31-501 - Registration of Brokers and Investment Dealers [BCI - Rescinded]
| Published Date: | 1999-12-03 |
|---|---|
| Effective Date: | 1999-11-26 |
| Rescinded Date: | 2003-03-27 |
The British Columbia Securities Commission, having considered that to do so would not be prejudicial to the public interest, orders that Blanket Order 31-501 (BC) entitled "Registration of Brokers and Investment Dealers" is issued as set out in the attached Schedule.
DATED at Vancouver, British Columbia, on November 26, 1999.
Douglas M. Hyndman
Chair
(This part for administrative purposes only and is not part of the Order)
Authority under which Order is made:
Act and sections:- Securities Act, section 187
Other (specify):-
SCHEDULE
Order Under Section 187 of the Securities Act
PART 1 EXEMPTION ORDER
1.1 Section 3 (3) of the Registration Transfer Rules - Section 3 (3) of the Registration Transfer Rules does not apply to a person that is registered, or has applied for registration or renewal, reinstatement or amendment of registration, with the Vancouver Stock Exchange or the Canadian Venture Exchange Inc. and that wishes to apply for registration or renewal, reinstatement or amendment of registration with the Pacific District of the Investment Dealers Association of Canada.
1.2 Section 3 (5) of the Registration Transfer Rules - Section 3 (5) of the Registration Transfer Rules does not apply to a registrant that is to be restricted to trading through the trading systems of the Canadian Venture Exchange Inc.
PART 2 EFFECTIVE DATE
This Blanket Order is effective at 11:59 p.m. (Mountain Standard Time) on November 26, 1999.