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31-327 - Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)

  • 31-327 - Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)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

      Effective Date: 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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