EMDs and portfolio managers are against being forced to use OBSI as their dispute-resolution mechanism
The creation of a new registration category has been scrapped. New rules will be put in place to restrict the activities of EMDs
The CSA will be proposing rule amendments to prohibit EMDs from providing brokerage services
Regulator imposes conditions on another exempt market dealer, Trafalgar Associates
The National Exempt Market Association will be putting together educational programs, among other initiatives
Regulator proposes to revoke exemption which allow firms to trade in the exempt market with registering
Consultation deadline extended until March 8
Exemptions for both "crowdfunding" and offering memoranda are being considered by the Ontario regulators
While Ontario contemplates whether to expand prospectus exemptions, British Columbia is proposing to scrap one of its more contentious exempt- market provisions. The B.C. Securities Commission is proposing to revoke its so-called “Northwest” exemption, which allows firms to trade in the exempt market without registering. The controversial exemption was adopted by a handful of regulators […]
New name better reflects the group’s membership and mandate, NEMA president says