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 31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)
31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)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31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)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