31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)
Securities Division
4th Floor, 2365 Albert Street
Regina, SK, S4P 4K1
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31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)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.