31-324 – Exempt Market Dealers and Account Statement Requirements in NI 31-103 (National Notice)

31-324 – Exempt Market Dealers and Account Statement Requirements in NI 31-103 (National Notice)

• Exempt market dealers and account statement requirements in National Instrument 31-103

  Effective Date: June 22, 2011.

  Sets out CSA staffs' expectation for exempt market dealers' compliance with the account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions.

  31_324_csa_staff_notice_june_22_2011.pdf