Form 9 - Joint regulatory financial questionnaire and report [F - Rescinded]
| Published Date: | 1995-12-15 |
|---|---|
| Effective Date: | 1996-01-01 |
| Rescinded Date: | 2001-03-28 |
This is the form required under section 1 of the Securities Rules, with reference to the definition of "Joint Regulatory Financial Questionnaire and Report".
FORM 9
Securities Act
JOINT REGULATORY FINANCIAL QUESTIONNAIRE AND REPORT
INSTRUCTIONS
A broker, investment dealer, securities dealer, exchange contracts dealer or a person registered solely as an underwriter must file a Joint Regulatory Financial Questionnaire and Report relating to its latest financial year.
CONTENTS OF FORM
The Joint Regulatory Financial Questionnaire and Report must be in the form, as amended from time to time, required by the Canadian Investor Protection Fund and sponsoring self-regulatory organizations of the Canadian Investor Protection Fund.