35-101 – Conditional Exemption From Registration for United States Broker-Dealers and Agents (National Instrument)

35-101 – Conditional Exemption From Registration for United States Broker-Dealers and Agents (National Instrument)

• Conditional Exemption From Registration for United States Broker-dealers and Agents

  Effective Date: March 9, 2001.

  Provides U.S. broker-dealers and their agents with a conditional exemption from the applicable registration and prospectus requirements under Canadian securities legislation.

  35_101_ni_december_22_2000.pdf
• Companion Policy 35-101CP

  Effective Date: March 9, 2001.

  35_101_cp_december_22_2000.pdf
• Form 35-101F1 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer

  Effective Date: March 9, 2001.

  35_101_f1_december_22_2000.pdf
• Form 35-101F2 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer

  Effective Date: March 9, 2001.

  35_101_f2_december_22_2000.pdf