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: 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...
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...
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...
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...
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: 33-809 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: 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: 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: 43-801 Subject: Standards of Disclosure for Mineral Projects Effective Date: March 17, 2008 Rule 43-801 Implementing National Instrument 43-101 Standards of Disclosure for Mineral...