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Exempt market dealer
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221	Microsoft Word[removed]Blanket[removed]doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:12 Financial economics Investment New Deal Securities Act Financial regulation Finance Exempt market dealer United States securities law United States Securities and Exchange Commission 73rd United States Congress
222	Raising Capital for Small & Mid-Size Businesses 2014 The Nova Scotia Securities Commission Add to Reading List Source URL: nssc.novascotia.ca Language: English - Date: 2014-07-07 12:29:08 Stock market Securities United States Securities and Exchange Commission Prospectus Canadian securities regulation Exempt market dealer Accredited investor Capital market Regulation D Financial economics Investment Finance
223	UnderstandingRegistration_EN.pub Add to Reading List Source URL: www.aretheyregistered.ca Language: English - Date: 2013-10-07 16:32:04 Financial services Finance Exempt market dealer Mutual fund Olio Financial economics Investment Collective investment schemes
224	OSC Staff Notice[removed]Compliance and Registrant Regulation Branch Annual Report Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:39:14 Financial services Collective investment schemes United States securities law Exempt market dealer Canadian securities regulation Securities Act Mutual fund Securities regulation in the United States Regulatory compliance Financial economics Investment Finance
225	2014 Annual Compliance Report Card British Columbia Securities Commission May 2014 INTRODUCTION Add to Reading List Source URL: bcsc.bc.ca Language: English - Date: 2014-05-22 15:21:24 Exempt market dealer Regulatory compliance Business Corporate governance Money United States corporate law United States securities law Finance Investment Financial economics
226	Microsoft Word[removed]Blanket Order[removed]doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:12 73rd United States Congress New Deal Securities Act United States securities law Finance Financial regulation Exempt market dealer Accredited investor Investment Financial economics United States Securities and Exchange Commission
227	CANADIAN SECURITIES ADMINISTRATORS IMPLEMENTATION OF STAGE 2 OF POINT OF SALE DISCLOSURE FOR MUTUAL FUNDS – DELIVERY OF FUND FACTS NOTICE OF AMENDMENTS TO NATIONAL INSTRUMENT[removed] Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-06-13 12:53:10 Collective investment schemes Funds Stock market Prospectus Mutual fund Exchange-traded fund Canadian securities regulation Exempt market dealer Financial economics Investment Financial services
228	CSA Staff Notice[removed]Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-01-09 13:04:20 Financial regulation Business Exempt market dealer Securities Canadian securities regulation Investment Industry Regulatory Organization of Canada Accredited investor Non-reporting issuer Investment Financial economics Finance
229	Microsoft Word - General Exemption Order[removed]doc Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-01 15:25:44 Collective investment schemes Finance Exempt market dealer Institutional investors Regulatory compliance Mutual fund Chief compliance officer Securities Act Financial economics Investment Financial services
230	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: 2014-10-01 15:25:46 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

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