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Self-regulatory organization
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#	Item
501	CSA Staff Notice [XX-XXX] Summary of Consultation Findings on CSA Consultation Paper[removed]: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-12-18 16:39:24 Business Money Canadian law Economics Financial adviser Investment Policy Statement Canadian securities regulation International Organization of Securities Commissions Self-regulatory organization Finance Financial regulation Investment
502	Microsoft Word - 21_101_am_msc_rule_2009_20.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:45 Auditing Corporate governance Business Financial regulation Security Finance Audit committee Self-regulatory organization Securities Act United States securities law 73rd United States Congress United States Securities and Exchange Commission
503	NASAA Insight The Voice of State & Provincial Securities Regulation Fall 2011 NASAA Voices Opposition to Investment Adviser SRO Irwin, chair of NASAA’s Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-08-21 21:51:27 Finance Financial system North American Securities Administrators Association U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organization Securities regulation in the United States Registered Investment Advisor Investor education United States securities law Financial regulation Financial economics
504	NASAA Insight The Voice of State & Provincial Securities Regulation Spring 2011 NASAA Offers Pro-Investor Legislative Agenda for regulation for Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-08-21 21:51:58 Finance Financial system North American Securities Administrators Association Securities regulation in the United States Dodd–Frank Wall Street Reform and Consumer Protection Act Investment Advisers Act Securities Act Self-regulatory organization Financial Industry Regulatory Authority United States securities law Financial economics Financial regulation
505	FORM 33-109F1NOTICE OF TERMINATION OF REGISTERED INDIVIDUALS AND PERMITTED INDIVIDUALS (section 4.2) Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:46:19 Autorité des marchés financiers British Columbia Securities Commission Ontario Securities Commission Provinces and territories of Canada Securities Commission of New Zealand Government Regulation S-K United States securities law Financial regulation Self-regulatory organization
506	FORM 33-109F5 CHANGE OF REGISTRATION INFORMATION GENERAL INSTRUCTIONS 1. This notice must be submitted when notifying a regulator of changes to Form 3 or Form 4 information in accordance Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:46:01 United States securities law Ontario Securities Commission Self-regulatory organization British Columbia Securities Commission Form 4 Securities Commission of New Zealand Financial system Canadian securities regulation United States Securities and Exchange Commission Financial regulation SEC filings Government
507	Form 33-109F5 - Change of Registration Informatio Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 21:36:20 Self-regulatory organization British Columbia Securities Commission Ontario Securities Commission Provinces and territories of Canada Securities Commission Financial regulation 73rd United States Congress United States Securities and Exchange Commission SEC filings United States securities law Autorité des marchés financiers Government
508	FORM 33-109F2 CHANGE OR SURRENDER OF INDIVIDUAL CATEGORIES Enter the following information using the online version of this submission at the NRD web site (www.nrd.ca). If the NRD filer is relying on the temporary hardsh Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:45:58 United States securities law Financial regulation Canada Financial system Canadian securities regulation Canadian Securities Administrators Finance Investment British Columbia Securities Commission Securities Commission Self-regulatory organization
509	FORM 33-506F5 CHANGE OF REGISTRATION INFORMATION (sections 3.1 and[removed]GENERAL INSTRUCTIONS Complete and submit this form to notify the relevant regulator(s) or, in Québec, the securities regulatory authority, or self Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 21:25:09 Ontario Securities Commission Autorité des marchés financiers British Columbia Securities Commission Self-regulatory organization Securities Commission Investment Industry Regulatory Organization of Canada Canadian securities regulation Securities Exchange Act Financial regulation Financial system Government
510	PDF Document Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-11-08 14:29:00 Financial regulation Financial system Self-regulatory organization Settlement Business Derivative Finance Securities Financial economics

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