Iowa Code § 502.501A - Prohibited transactions of broker-dealers and agents
Broker-dealers and agents must not use fraudulent or deceptive methods to trade or induce securities transactions, and must not recommend a security to a customer unless they have reasonable grounds to believe it is suitable.
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- United States — Iowa
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broker-dealer conduct customer suitability
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Iowa Code § 502.501A - Prohibited transactions of broker-dealers and agents
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