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Exempt market dealer
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391	IN THE MATTER OF THE SECURITIES ACT, R.S.N.W.T. 1988, ch. S-5, AS AMENDED AMENDMENT NO. 1 TO BLANKET ORDER NO. 2 Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2003-08-11 10:25:58 73rd United States Congress Stock market Financial regulation Finance Securities Act Security Canadian securities regulation Exempt market dealer Non-reporting issuer United States Securities and Exchange Commission United States securities law Financial economics
392	IN THE MATTER OF THE SECURITIES ACT, R.S.N.W.T. 1988, ch. S-5, AS AMENDED AMENDMENT NO. 2 TO BLANKET ORDER NO. 2 Add to Reading List Source URL: www.justice.gov.nt.ca Language: English - Date: 2003-09-16 07:50:02 73rd United States Congress Stock market Investment Securities Act Finance Security Financial regulation Exempt market dealer Form 144 United States Securities and Exchange Commission United States securities law Financial economics
393	List of Ontario Registrants as of July 16, [removed]SECURITIES INC. > Exempt Market Dealer Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 18:38:34 Collective investment schemes Financial services Mutual fund Mutualism Portfolio manager BlackRock Exempt market dealer Exempt market securities Canadian Investment Manager Financial economics Investment Finance
394	Money Laundering Trends and Typologies in the Canadian Securities Sector © Her Majesty the Queen in Right of Canada, 2013 Catalogue No.: FD5-1/6-2013E-PDF ISBN: [removed] Add to Reading List Source URL: www.fintrac-canafe.gc.ca Language: English - Date: 2013-05-08 10:11:02 Business Financial crimes Financial Transactions and Reports Analysis Centre of Canada Public Safety Canada Finance Money laundering Securities fraud Canadian securities regulation Exempt market dealer Tax evasion Financial system Financial regulation
395	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: www.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
396	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: www.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
397	June 18, 2014 Susan Copland, LLB, BComm Director [removed] Denise Weeres Add to Reading List Source URL: iiac.ca Language: English - Date: 2014-06-19 16:22:33 Investment Securities Prospectus Offering circular Non-reporting issuer Exempt market dealer Financial economics Stock market Finance
398	2014 Annual Compliance Report Card British Columbia Securities Commission May 2014 INTRODUCTION Add to Reading List Source URL: www.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
399	Microsoft Word[removed]Prospectus and registration exemptions [NI] Add to Reading List Source URL: www.lycosasset.com Language: English - Date: 2010-04-12 21:36:24 Accredited investor Security Securities Act Mutual fund Prospectus Collective investment scheme Exempt market dealer Hedge fund Financial economics Investment Finance
400	National Instrument[removed]Registration Requirements and Exemptions Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 19:07:16 Finance United States securities law Business Exempt market dealer Canadian Investment Manager General Securities Representative Exam Securities Act Canadian securities regulation Patent attorney Professional certification in finance Financial economics Investment

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