Securities Law

33-515 - Exemption from capital and bonding requirements for Investment Industry Regulatory Organization of Canada members [BCI]

Published Date: 2009-09-25
Effective Date: 2009-09-28
Document(s):

Concurrently Published:

British Columbia Securities Commission

BC Instrument 33-515


The Executive Director, considering that to do so would not be prejudicial to the public interest, orders that effective September 28, 2009, BC Instrument 33-515 entitled Exemption from financial statement, capital and bonding requirements for IDA members, dated June 21, 2005 is revoked and the attached BC Instrument 33-515 Exemption from capital and bonding requirements for Investment Industry Regulatory Organization of Canada members is made.

 

September 17, 2009


Brenda M. Leong
Executive Director


(This part for administrative purposes only and is not part of the Order)

Authority under which Order is made: 
Act and sections:- Securities Act, sections 48(1) and 171
Other (specify):-
 

 

BC Instrument 33-515

Exemption from capital and bonding requirements for
Investment Industry Regulatory Organization of Canada members


Order under Section 48(1) of the Securities Act


A registrant that is a member of the Investment Industry Regulatory Organization of Canada (IIROC) is exempt from sections 19(1), 19(2), 21 and 22 of the Securities Rules if it complies with the bylaws, rules, or other regulatory instruments and policies of IIROC relating to capital and bonding.