BCN 2011/36 - Notice of Amended BC Interpretation Note 33-705 Conditions of Registration for Investment Dealers with a BC Office that Trade in the U.S. Over-the-Counter Markets [BCN]
| Published Date: | 2012-01-03 |
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Concurrently Published:
The BCSC is amending BC Interpretation Note 33-705 Conditions of Registration for Investment Dealers with a BC Office that Trade in the U.S. Over-the-Counter Markets.
On June 13, 2008, the BCSC imposed conditions of registration on all investment dealers that trade in securities of OTC issuers through an office in British Columbia. The conditions were part of the Commission’s response to abusive practices in U.S. over-the-counter markets.
The BCSC renewed the conditions until December 31, 2014. The amendments to BCIN 33-705 reflect that renewal.
You may refer questions to:
Meg Tassie
Senior Advisor, Capital Markets Regulation
British Columbia Securities Commission
(604) 899-6819
(800) 373-6393 (toll free across Canada)
Mark Wang
Manager, Legal Services
British Columbia Securities Commission
(604) 899-6658
(800) 373-6393 (toll free across Canada)
December 22, 2011
Paul C. Bourque, Q.C.
Executive Director