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Exempt market dealer
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181	PUBLICATION TEMPLATE_MASTER.doc Add to Reading List Source URL: www.stikeman.com Language: English - Date: 2014-10-20 11:15:25 Finance Securities United States Securities and Exchange Commission Prospectus Exempt market dealer Security Canadian securities regulation Non-reporting issuer Securities regulation in the United States Financial economics Stock market Investment
182	Policy Bulletin #0419-P - Proposed Consequential Amendments to MFDA Rules Resulting from National Instrument 31 – 103 Registration Requirements and Exemptions Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2012-01-24 15:36:36 Investment Business Canada Exempt market dealer Mutual Fund Dealers Association British Columbia Securities Commission Finance
183	Administrative Notice General Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-06-02 14:11:03 Securities Financial system Canadian Investment Manager Professional certification in finance Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada Canadian securities regulation Securities Act Exempt market dealer Financial economics Business United States Securities and Exchange Commission
184	Policy bulletin #0483-P - Proposed Amendments to NI[removed]Cost Disclosure and Performance Reporting) – Publication for Comment Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2011-06-22 12:38:13 Investment Exempt market dealer Canadian law Canadian securities regulation Finance
185	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: 2013-03-06 12:49:25 Financial economics Business Law Exempt market dealer Ombudsman for Banking Services and Investments Financial adviser Mediation Canadian securities regulation Investment Industry Regulatory Organization of Canada Finance Investment Dispute resolution
186	Plain Blank Page (Normal.dot) Add to Reading List Source URL: www.finance.alberta.ca Language: English - Date: 2014-07-07 15:57:56 Business Self-regulatory organizations Financial adviser Investment Industry Regulatory Organization of Canada Exempt market dealer Mutual Fund Dealers Association Corporation Investment Finance Financial economics
187	Consolidation of Multilateral Instrument[removed]as of July 5, 2012 and Consolidation of Companion Policy 32-102CP as of August 10, 2012 Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-09-14 08:57:22 Financial services Funds Collective investment schemes Security Net asset value Portfolio manager Hedge fund Exempt market dealer Financial economics Investment Finance
188	REPORT FROM THE PRESIDENT AND CEO This Annual Report outlines the steps we have taken over the past year to protect investors, foster fair, efficient, competitive capital markets and promote compliance Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-08-30 15:19:06 Business Self-regulatory organizations Investment Canadian law Canadian securities regulation Investment Industry Regulatory Organization of Canada Exempt market dealer International Organization of Securities Commissions High-frequency trading Financial economics Financial regulation Finance
189	Microsoft Word - 31_103_notice_rfc.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:11 Exempt market dealer Business Money Canadian Investment Manager Mutual Fund Dealers Association Canadian securities regulation Non-reporting issuer Investment Finance Financial economics
190	Policy Bulletin #0543-P - Restructuring of ROI Pooled Funds Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2012-10-12 16:26:26 Collective investment schemes Finance Institutional investors Exempt market dealer Mutual fund Hedge fund Financial adviser Financial economics Investment Financial services

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