Authorized Affiliate Certificate pursuant to subsection 3.1(2.1)) of National Instrument 33-109 Registration Information
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Notice of Ministerial Approval of OSC Rule 33-508 Extension to Ontario Instrument 33-507 Exemption From Underwriting Conflict Disclosure Requirements
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OSC Rule 33-508 Extension to Ontario Instrument 33-507 Exemption From Underwriting Conflict Disclosure Requirements
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Amendments to National Instrument 33-109 Registration Information
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Notice of Commission Approval of OSC Rule 33-509 Exemption From Underwriting Conflict Disclosure Requirements
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Unofficial Consolidation: Form 33-109F6 Firm Registration
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OSC Staff Notice 33-754 - Compliance and Registrant Regulation Branch Summary Report
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Unofficial Consolidation: National Instrument 33-105 Underwriting Conflicts - September 8, 2015
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Unofficial Consolidation: Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals
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Transcript: Roundtable Re: CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients (December 6, 2016)
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Notice and Proposed Rule: OSC Rule - 33-501 - Surrender of Registration
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Commission Approval of Rule: OSC Rule - 33-501 - Surrender of Registration
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Final Rule (effective April 7, 1998): OSC Rule - 33-501 - Surrender of Registration
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OSC Staff Notice 33-757 – Review of Restricted Dealer Crypto Asset Trading Platforms’ Compliance with the Account Appropriateness, Investment Limits and Client Limits Requirements
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CFA Registration Information Amendments - Dec 16, 2021 - Appendix C
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CFA Registration Information Amendments - Dec 16, 2021 - Appendix D
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Guide to Amendments to National Instrument 33-109: Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
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Notice of Commission Approval of OSC Rule 33-508 Extension to Ontario Instrument 33-507 Exemption from Underwriting Conflict Disclosure Requirements
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Registration Information Amendments – December 16, 2021 - Annex A – Summary of notable changes to the Proposals
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Registration Information Amendments – December 16, 2021 - Annex B – List of commenters and summary of comments on the Proposals and responses
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