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Exempt market dealer
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131	Securities Act S.N.W.T. 2008, c. 10 Document Type: Implementing Rule Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:02:28 Canadian securities regulation Securities Act Constitutional amendment Financial regulation Financial economics Law Exempt market dealer United States Securities and Exchange Commission United States securities law Canadian law
132	CSA Staff Notice: [removed]Early Use of The Funds Facts to Satisfy Prospectus Delivery Requirements Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2013-01-03 16:27:15 Financial services Collective investment schemes Securities Prospectus Mutual fund Canadian securities regulation Short Independent Review Committee Exempt market dealer Financial economics Investment Finance
133	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and Exemption from Section 14.5 of National Instrument[removed]Registration Requirements and Exemptions Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:03:15 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
134	Microsoft Word - General Exemption Order[removed]doc Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:37 Collective investment schemes Finance Exempt market dealer Institutional investors Regulatory compliance Mutual fund Chief compliance officer Securities Act Financial economics Investment Financial services
135	SECURITIES ACT (YUKON) SUPERINTENDENT’S ORDER[removed]Y.S.A. AND EXEMPTION FOR MORTGAGE INVESTMENT ENTITIES FROM THE REQUIREMENT TO REGISTER AS INVESTMENT FUND MANAGERS AND ADVISERS Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:32 Finance Exempt market dealer Economics Securities Act Mortgage loan Dodd–Frank Wall Street Reform and Consumer Protection Act Investment Advisers Act Financial economics United States housing bubble Investment
136	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and - Exemption for Mutual Fund Dealers from subparagraph[removed]b)(i) of Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:02:57 Investment Business New Deal Securities Act United States Securities and Exchange Commission Money laundering Finance Exempt market dealer Financial economics United States securities law Financial regulation
137	Blanket Order No. 11 IN THE MATTER OF THE SECURITIES REGULATIONS, 1991 (the "Regulation") MADE UNDER THE SECURITIES ACT R.S.N. 1990, CHAPTER S-13 (the "Act") AND IN THE MATTER OF Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2010-02-04 09:50:15 United States securities law SEC filings 73rd United States Congress United States Securities and Exchange Commission Securities Act Form D Mutual fund Exempt market dealer Financial economics Investment Finance
138	Unofficial Consolidation of National Instrument[removed]and Companion Policy as of April 13, 2012 Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 19:13:30 Securities Act Non-reporting issuer Accredited investor Security Prospectus Bond Mutual fund Collective investment scheme Exempt market dealer Financial economics Investment Finance
139	The Ontario Securities Commission National Instrument[removed]National Instrument[removed]OSC Rule[removed]Supplement to the OSC Bulletin Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 19:12:00 Investment United States Securities and Exchange Commission United States securities law Exempt market dealer Securities Act Canadian securities regulation Security Prospectus Canadian Securities Administrators Financial economics Finance Stock market
140	Plain Blank Page (Normal.dot) Add to Reading List Source URL: www.securitiescanada.org Language: English - Date: 2014-08-07 12:18:43 Business Canadian law Investment Canadian securities regulation United States securities law Exempt market dealer Canadian Securities Administrators Securities Commission Securities Act Financial economics Finance Stock market

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