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Exempt market securities
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71	List of Ontario Registrants as of December 16, [removed]SECURITIES INC. > Exempt Market Dealer Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-05-02 15:36:56 Collective investment schemes Finance Institutional investors Mutual fund Portfolio manager BlackRock Exempt market dealer Financial adviser Canadian Investment Manager Financial economics Investment Financial services
72	MFDA Policy Bulletin #0623-P - Approval of Phase 2 CRM2 Amendments to Rules[removed]Rates of Return), 5.3 (Client Reporting), 5.4 (Trade Confirmations) and MFDA Financial Questionnaire and Report (Form 1) Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2014-12-19 11:27:54 Canadian securities regulation Finance Investment Exempt market dealer
73	MFDA Rules as at December 19, 2014 Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2014-12-19 14:47:28 Exempt market dealer United States corporate law Business SEC filings Money United States securities law Finance Investment Financial economics
74	Notice of Exempt Securities Transactions Under AS[removed]b[removed]To be filed along with the required fee described at 3 AAC[removed]Please fill out this form and submit to: Securities Administrator Alaska Division Add to Reading List Source URL: www.commerce.state.ak.us Language: English - Date: 2014-03-13 12:13:09 Rescission Law Government United States securities law United States Securities and Exchange Commission Private law Contract law Security Stock market
75	Annual Summary Report for Dealers, Advisers and Investment Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-09-25 10:35:32 Financial regulation Business Exempt market dealer Securities Canadian securities regulation Investment Industry Regulatory Organization of Canada Ontario Securities Commission Accredited investor Non-reporting issuer Investment Financial economics Finance
76	Waiver Request for Exempt Securities Transactions Non-Issuer Transaction Under AS[removed]b)(9) (To be filed along with the fee required by 3 ACC[removed]Please fill out this form and submit to: Securities Administr Add to Reading List Source URL: www.commerce.state.ak.us Language: English - Date: 2014-07-10 17:40:59 Investment United States securities law United States Securities and Exchange Commission SEC filings Securities Finance Stock market Security Financial economics
77	Securities Commission Raising Capital for Small & Mid-Size Businesses Raising Add to Reading List Source URL: nssc.novascotia.ca Language: English - Date: 2014-05-08 08:13:01 Stock market Securities United States Securities and Exchange Commission Prospectus Exempt market dealer Canadian securities regulation Security Accredited investor Capital market Financial economics Investment Finance
78	NOTICE OF AMENDMENTS TO NATIONAL INSTRUMENT[removed]REGISTRATION REQUIREMENTS, EXEMPTIONS AND ONGOING REGISTRANT OBLIGATIONS NATIONAL INSTRUMENT[removed]REGISTRATION INFORMATION Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-10-16 14:42:52 Financial economics Exempt market dealer United States securities law Business 73rd United States Congress Securities Act Regulation D Securities regulation in the United States Canadian securities regulation Investment Finance United States Securities and Exchange Commission
79	CSA Notice of Approval Amendments to National Instrument[removed]Marketplace Operation October 23, 2014 I. Introduction The Canadian Securities Administrators (CSA or we) have made amendments to National Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-10-23 12:01:16 Finance Financial markets Security Stock market Canadian securities regulation Securities Act Markets in Financial Instruments Directive Investment Industry Regulatory Organization of Canada Exempt market dealer Financial economics Financial regulation Financial system
80	REGULATORY UPDATE TÊTE-À-TÊTE with the Ombudsman: Doug Melville Add to Reading List Source URL: www.obsi.ca Language: English - Date: 2014-05-14 11:25:55 Exempt market dealer Financial economics Legal professions Ombudsman for Banking Services and Investments Law Financial Ombudsman Service Economy of the Republic of Ireland Ombudsman Canadian securities regulation Finance Investment Dispute resolution

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