Securities Instruments

Securities Instruments

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CSA Notice of Amendments - Related to the Recognition of Aequitas NEO Exchange Inc.

PDF • 197,37 Ko

CSA Notice of Amendments - Related to the Recognition of Aequitas NEO Exchange Inc.

PDF • 197,37 Ko

CSA Notice of Amendments - Related to the Recognition of Aequitas NEO Exchange Inc.

PDF • 197,37 Ko

CSA Notice of Amendments - Related to the Recognition of Aequitas NEO Exchange Inc.

PDF • 197,37 Ko

CSA Notice of Amendments - Related to the Recognition of Aequitas NEO Exchange Inc.

PDF • 197,37 Ko

CSA Notice of Amendments - Related to the Recognition of Aequitas NEO Exchange Inc.

PDF • 197,37 Ko

CSA Notice of Amendments - Related to the Recognition of Aequitas NEO Exchange Inc.

PDF • 197,37 Ko

11-801-2015-09-08.fr.pdf

PDF • 38,88 Ko

45-805 - Règle de mise en oeuvre TNO - Adoption de la Norme multilatérale 45-107 - Dispenses relatives à la déclaration d’inscription à la cote et la communication des droits d’action prévus par la loi

PDF • 17,92 Ko

33-810 - Règle de mise en oeuvre TNO - Adoption des modifications à la Norme canadienne - 33-105 - Conflits d’intérêts chez les placeurs

PDF • 14,41 Ko

32-504 - NWT Blanket Order - Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers (Revoked 2010-12-03)

PDF • 29,37 Ko

32-505 - NWT Blanket Order - Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers (Expired 2011-03-31)

PDF • 29,88 Ko

32-502 - NWT Blanket Order - Exemption from the Registration Requirement in National Instrument 31-103 Registration Requirements and Exemptions for Trades in Short-term Debt Instruments (Revoked 2011-10-03)

PDF • 31,03 Ko

31-512 - NWT Blanket Order - Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for IIROC Member Firms (Expired 2013-12-31)

PDF • 29,48 Ko

31-509 - NWT Blanket Order - Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for MFDA member firms (Revoked 2011-10-03)

PDF • 28,27 Ko

31-508 - NWT Blanket Order - Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for IIROC member firms (Revoked 2011-10-03)

PDF • 28,52 Ko

31-507 - NWT Blanket Order - Exemption for Mutual Fund Dealers from paragraph 13.2(2)(b) of National Instrument 31-103 Registration Requirements and Exemptions (Revoked 2010-11-05)

PDF • 52,42 Ko

32-511 - Ordonnance générale TNO - Dispense de l’obligation d’inscription à titre de courtier et de l’obligation d’inscription à titre de conseiller relativement aux activités de courtage et de conseil effectuées pour le compte de clients résidents des Ét

PDF • 33,36 Ko

32-510 - NWT Blanket Order - Exemption from the Registration Requirement in NI 31-103 for Trades in Short-term Debt Instruments (Expired 2015-07-11)

PDF • 25,67 Ko

CSA Staff Notice 11-329 - Withdrawal of Notices and Revocation of Omnibus/Blanket Orders

PDF • 50,35 Ko