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Exempt market dealer
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101	National Instrument[removed]Registration Requirements and Exemptions and Consequential Amendments to Related Instruments Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 19:05:46 Financial services Collective investment schemes Exempt market dealer United States Securities and Exchange Commission Securities Act Security Mutual fund Financial adviser Non-reporting issuer Financial economics Investment Finance
102	UnderstandingRegistration_EN.pub Add to Reading List Source URL: www.securities-administrators.ca Language: English - Date: 2013-10-07 16:32:04 Financial services Finance Exempt market dealer Mutual fund Olio Financial economics Investment Collective investment schemes
103	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed]Instrument Initially Effective in Yukon: March 17, 2008 Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:37 Financial economics Exempt market dealer Registered representative Email Business Money United States securities law Investment Finance
104	Consequential changes to national instruments, multilateral instruments and companion policies Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 19:05:24 United States securities law United States Securities and Exchange Commission Exempt market dealer 73rd United States Congress Business Securities Act Security Financial economics Finance Investment
105	SECURITIES ACT (YUKON) SUPERINTENDENT’S ORDER[removed]Y.S.A. AND IN THE MATTER OF AN EXEMPTION FROM RESTRICTION ON PAYING COMMISSIONS AND FINDER FEES IN OFFERING MEMORANDUM EXEMPTION IN NATIONAL INSTRUMENT[removed]PROS Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:32 Securities 73rd United States Congress Finance Investment Stock market Securities Act Prospectus Exempt market dealer Non-reporting issuer Financial economics United States Securities and Exchange Commission United States securities law
106	Government of Newfoundland and Labrador Department of Government Services Financial Services Regulation Division BLANKET ORDER NUMBER 62 Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2011-01-11 08:59:23 73rd United States Congress Regulation D Securities Act Newfoundland and Labrador Financial regulation Finance Exempt market dealer United States Securities and Exchange Commission United States securities law Financial economics
107	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and - Relief from the requirement to establish whether a client is an insider under paragraph[removed]b) Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:03:06 Stock market Economics 73rd United States Congress Financial system New Deal Securities Act Insider trading Non-reporting issuer Exempt market dealer Financial economics United States securities law United States Securities and Exchange Commission
108	Microsoft Word - General Exemption Order[removed]doc Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:34 Investment 73rd United States Congress New Deal Securities Act Financial regulation Finance Exempt market dealer United States securities law United States Securities and Exchange Commission Financial economics
109	Microsoft Word - CSA SN[removed]FAQ Dec[removed]REVISED Dec[removed]FINAL.doc Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2010-01-04 17:36:54 Financial services Stock market Exempt market dealer United States Securities and Exchange Commission Accredited investor Securities Act Hedge fund Prospectus Security Financial economics Investment Finance
110	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and Exemption in connection with transition and grandfathering matters from certain sections of National Instrument[removed]Registration Requirements Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:03:52 Finance New Deal Securities Act United States securities law Business Exempt market dealer Accredited investor Investment Financial economics United States Securities and Exchange Commission

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