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
Service Category