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Exempt market dealer
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201	Membership Information Bulletin 0113-M - Requirements for the sale of certain deposit note securities by MFDA Members in Manitoba Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2008-05-21 14:55:31 Mutual Fund Dealers Association Financial services Institutional investors Mutual fund Exempt market dealer Financial economics Investment Finance
202	CSA Staff Notice: [removed]Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument[removed]Registration Requirements, Exemptions and Ongoing Registrant Obligations Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-05-29 11:06:27 Securities Business Financial regulation Investment Industry Regulatory Organization of Canada Non-reporting issuer Exempt market dealer Financial economics Finance Investment
203	Policy Bulletin #0149-P - Argyle Funds SPC Inc. Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2008-05-21 14:55:57 Finance Stock market Business Prospectus Investment Exempt market dealer Financial economics Securities Mutual Fund Dealers Association
204	IN THE MATTER OF THE YUKON BUSINESS CORPORATIONS ACT R.S.Y., 2002, c.20, as amended -andIN THE MATTER OF GOLD RESERVE INC. (the "CORPORATION") SUPERINDENDENT’S ORDER[removed]03_YBCA__ ORDER EXEMPTING COMPLIANCE WITH SECT Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-02 12:47:44 Corporation Corporations law Yukon Structure Exempt market dealer Types of business entity Business Business law
205	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed] – Effective in Yukon: March 17, 2008 Form 33 – 109F6 Firm registration Who should complete this form? Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-02 12:49:57 Exempt market dealer United States securities law Business Money SEC filings United States Securities and Exchange Commission Canadian securities regulation Finance Investment Financial economics
206	The Investment Industry Regulatory Organization of Canada, or “IIROC,” is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-01-02 10:59:32 Investment Self-regulatory organizations Business Investment Industry Regulatory Organization of Canada Securities Financial adviser Ombudsman for Banking Services and Investments Exempt market dealer Universal Market Integrity Rules Financial regulation Financial economics Finance
207	Microsoft Word - MFDADOCS-#[removed]v1-MSN-0028_-_Out_of_Province_Registration.doc Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2013-03-04 15:38:34 Business Exempt market dealer Mutual Fund Dealers Association Finance Investment
208	LIST OF SECURITIES DESIGNATED TO BE EXCLUDED FROM THE DEFINITION OF AN “EXEMPT EXCHANGE-TRADED FUND” Effective January 8, 2010, the Universal Market Integrity Rules (“UMIR”) were amended to 1 replace the term “ Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-02-27 13:38:47 Financial services Collective investment schemes Institutional investors Exchange-traded fund Mutual fund Basket Security Net asset value Exempt market dealer Financial economics Investment Funds
209	2009 Compliance Risk Assessment Questionnaire Limited Market Dealers Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:45:14 United States securities law Securities Exempt market dealer Hedge fund Prospectus Securities Act Business Financial economics Investment Finance
210	IN THE MATTER OF THE YUKON BUSINESS CORPORATIONS ACT R.S.Y., 2002, Chapter 20, as amended AND IN THE MATTER OF GOLD RESERVE INC. (the "CORPORATION") SUPERINDENDENT’S ORDER 2014/10_ YBCA_ Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-08 15:11:20 Business law Corporation Corporations law Private law Investment Exempt market dealer Types of business entity Business Law

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