Securities Law

33-902F - Joint Regulatory Financial Questionnaire and Report [F]

Published Date: 2001-03-30
Effective Date: 2001-03-28
Document(s):
This is the form required under section 1 of the Securities Rules, with reference to the definition of “Joint Regulatory Financial Questionnaire and Report”.

BC FORM 33-902F (Previously 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.

Revised March 28, 2001