Exempt market securities - PDFSEARCH.IO - Document Search Engine

Exempt market securities
Results: 389

#	Item
381	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
382	3 AAC[removed]GENERAL PROVISIONS RELATING TO SMALL CORPORATE OFFERINGS. (a) As an alternative to a registration procedure under this chapter, a corporation or limited liability company issuing securities that are exempt Add to Reading List Source URL: commerce.alaska.gov Language: English - Date: 2013-12-16 16:11:55 United States securities law Stock market Investment 73rd United States Congress Finance Securities Act Regulation D Security Securities regulation in the United States United States Securities and Exchange Commission SEC filings Financial economics
383	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
384	Susan Copland, B.Comm, LLB. Managing Director Secretary Ontario Securities Commission 20 Queen Street West Add to Reading List Source URL: iiac.ca Language: English - Date: 2014-06-19 16:23:37 Stock market Business Securities Non-reporting issuer Prospectus Crowd funding Security Exempt market securities Securities Act Financial economics Finance Investment
385	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
386	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
387	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
388	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
389	PDF Document Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 19:07:40 Exempt market dealer United States Securities and Exchange Commission Business Securities Act Canadian securities regulation Security Investment Financial economics Finance

UPDATE