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Exempt market dealer
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121	Microsoft Word - General Exemption Order[removed]doc Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:40 Financial economics Investment Finance Securities Act Financial regulation Exempt market dealer Non-reporting issuer United States securities law United States Securities and Exchange Commission 73rd United States Congress
122	Microsoft Word - Final_AMF_ Response Letter_March_2012_v4.doc Add to Reading List Source URL: www.lautorite.qc.ca Language: English - Date: 2012-04-04 18:14:01 Financial services Collective investment schemes Finance Canadian securities regulation Exempt market dealer Autorité des marchés financiers Mutual Fund Dealers Association Mutual fund Insurance Financial economics Investment Institutional investors
123	Proposed Amendments: NI[removed]Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-11-15 10:47:10 Law Legal professions Exempt market dealer Mediation Sociology Ombudsman for Banking Services and Investments Ombudsman Canadian securities regulation Ethics Dispute resolution Finance Investment
124	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and Exemption for Advising Representatives of Portfolio Managers from Sections 3.5 and 3.9 of National Instrument[removed]Registration Requirements a Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:03:34 Exempt market dealer Collective investment schemes Financial services Mutual fund Canadian Investment Manager Financial economics Investment Finance
125	THE MANITOBA SECURITIES COMMISSION NOTICE[removed]THE COMMODITY FUTURES ACT – PUBLICATION FOR COMMENT On December 5, 2013 The Manitoba Securities Commission, along with other members of the Canadian Securities Administr Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-03-03 12:24:57 Futures contract Securities Commission Financial economics Finance Investment SEC filings United States securities law Exempt market dealer Canadian Securities Administrators Canadian securities regulation Financial regulation
126	INVESTING IN EXEMPT MARKET SECURITIES Registered Plans & TFSA Division Registered Plans/TFSA Eligibility  Add to Reading List Source URL: fr.olympiatrust.com Language: English - Date: 2014-03-12 16:39:50 Finance Banking in Canada Tax-Free Savings Account Exempt market securities Financial adviser Security Registered Retirement Savings Plan Mutual fund Exempt market dealer Financial economics Investment Taxation in Canada
127	Government of Newfoundland and Labrador Department of Government Services Financial Services Regulation Division BLANKET ORDER NUMBER 61 Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2011-01-11 08:59:23 Investment Finance New Deal Securities Act Regulation D Financial regulation Exempt market dealer United States Securities and Exchange Commission Financial economics United States securities law
128	Monthly Suppression of Terrorism and UN Sanctions Report Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 18:30:48 Investment Financial economics Regulation D SEC filings Business Money United States Securities and Exchange Commission Exempt market dealer Finance
129	Government of Newfoundland and Labrador Department of Government Services Financial Services Regulation Division BLANKET ORDER NUMBER 58 Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2011-01-11 08:59:23 United States securities law Regulation D Finance Securities Act Financial system Accredited investor Exempt market dealer United States Securities and Exchange Commission Financial economics Investment
130	Microsoft Word - General Exemption Order[removed]doc Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:36 Exempt market dealer Collective investment schemes Financial services Mutual fund Canadian Investment Manager Financial economics Investment Finance

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