This report is intended to only be utilized for reporting by broker-dealers, investment advisers, or qualified individuals. For reports by non-qualified individuals, please contact us by emailing
sfe@iid.iowa.gov or by calling 515-654-6600, option 5.
INSTRUCTIONS: Please complete the questions on the following page with as much detail as possible. This allows for a more efficient investigation and determination of an appropriate action. Pursuant to Iowa Code § 502.809, all records made available to the administrator shall be considered confidential public records under chapter 22 and shall not be available for examination by the public pursuant to Iowa Code section 22.2.
