31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)

31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)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

Agree Term