Message Alert:
The FCAA is open to the public. Read our COVID-19 alert to see what changes have been made in response to the crisis.
- Consumers, Investors & Pension Plan Members
- ConsumersInvestorsPension Plan Members
- Charity Donors
- Consumers hiring Mortgage Brokers, Administrators, Associates and Brokerages
- Consumers of Goods and Services
- Consumers using Real Estate Agents and Property Managers
- Consumers using Trust, Loan, Financing Corporations and Loan Brokers
- Credit Union Members
- Film Viewers
- Insurance Consumers
- Payday Loan Borrowers
- Regulated Businesses & Persons
- BusinessesPersons
- Auction Sales Companies and Auctioneers
- Cemeteries
- Charitable Fundraising Businesses
- Collection Agencies
- Credit Reporting Agencies
- Credit Unions and SaskCentral
- Direct/Door to Door Sellers
- Film and/or Video Exhibitor, Distributor or Retailer
- Insurance Companies, Special Brokers and Unlicensed Insurers
- Loan Brokers
- Mortgage Administrators
- Mortgage Brokerages
- Payday Lenders
- Pension Plans
- Securities Industry Participants
- Trust, Loan or Financing Corporations
- Vehicle Dealers
- What's New
- Videos
- About Us
- Legislation
- Contact Us
Financial and Consumer Affairs Authority of Saskatchewan
FCAA is Saskatchewan’s financial and consumer marketplace regulator.
Home > Securities Industry Participants > Securities Laws > Regulatory Instruments > Part 3 - Registration and Related Matters > Part 3 - Registration and Related Matters Archive > 31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)
31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)
-
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)
- Broker-Dealer Registration in the Exempt Market Dealer Category31_327csanotice_aug31_11.pdf
September 2, 2011
Outlines the concerns of CSA staff regarding firms registered as exempt market dealers carrying out brokerage activities for accredited investors.
- Broker-Dealer Registration in the Exempt Market Dealer Category
