Securities Registration

Iowa Insurance Division

About

The uniform application to register securities allows the Iowa Securities Bureau to regulate the sale of securities in Iowa unless the security or transaction is exempt. Code Citation Iowa Code chapter 502 Who Applies Any person planning to sell securities to the public. When To Apply Application may be submitted at anytime, prior to selling to the public. Initial Requirements An issuer\’s prospectus or disclosure document is reviewed to determine whether it meets the standards specified by the Iowa Code, or in the case of an investment company product, the Iowa Insurance Division receives a notice filing. Duration One year. Processing Time Depending on the type of filing, a week up to a month. Fee Structure Registration: Common Stock – $400 Mutual Funds – $400 Regulation D – $100, $250 if late Exemptions – no fee Renewal Requirements Must petition for a renewal of the offering annually by providing updated documents. Exam Not applicable. Additional Information https://iid.iowa.gov/registration-of-securities-and-exempt-offerings

Services Provided

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  • Service SubCategory
Contact Information
Securities Bureau
Address
1963 Bell Avenue, Suite 100
Des Moines, IA 50315