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 > 31-331 – Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)
31-331 – Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)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
31-331 – Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)
- Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category31_331_csa_notice_july_12_2012.pdf
Introduces an Investment Industry Regulatory Organization of Canada Concept Paper published as IIROC Notice 12-0217.
- IIROC Notice 12-0217 Rules Notice Concept Paper Request for Comments31_331_iiroc_notice_concept_paper_request_for_comments_july_12_2012.pdf
Published for Comment: July 12, 2012
Comments due within 90 days of the date of this notice
- Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category
