sent to the target company or offeror not later than the time the solicitation or request materials are first published, sent, or given to the offerees. The administrator may prohibit the use of any materials deemed false or misleading.  2004 Acts, ch 1161, §19, 68
IA Code § 502.321D (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.321D - Fraudulent, deceptive, or manipulative acts and practices prohibited.

502.321D Fraudulent, deceptive, or manipulative acts and practices prohibited.   An offeror, target company, affiliate or associate of an offeror or target company, or broker-dealer acting on behalf of an offeror or target company shall not engage in a fraudulent, deceptive, or manipulative act or practice in connection with a takeover offer. For purposes of this section, a fraudulent, deceptive, or manipulative act or practice includes, but is not limited to, any of the following:   1. The publication or use in connection with a takeover offer of a false statement of a material fact, or the omission of a material fact which renders the statements made misleading.   2. The purchase of any of the equity securities of an officer, director, or beneficial owner of five percent or more of the equity securities of the target company by the offeror or the target company for a consideration greater than that to be paid to other shareholders, unless the terms of the purchase are disclosed in a registration statement filed pursuant to section 502.321B.   3. The refusal by a target company to permit an offeror who is a shareholder of record to examine or copy its list of shareholders, pursuant to the applicable corporation statutes, for the purpose of making a takeover offer.   4. The refusal by a target company to mail any solicitation materials published by the offeror to its security holders with reasonable promptness after receipt from the offeror of the materials, together with the reasonable expenses of postage and handling.   5. The solicitation of any offeree for acceptance or rejection of a takeover offer, or acquisition of any equity security pursuant to a takeover offer, when the offer is suspended under section 502.321B, provided, however, that the target company may communicate during a suspension with its equity security holders to the extent required to respond to the takeover offer made pursuant to the Securities Exchange Act of 1934.  2004 Acts, ch 1161, §20, 68
IA Code § 502.321F (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.321F - Administration — rules and orders.

502.321F Administration — rules and orders.   1. Exemption authority. The administrator may by rule or order exempt from any provision of this article the following:   a. A proposed takeover offer or a category or type of takeover offer which the administrator determines does not have the purpose or effect of changing or influencing the control of a target company.   b. A proposed takeover offer for which the administrator determines that compliance with the sections is not necessary for the protection of the offerees.   c. A person from the requirement of filing statements.   2. Conflicts with chapter 17A. In the event of a conflict between the provisions of chapter 17A and the provisions of this article, the provisions of this article shall prevail.  2004 Acts, ch 1161, §22, 68
IA Code § 502.321G (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.321G - Fees.

502.321G Fees.   The administrator shall charge a nonrefundable filing fee of two hundred fifty dollars for a registration statement filed by an offeror. The fee shall be deposited as provided in section 505.7.  2004 Acts, ch 1161, §23, 68; 2009 Acts, ch 181, §60  Referred to in §502.321B
IA Code § 502.321H (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.321H - Nonapplication of corporate takeover law.

502.321H Nonapplication of corporate takeover law.   If the target company is a public utility, public utility holding company, national banking association, bank holding company, or savings and loan association which is subject to regulation by a federal agency and the takeover of such company is subject to approval by the federal agency, this article does not apply.  2004 Acts, ch 1161, §24, 68
IA Code § 502.321I (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.321I - Application of securities law.

502.321I Application of securities law.   All of the provisions of this chapter which are not in conflict with this article apply to any takeover offer involving a target company.  2004 Acts, ch 1161, §25, 68  Referred to in §502.701
IA Code § 502.403 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.403 - Investment adviser registration requirement and exemptions.

502.403 Investment adviser registration requirement and exemptions.   1. Registration requirement. It is unlawful for a person to transact business in this state as an investment adviser unless the person is registered under this chapter as an investment adviser or is exempt from registration as an investment adviser under subsection 2.   2. Exemptions from registration. All of the following persons are exempt from the registration requirement of subsection 1:   a. A person without a place of business in this state that is registered under the securities Act of the state in which the person has its principal place of business if its only clients in this state are any of the following:   (1) Federal covered investment advisers, investment advisers registered under this chapter, or broker-dealers registered under this chapter.   (2) Institutional investors.   (3) Bona fide preexisting clients whose principal places of residence are not in this state if the investment adviser is registered under the securities Act of the state in which the clients maintain principal places of residence.   (4) Any other client exempted by rule adopted or order issued under this chapter.   b. A person without a place of business in this state if the person has had, during the preceding twelve months, not more than five clients that are resident in this state in addition to those specified under paragraph “a”.   c. Any other person exempted by rule adopted or order issued under this chapter.   3. Limits on employment or association. It is unlawful for an investment adviser, directly or indirectly, to employ or associate with an individual to engage in an activity related to investment advice in this state if the registration of the individual is suspended or revoked or the individual is barred from employment or association with an investment adviser, federal covered investment adviser, or broker-dealer by an order under this chapter, the securities and exchange commission, or a self-regulatory organization, unless the investment adviser did not know, and in the exercise of reasonable care could not have known, of the suspension, revocation, or bar. Upon request from the investment adviser and for good cause, the administrator, by order, may waive, in whole or in part, the application of the prohibitions of this subsection to the investment adviser.   4. Investment adviser representative registration required. It is unlawful for an investment adviser to employ or associate with an individual required to be registered under this chapter as an investment adviser representative who transacts business in this state on behalf of the investment adviser unless the individual is registered under section 502.404, subsection 1, or is exempt from registration under section 502.404, subsection 2.  [C77, 79, 81, §502.403]  2004 Acts, ch 1161, §28, 68  Referred to in §502.404, 502.407, 502.509, 502.604, 502.608, 502.610
IA Code § 502.405 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.405 - Federal covered investment adviser notice filing requirement.

502.405 Federal covered investment adviser notice filing requirement.   1. Notice filing requirement. Except with respect to a federal covered investment adviser described in subsection 2, it is unlawful for a federal covered investment adviser to transact business in this state as a federal covered investment adviser unless the federal covered investment adviser complies with subsection 3.   2. Notice filing requirement not required. The following federal covered investment advisers are not required to comply with subsection 3:   a. A federal covered investment adviser without a place of business in this state if its only clients in this state are any of the following:   (1) Federal covered investment advisers, investment advisers registered under this chapter, and broker-dealers registered under this chapter.   (2) Institutional investors.   (3) Bona fide preexisting clients whose principal places of residence are not in this state.   (4) Other clients specified by rule adopted or order issued under this chapter.   b. A federal covered investment adviser without a place of business in this state if the person has had, during the preceding twelve months, not more than five clients that are resident in this state in addition to those specified under paragraph “a”.   c. Any other person excluded by rule adopted or order issued under this chapter.   3. Notice filing procedure. A person acting as a federal covered investment adviser, not excluded under subsection 2, shall file a notice, a consent to service of process complying with section 502.611, and such records as have been filed with the securities and exchange commission under the Investment Advisers Act of 1940 required by rule adopted or order issued under this chapter and pay the fees specified in section 502.410, subsection 5.   4. Effectiveness of filing. The notice under subsection 3 becomes effective upon its filing.  [SS15, §1920-u19; C24, 27, §8577; C31, 35, §8581-c21; C39, §8581.26; C46, 50, 54, 58, 62, 66, 71, 73, 75, §502.26; C77, 79, 81, §502.405]  2004 Acts, ch 1161, §30, 68  Referred to in §502.404, 502.407, 502.408, 502.410, 502.610
IA Code § 502.406 (2021)
2021 Iowa Code|Title XII - BUSINESS ENTITIES|Chapter 502 - UNIFORM SECURITIES ACT (Blue Sky Law)|Section 502.406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

502.406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative.   1. Application for initial registration. A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application and a consent to service of process complying with section 502.611, and paying the fee specified in section 502.410 and any reasonable fees charged by the designee of the administrator for processing the filing. The application must contain all of the following:   a. The information or record required for the filing of a uniform application.   b. Upon request by the administrator, any other financial or other information or record that the administrator determines is appropriate.   2. Amendment. If the information or record contained in an application filed under subsection 1 is or becomes inaccurate or incomplete in a material respect, the registrant shall promptly file a correcting amendment.   3. Effectiveness of registration. If an order is not in effect and a proceeding is not pending under section 502.412, registration becomes effective at noon on the forty-fifth day after a completed application is filed, unless the registration is denied. A rule adopted or order issued under this chapter may set an earlier effective date or may defer the effective date until noon on the forty-fifth day after the filing of any amendment completing the application.   4. Registration renewal. A registration is effective until midnight on December 31 of the year for which the application for registration is filed. Unless an order is in effect under section 502.412, a registration may be automatically renewed each year by filing such records as are required by rule adopted or order issued under this chapter, by paying the fee specified in section 502.410, and by paying costs charged by the designee of the administrator for processing the filings.   5. Additional conditions or waivers. A rule adopted or order issued under this chapter may impose such other conditions, not inconsistent with the National Securities Markets Improvement Act of 1996. A rule adopted or order issued under this chapter may waive, in whole or in part, specific requirements in connection with registration as are in the public interest and for the protection of investors.  [C24, 27, §8580; C31, 35, §8581-c24; C39, §8581.29; C46, 50, 54, 58, 62, 66, 71, 73, 75, §502.29; C77, 79, 81, §502.406]  97 Acts, ch 114, §13; 98 Acts, ch 1106, §14, 24; 2004 Acts, ch 1161, §31, 68; 2018 Acts, ch 1074, §5; 2019 Acts, ch 59, §176  Referred to in §502.408