Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

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: in Saskatchewan 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.pdf
    • Companion Policy 35-101CP

      Effective Date: in Saskatchewan March 9, 2001.

      35_101_cp.pdf
    • Form F1 - Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer

      Effective Date: in Saskatchewan March 9, 2001.

      35_101_f1.pdf
    • Form F2 - Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer

      Effective Date: in Saskatchewan March 9, 2001.

      35_101_f2.pdf

Agree Term