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Exempt market dealer
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31	Government of Newfoundland and Labrador Department of Government Services Financial Services Regulation Division BLANKET ORDER NUMBER 58 Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2014-12-03 13:00:19 United States securities law Regulation D Finance Securities Act Financial system Accredited investor Exempt market dealer United States Securities and Exchange Commission Financial economics Investment
32	Blanket Order No. 11 IN THE MATTER OF THE SECURITIES REGULATIONS, 1991 (the "Regulation") MADE UNDER THE SECURITIES ACT R.S.N. 1990, CHAPTER S-13 (the "Act") AND IN THE MATTER OF Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2014-12-03 12:59:59 United States securities law SEC filings 73rd United States Congress United States Securities and Exchange Commission Securities Act Form D Mutual fund Exempt market dealer Financial economics Investment Finance
33	The Ontario Securities Commission OSC Bulletin December 11, 2014 Volume 37, Issue[removed]), 37 OSCB Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-12-12 10:32:00 Investment Law Ontario Securities Commission Corporation Business Exempt market dealer Finance
34	Government of Newfoundland and Labrador Department of Government Services Financial Services Regulation Division BLANKET ORDER NUMBER 60 Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2014-12-03 13:00:19 Exempt market dealer Collective investment schemes Financial services Mutual fund Regulation D Canadian Investment Manager Financial economics Investment Finance
35	Blanket Ruling No. 9 IN THE MATTER OF THE SECURITIES ACT, 1990 S.N. 1990, CHAPTER 48 ("the Act") and IN THE MATTER OF SUBSECTION[removed]OF THE ACT Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2014-12-03 12:59:58 New Deal Securities Act Financial regulation Financial economics Finance SEC filings Exempt market dealer Securities and Exchange Board of India Act United States securities law United States Securities and Exchange Commission 73rd United States Congress
36	The Ontario Securities Commission OSC Bulletin December 18, 2014 Volume 37, Issue[removed]), 37 OSCB Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-12-22 15:45:09 United States securities law 73rd United States Congress United States Securities and Exchange Commission Short selling Securities Act Securities Commission of New Zealand Exempt market dealer Ontario Securities Commission Principal protected note Finance Financial economics Business
37	Government of Newfoundland and Labrador Department of Government Services Financial Services Regulation Division BLANKET ORDER NUMBER 62 Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2014-12-03 13:00:20 73rd United States Congress Regulation D Securities Act Newfoundland and Labrador Financial regulation Finance Exempt market dealer United States Securities and Exchange Commission United States securities law Financial economics
38	Government of Newfoundland and Labrador Department of Government Services Financial Services Regulation Division BLANKET ORDER NUMBER 61 Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2014-12-03 13:00:20 Investment Finance New Deal Securities Act Regulation D Financial regulation Exempt market dealer United States Securities and Exchange Commission Financial economics United States securities law
39	Government of Newfoundland and Labrador Department of Government Services Financial Services Regulation Division BLANKET ORDER NUMBER 59 Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2014-12-03 13:00:19 Collective investment schemes Finance Exempt market dealer Institutional investors Regulatory compliance Mutual fund Chief compliance officer Financial economics Investment Financial services
40	Rules Notice Request for Comments Dealer Member Rules Contact: Doug Harris Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-12-18 10:21:03 Securities Corporate finance Investment Criminal law Due diligence Underwriting Initial public offering Exempt market dealer Diligence Financial economics Finance Business

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