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Exempt market dealer
Results: 401

#	Item
291	MFDA Comment National Instrument[removed]Registration Requirements and Exemptions – Request for Comment Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2012-01-04 16:32:43 Financial economics Exempt market dealer Canadian securities regulation Mutual Fund Dealers Association Canadian Securities Administrators Autorité des marchés financiers British Columbia Securities Commission Securities Commission International Financial Reporting Standards Finance Investment Business
292	NOTICE OF AND REQUEST FOR COMMENT ON PROPOSED AMENDMENTS TO NATIONAL INSTRUMENT[removed]REGISTRATION REQUIREMENTS AND EXEMPTIONS Registration of International and Certain Domestic Investment Fund Managers Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:11 Financial services Stock market Canadian law Canadian securities regulation Collective investment scheme Securities Act Security Prospectus Exempt market dealer Financial economics Investment Finance
293	Microsoft Word - Media_Alert_CVCA_EMDA_CROWDFUNDING_in_the_CANADIAN CONTEXT.doc Add to Reading List Source URL: www.cvca.ca Language: English - Date: 2013-02-06 09:49:47 Economics Exempt market dealer Crowd funding Venture capital Private equity Financial economics Finance Investment
294	Microsoft Word - 31_313_notice.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:11 Financial services Stock market Exempt market dealer United States Securities and Exchange Commission Accredited investor Securities Act Hedge fund Prospectus Security Financial economics Investment Finance
295	October 11, 2012 Rossana Di Lieto Vice President, Registration & Complaints Investment Industry Regulatory Organization of Canada Suite 2000, 121 King Street West Toronto, ON M5H 3T9 Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:11:58 Business Financial regulation Self-regulatory organizations Financial markets Canadian Investor Protection Fund Exempt market dealer Financial Industry Regulatory Authority Canadian securities regulation Investment Industry Regulatory Organization of Canada Financial economics Investment Finance
296	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and Exemption for Representatives of Scholarship Plan Dealers from Section 3.3 of National Instrument[removed]Registration Requirements and Exemption Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:03:25 Investment 73rd United States Congress New Deal Securities Act Financial regulation Finance Exempt market dealer United States securities law United States Securities and Exchange Commission Financial economics
297	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and Exemption for Advising Representatives of Portfolio Managers from Sections 3.5 and 3.9 of National Instrument[removed]Registration Requirements a Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:03:34 Exempt market dealer Collective investment schemes Financial services Mutual fund Canadian Investment Manager Financial economics Investment Finance
298	March 5, 2014 British Columbia Securities Commission Alberta Securities Commission Financial and Consumer Affairs Authority of Saskatchewan The Manitoba Securities Commission Ontario Securities Commission Add to Reading List Source URL: faircanada.ca Language: English - Date: 2014-03-06 11:59:27 Investment Business United States securities law Securities Canadian law Canadian securities regulation Exempt market dealer Investment Industry Regulatory Organization of Canada Canadian Securities Administrators Financial economics Financial regulation Finance
299	May 28, 2014 British Columbia Securities Commission Alberta Securities Commission Financial and Consumer Affairs Authority (Saskatchewan) Manitoba Securities Commission Ontario Securities Commission Add to Reading List Source URL: faircanada.ca Language: English - Date: 2014-05-28 17:09:48 Accredited investor Institutional investor Investor Non-reporting issuer Exempt market dealer Investment Financial economics Canadian securities regulation
300	IN THE MATTER OF THE SECURITIES ACT, S.N.W.T. 2008, c. 10, AS AMENDED - and Exemption in connection with transition and grandfathering matters from certain sections of National Instrument[removed]Registration Requirements Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2013-09-18 17:03:52 Finance New Deal Securities Act United States securities law Business Exempt market dealer Accredited investor Investment Financial economics United States Securities and Exchange Commission

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