Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 33-802 Subject: Regulation of Certain Registrant Activities Effective Date: March 17, 2008 Rule 33-802 Implementing National Instrument 33-102 Regulation of Certain Registrant Activities...
In the matter of the Securities Act R.S.P.E.I. 1988, CAP. S-3.1 - and - In the matter of Registration Exemption Enabling a Corporation of an Individual Registrant of a Mutual Fund Dealer or Investment Dealer to Receive Directed Sales Commissions or Fees Whereas: A commission or...
In the matter of the Securities Act R.S.P.E.I. 1988, Cap. S-3.1 - and - In the matter of Calls to Residences by Registrants - Cold Calling Whereas: The Prince Edward Island Securities Office, having considered that to do so would not be prejudicial to the public interest, makes...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Local Rule Document No: 33-502 Subject: Scholarship Plan Dealers - Disclosure of Sales Charges Effective Date: March 17, 2008 Local Rule 33-502 Scholarship Plan Dealers - Disclosure of Sales Charges Part 1 Definitions 1.1...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Local Rule Document No: 33-501 Subject: Permanent Registration Effective Date: March 17, 2008 Local Rule 33-501 Permanent Registration Part 1 Definitions 1.1 In this Rule: “registered firm” means a person that is registered...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 32-501 Subject: Exemption from the dealer registration requirement and the adviser registration requirement in respect of trades and advice for U.S. resident clients Effective Date: August 13...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 31-803 Subject: Registration Requirements and Exemptions Effective Date: September 28, 2009 Rule 31-8032 Implementing National Instrument 31-103 Registration Requirements and Exemptions...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 31-802 Subject: National Registration Database Effective Date: March 17, 2008 Rule 31-802 Implementing National Instrument 31-102 National Registration Database Part 1 Definitions 1.1 In...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 31-801 Subject: Requirements Under the National Registration System Effective Date: March 17, 2008 Rule 31-801 Implementing National Instrument 31-101 Requirements Under the National...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 31-520 Subject: Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Effective Date: July 15, 2015...