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Exempt market dealer
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91	CONFIDENTIAL when completed Revised July 30, 2010 Monthly Suppression of Terrorism and UN Sanctions Report Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:37 Investment Financial economics Regulation D SEC filings Business Money United States Securities and Exchange Commission Exempt market dealer Finance
92	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed] – Effective in Yukon: March 17, 2008 Form 33 – 109F6 Firm registration Who should complete this form? Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:39 Exempt market dealer United States securities law Business Money SEC filings United States Securities and Exchange Commission Canadian securities regulation Finance Investment Financial economics
93	Notice and Request for Comment: Proposed Amendments to NI[removed]Registration Requirements and Exemptions and to Companion Policy 31-103CP Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-31 15:33:35 Finance Business United States Securities and Exchange Commission United States corporate law Exempt market dealer Securities Act Canadian securities regulation Regulation S-K Christopher Cox Financial economics United States securities law Investment
94	OSC Staff Notice[removed]: 2011 Annual Summary Report for Dealers; Advisers and Investment Fund Managers Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:32:34 Financial services Canadian law Exempt market dealer Hedge fund Canadian securities regulation Collective investment scheme Securities regulation in the United States Non-reporting issuer Regulation S-K Financial economics Investment Finance
95	Rules Notice Concept Paper Request for Comments Dealer Member Rules Please distribute internally to: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-11-07 15:20:06 Self-regulatory organizations United States securities law Financial regulation Financial services Exempt market dealer Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial Industry Regulatory Authority Financial economics Finance Business
96	Microsoft Word - 31_505_order.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:12 Stock market United States securities law United States Securities and Exchange Commission Exempt market dealer Securities Act Prospectus Security Accredited investor Non-reporting issuer Financial economics Finance Investment
97	The Ontario Securities Commission National Instrument[removed]Registration Requirements Supplement to the OSC Bulletin February 23, 2007 Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 19:08:31 Investment United States Securities and Exchange Commission United States securities law Exempt market dealer Canadian law Canadian securities regulation Business Securities Act Canadian Securities Administrators Financial regulation Financial economics Finance
98	Registration Reform in Canada_The Finish Line is Here_July 2009 Add to Reading List Source URL: www.canadiansecuritieslaw.com Language: English - Date: 2009-08-24 12:55:27 Financial services Institutional investors Exempt market dealer Hedge fund Accredited investor Canadian securities regulation Mutual fund Security Non-reporting issuer Financial economics Investment Finance
99	CSA Staff Notice: [removed]Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2013-02-07 10:18:04 Business Investment Exempt market dealer Securities United States securities law Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial Industry Regulatory Authority Broker-dealer Financial economics Finance Self-regulatory organizations
100	Amended National Instrument[removed], National Instrument[removed]and OSC Rule[removed] Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 21:08:31 United States Securities and Exchange Commission United States securities law Exempt market dealer 73rd United States Congress Securities Act Business Canadian securities regulation Non-reporting issuer Investment Finance Financial economics

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