FCAA is Saskatchewan’s financial and consumer marketplace regulator.
Home > Securities Industry Participants > Securities Laws > Regulatory Instruments > Part 3 - Registration and Related Matters > 31 - Registration Requirements > 31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
September 2, 2011
Outlines the concerns of CSA staff regarding firms registered as exempt market dealers carrying out brokerage activities for accredited investors.