Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 41-801 Subject: General Prospectus Requirements Effective Date: March 17, 2008 Rule 41-801 Implementing National Instrument 41-101 General Prospectus Requirements Part 1 Definitions 1.1...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 35-801 Subject: Conditional Exemption from Registration for United States Broker-Dealers and Agents Effective Date: March 17, 2008 Rule 35-801 Implementing National Instrument 35-101...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 33-809 Subject: Registration Information Effective Date: March 17, 2008 Rule 33-809 Implementing National Instrument 33-109 Registration Information Part 1 Definitions 1.1 In this Rule...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 33-805 Subject: Underwriting Conflicts Effective Date: March 17, 2008 Rule 33-805 Implementing National Instrument 33-105 Underwriting Conflicts Part 1 Definitions 1.1 In this Rule “NI...
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...