Iowa Code » Chapter 502 — UNIFORM SECURITIES ACT
Iowa Code

Iowa Code § 502.301 (2026)

Securities registration requirement

✓ current as of July 2026
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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 \n

Notes of Decisions
Cited in 6 cases (1 in the last 5 years), 1980–2022 · leading case: State Ex Rel. Miller v. Pace, 677 N.W.2d 761 (Iowa 2004).
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State Ex Rel. Miller v. Pace, 677 N.W.2d 761 (Iowa 2004). · cites it 10× “-Pace was informed that the broker-dealer and agent licensing requirements -of section 502.301 may also have been violated, which could result in civil and criminal penalties.”
Aviva Life & Annuity Co. v. Davis, 20 F. Supp. 3d 694 (S.D. Iowa 2014). · cites it 2× “509 (2) of the Iowa Securities Act, 10 which states as follows: *709 A person is bable to the purchaser if the person sells a security in violation of section 502.301 or, by means of an untrue statement of a material fact or an omission to state a material fact necessary in…”
Sergeant v. Leonard, 312 N.W.2d 541 (Iowa 1981). · cites it 2× “Part III of the same chapter of the Code authorizes registration of broker-dealers, and section 502.301(1) provides: It is unlawful for any person to transact business in this state as a broker-dealer or agent unless registered under this chapter.”
Economou v. Wade, 515 F. Supp. 813 (S.D. Iowa 1980). “§ 502.301 provides: 502.301 Registration requirement.”
Anthony Weber & Jerrold Rothous v. Iowa Ins. Div. (Iowa Ct. App. 2022). · cites it 4× “”14 While a joint-venture interest is ordinarily not an investment contract, “economic reality prevails over form.”15 Relying on federal law, our supreme court adopted a three-part test to identify an investment contract: 1.”
Blinder, Robinson & Co. v. Goettsch, 431 N.W.2d 336 (Iowa 1988). · cites it 2× “Iowa Code section 502.301 requires the registration of broker-dealers, such as Blinder, Robinson & Co.”
— Iowa Code § 502.301(1) — 2 cases
Sergeant v. Leonard, 312 N.W.2d 541 (Iowa 1981). “Part III of the same chapter of the Code authorizes registration of broker-dealers, and section 502.301(1) provides: It is unlawful for any person to transact business in this state as a broker-dealer or agent unless registered under this chapter.”
State Ex Rel. Miller v. Pace, 677 N.W.2d 761 (Iowa 2004). “-Pace was informed that the broker-dealer and agent licensing requirements -of section 502.301 may also have been violated, which could result in civil and criminal penalties.”
— Iowa Code § 502.301(3) — 1 case
Anthony Weber & Jerrold Rothous v. Iowa Ins. Div. (Iowa Ct. App. 2022). “”14 While a joint-venture interest is ordinarily not an investment contract, “economic reality prevails over form.”15 Relying on federal law, our supreme court adopted a three-part test to identify an investment contract: 1.”
— Iowa Code § 502.301(l)(a) — 1 case
State Ex Rel. Miller v. Pace, 677 N.W.2d 761 (Iowa 2004). “-Pace was informed that the broker-dealer and agent licensing requirements -of section 502.301 may also have been violated, which could result in civil and criminal penalties.”
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