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Exempt market dealer
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341	Policy Bulletin #0564-P - Implementation of Cost Disclosure, Performance Reporting and Client Statement Amendments to NI[removed] Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2013-04-03 15:04:07 Canadian securities regulation Exempt market dealer Canadian law Finance Investment
342	THE MANITOBA THE COMMODITY FUTURES ACT SECURITIES Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-03-26 10:01:03 United States securities law Financial markets Financial adviser Exempt market dealer Commodity Exchange Act Accredited investor Futures contract Commodity Futures Trading Commission U.S. Securities and Exchange Commission Financial economics Investment Finance
343	Bulletin #0568-P - Implementation of Amendments to National Instrument[removed]Cost Disclosure, Performance Reporting and Client Statements) Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2013-05-21 09:17:33 Investment Exempt market dealer Canadian law Canadian securities regulation Finance
344	Notice of Hearing[removed]Re: Robert James Thiessen and Wealth Advisory Services Ltd. Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2013-02-05 15:18:28 Financial regulation Exempt market dealer Financial services Institutional investors Mutual Fund Dealers Association Canadian securities regulation Securities regulation in the United States Mutual fund Accredited investor Financial economics Investment Finance
345	NOTICE AND REQUEST FOR COMMENT ON PROPOSED AMENDMENTS TO NATIONAL INSTRUMENT[removed]REGISTRATION REQUIREMENTS, EXEMPTIONS AND ONGOING REGISTRANT OBLIGATIONS AND TO Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-04 17:39:09 Financial services Collective investment schemes Securities Exempt market securities Exempt market dealer Canadian securities regulation Mutual fund Non-reporting issuer Regulation S-K Financial economics Investment Finance
346	PROVINCIAL/TERRITORIAL COUNCIL OF MINISTERS OF SECURITIES REGULATION (Council) PROGRESS REPORT January 2011 to December[removed]BACKGROUND Add to Reading List Source URL: www.securitiescanada.org Language: English - Date: 2012-03-05 16:00:04 Canadian law Canadian securities regulation Canadian Securities Administrators Non-reporting issuer Exempt market dealer Securities Commission Securities regulation in the United States Security Hedge fund Financial economics Investment Finance
347	CSA Staff Notice[removed]Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category July 12, 2012 Introduction On September 2, 2011, Canadian Securities Administrators (CSA or we) published CSA Staff Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-04 17:39:20 Financial system Investment United States securities law Exempt market dealer Financial regulation Canadian securities regulation Investment Industry Regulatory Organization of Canada Financial Industry Regulatory Authority Broker-dealer Financial economics Self-regulatory organizations Finance
348	Microsoft Word - kya - approval categories.doc Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-06-19 15:53:52 Securities Self-regulatory organizations Business Financial regulation Investment Industry Regulatory Organization of Canada Registered representative Canadian Investment Manager Exempt market dealer Financial economics United States securities law Finance
349	Securities Regulation[removed]Progress Report Add to Reading List Source URL: www.securitiescanada.org Language: English - Date: 2014-08-07 12:18:43 Canadian law Finance Investment Canadian securities regulation Canadian Securities Administrators Exempt market dealer Securities regulation in the United States U.S. Securities and Exchange Commission International Financial Reporting Standards Financial regulation Business Financial economics
350	NOTICE AND REQUEST FOR COMMENT ON PROPOSED AMENDMENTS TO NATIONAL INSTRUMENT[removed]REGISTRATION REQUIREMENTS, EXEMPTIONS AND ONGOING REGISTRANT OBLIGATIONS AND TO COMPANION POLICY 31-103CP Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-04 17:39:06 Investment Legal professions Exempt market dealer Mediation Sociology Ombudsman for Banking Services and Investments Ombudsman Autorité des marchés financiers Canadian securities regulation Dispute resolution Law Finance

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