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Exempt market dealer
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151	How We Work IIROC’s regional roots run deep and its district Councils and policy RAISING THE BAR Vancouver Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-02-01 15:12:51 Investment Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian Investor Protection Fund Exempt market dealer Canadian securities regulation MF Global Financial economics Business Finance
152	SWJ Keynote Address – IIROC’s Regulatory Agenda Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-04-16 10:40:04 Investment Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Late-2000s financial crisis MF Global Exempt market dealer Non-reporting issuer Economics Financial economics Economic history
153	Advocis 390 Queens Quay West, Suite 209 Toronto, ON M5V 3A2 T[removed][removed]F[removed] Add to Reading List Source URL: www.advocis.ca Language: English - Date: 2010-09-02 14:46:24 Business Financial adviser Financial planner Investment Industry Regulatory Organization of Canada Registered Investment Advisor Exempt market dealer Finance Financial economics Investment
154	South Carolina Code of Regulations[removed]Exemptions for Certain Canadian Broker-Dealers. A. A broker-dealer that is registered in Canada and that does not have a place of business in this State shall be exempt from the Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:39 Financial system Broker-dealer Security Securities Act Self-regulatory organization Exempt market dealer Form 144 Financial economics United States securities law Finance
155	CSA Proposed National Instrument[removed]Registration Requirements Add to Reading List Source URL: www.advocis.ca Language: English - Date: 2008-06-03 14:54:34 Business Exempt market dealer Canadian securities regulation Financial adviser Financial Services Authority Financial planner Securities Commission Independent Financial Adviser Financial regulation Finance Investment Financial economics
156	Advocis 390 Queens Quay West, Suite 209 Toronto, ON M5V 3A2 T[removed][removed] Add to Reading List Source URL: www.advocis.ca Language: English - Date: 2013-03-18 13:10:32 Securities Stock market Non-reporting issuer Exempt market securities Exempt market dealer Prospectus Crowd funding Canadian securities regulation Security Financial economics Investment Finance
157	Table of Contents \| MDA \| Financials \| Security Insert ANNUAL REPORT 2012 – 2013 PROTECTING INVESTORS AND FOSTERING FAIR, EFFICIENT AND COMPETITIVE CAPITAL MARKETS ACROSS CANADA Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-09-04 10:00:09 Business Investment Self-regulatory organizations Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Exempt market dealer High-frequency trading International Organization of Securities Commissions Financial economics Finance Financial regulation
158	Microsoft Word - IIROC Strategic Plan - Jan[removed]As Approved by Board.doc Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-31 08:00:30 Investment Industry Regulatory Organization of Canada Securities Exempt market dealer Business Regulatory compliance Financial system Canadian securities regulation Financial economics Financial regulation Self-regulatory organizations
159	OSC Rule[removed]Fees and Companion Policy 13-502CP Fees Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 19:05:58 Financial economics Exempt market dealer Finance Canadian securities regulation Costs Business Maintenance fees Law Legal costs Investment
160	Ontario Securities Commission Commission des valeurs mobilières Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2013-10-10 16:53:25 Stock market Financial regulation United States securities law Exempt market dealer Securities Act Accredited investor Security Prospectus Short Financial economics Investment Finance

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