About Broker-Dealers and Broker Dealer Agents The Department of Financial Protection and Innovation
Content Still looking for a broker you can trust? About Broker-Dealers and Broker Dealer Agents Insuranceopedia Explains Broker/Dealer The details regarding registration are set forth in Iowa Code chapter 502 and Iowa Administrative Code 191.50(10) – 191.50(22). Registered Broker-Dealers are, as one would expect, subject to anti-fraud, anti-manipulation, and anti-money laundering provisions of the federal Securities laws. Discount …