WebThe Securities and Exchange Commission (“Commission”) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 203(f) of the Investment Advisers Act of 1940 (“Advisers Act”) against Charles G. Stivers (“Stivers” or “Respondent”). II. WebSecurities Bureau. The Iowa securities law is administered by the commissioner of insurance through the superintendent of securities. Chapter 502 of the Code of Iowa empowers the commissioner to regulate the sale of securities within the state of Iowa and provides for the licensing of securities salesmen and dealers.
SEC Whistleblower Receives $1.9 Million for Using Expertise to …
Web6 apr. 2024 · Investment Adviser Public Disclosure (IAPD) Search your investment professional's background. Enter their name in our Investment Adviser Public Disclosure … WebDebt securities issued by not-for-profit organizations are not exempt from securities registration based on provisions of K.S.A. 17-12a201(7)(C) and K.A.R. 81-4-4 and would … how to increase iron in babies
Iowa Legislature - Client Security Commission
Web27 mrt. 2024 · If the state does require the fund adviser to register, then it must register with the state’s securities commissioner and may also be required to file a truncated Form ADV with the SEC as an exempt reporting adviser if the private fund adviser has assets under management of $110 million or more. WebIowa Insurance Commissioner is the head of the IID located at 1963 Bell Avenue, Suite 100, Des Moines, IA 50315, the main phone number is 515-281-5705 but you can also use the following phone numbers: Commissioner of Insurance Phone Number: (515) 281-5705 Licensing Director: (515) 280-3014 Securities Bureau Chief Phone Number: (515) 281 … WebAn insurance commissioner (or commissioner of insurance) is a public official in the executive branch of a state or territory in the United States who, along with his or her office, regulate the insurance industry. The powers granted to the office of an insurance commissioner differ in each state. jonah white