Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)

  • 31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)

    • Broker-Dealer Registration in the Exempt Market Dealer Category

      September 2, 2011

      Outlines the concerns of CSA staff regarding firms registered as exempt market dealers carrying out brokerage activities for accredited investors.

      31_327csanotice_aug31_11.pdf

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