...to meet disclosure requirements or as a result of an enforcement action that involves an investigation of potential wrongdoing. The purpose of the National CTO Database (CTO Database) is twofold:...
...to meet disclosure requirements or as a result of an enforcement action that involves an investigation of potential wrongdoing. The purpose of the National CTO Database (CTO Database) is twofold:...
...these changes. Subject to obtaining all necessary approvals, the amended registration regime will come into force in all jurisdictions on July 11, 2011. The revised National Registration Rules and related...
The legacy CTO Database used the CUSIP number as a security identifier. These numbers are assigned to securities trading in Canada and the United States. In SEDAR+, CUSIP numbers may...
...first step toward building a positive working relationship.” To assist investors, the CSA offers the National Registration Search – a free online tool that makes it quick and easy to...
...and Nova Scotia. On February 27, 2020, the CSA published for comment National Instrument 45-110 Start-Up Crowdfunding Registration and Prospectus Exemptions (the Proposed National Instrument), which will replace and harmonize...
Vancouver – The Canadian Securities Administrators (CSA) today published for comment Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration (collectively, the Proposed Instrument). The Proposed Instrument establishes...
...registration of any individual or firm offering an investment opportunity.” The CSA has provided investors with a tool, the National Registration Search, that is quick and easy to use. Registration...
...Regulator’s websites. Quick Links to NRD based Rules 31-102 – National Registration Database 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations 33-109 – Registration Information Requirements 33-109 – Forms...
...follow these three easy steps: 1. Check registration and any disciplinary information of the person or company selling or advising about securities. The CSA National Registration Search (NRS) is a simple,...