31-331 – Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)

31-331 – Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category (National Notice) (Withdrawn)

• Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category

  Introduces an Investment Industry Regulatory Organization of Canada Concept Paper published as IIROC Notice 12-0217.

  31_331_csa_notice_july_12_2012.pdf
• IIROC Notice 12-0217 Rules Notice Concept Paper Request for Comments

  Published for Comment:  July 12, 2012

  Comments due within 90 days of the date of this notice

  31_331_iiroc_notice_concept_paper_request_for_comments_july_12_2012.pdf