Search
Go to the News search to search all news
Displaying 1 - 50 of 90.
Results
31-801 - Requirements Under the National Registration System
2017-08-11
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...
31-802 - National Registration Database
2017-08-11
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...
31-803 - Registration Requirements and Exemptions
2017-08-11
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...
32-501 (Blanket Order) - Dealer and Adviser Registration Requirement Exemption
2017-08-11
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...
33-501 - Permanent Registration
2017-08-11
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...
33-502 - Disclosure of Sales Charges
2017-08-11
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...
33-503 (Blanket Order) - Cold Calling
2017-08-11
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...
33-504 (Blanket Order) - Registration Exemption for Directed Sales Commissions or Fees
2017-08-11
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...
33-802 - Regulation of Certain Registrant Activities
2017-08-11
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...
33-805 - Underwriting Conflicts
2017-08-11
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...