Securities & Regulated Industries Information

The Consumer Advocate assists consumers in all areas under the authority of the Insurance Commissioner. One of those areas is Securities and Regulated Industries. The Iowa Securities & Regulated Industries Bureau provides investor protection through the administration and enforcement of the Iowa Uniform Securities Act, an act prohibiting misconduct and fraud in securities transactions and requiring the registration of broker-dealers, securities agents, investment advisors, and investment advisor representatives, and the registration of securities.

The bureau also administers:

• Motor Vehicle Service Contracts
• Prearranged Funeral Services and Merchandise
• Residential Service Contracts
• Congregate Care and Continuing Care Retirement Facilities
• Cemetery Merchandise
• Cemeteries

Investor Education Tips and Guides


Invest Smart

The Iowa Insurance Division provides investor education to Iowans. Speakers or presentations are also available upon request. For more information see the link below.

http://www.investsmartiowa.org/