Iowa Chapter 39 — Client Security Commission is a state agency that provides oversight and protection of consumer investments. The Commission is responsible for investigating, resolving, and preventing complaints related to securities and investment professionals operating in Iowa. It also ensures that investment advisors, brokers, and other financial professionals are properly registered and comply with Iowa laws and regulations. The Commission is made up of three divisions: the Compliance Division, the Investigations Division, and the Administrative Division. The Compliance Division works to ensure that the securities' industry is following all applicable state and federal laws and regulations. This includes registering and licensing securities firms, investigating securities violations, and enforcing the Iowa Uniform Securities Act. The Investigations Division investigates securities fraud and misconduct. This includes conducting investigations of potential violations, developing and presenting cases to the Commission, and working with law enforcement agencies. The Administrative Division is responsible for maintaining records, ensuring compliance with state and federal laws, and providing administrative support to the Commission.
Iowa Chapter 39 — Client Security Commission is a state agency that provides oversight and protection of consumer investments. The Commission is responsible for investigating, resolving, and preventing complaints related to securities and investment professionals operating in Iowa. It also ensures that investment advisors, brokers, and other financial professionals are properly registered and comply with Iowa laws and regulations. The Commission is made up of three divisions: the Compliance Division, the Investigations Division, and the Administrative Division. The Compliance Division works to ensure that the securities' industry is following all applicable state and federal laws and regulations. This includes registering and licensing securities firms, investigating securities violations, and enforcing the Iowa Uniform Securities Act. The Investigations Division investigates securities fraud and misconduct. This includes conducting investigations of potential violations, developing and presenting cases to the Commission, and working with law enforcement agencies. The Administrative Division is responsible for maintaining records, ensuring compliance with state and federal laws, and providing administrative support to the Commission.
