CSA release proposed amendments to registration rule exemptions for SRO members

Posted on May 13, 2011

The Canadian Securities Administrators released proposed amendments to National Instrument 31-103 Registration Requirements and Exemptions and its companion policy today that would add (and clarify), as a condition to the exemptions for SRO members/approved persons provided in sections 3.16, 9.3 and 9.4 of the Instrument, that the registered individual or investment dealer comply with the specified corresponding provision of IIROC or, in the case of a mutual fund dealer firm, the MFDA. The proposed amendments, which follow proposals published on April 15, are open to comment until July 18.

Tags: ,
Trackbacks (0) Links to blogs that reference this article Trackback URL
http://www.canadiansecuritieslaw.com/admin/trackback/248637
Comments (0) Read through and enter the discussion with the form at the end
Post A Comment / Question Use this form to add a comment to this entry.







Remember personal info?
Send To A Friend Use this form to send this entry to a friend via email.