Securities Law

33-515 - Exemption from financial statement, capital and bonding requirements for IDA members [BCI Amendment Advance Notice - Lapsed]

Published Date: 2009-07-17
Effective Date: 2009-09-28
Rescinded Date: 2009-09-25
Document(s):

Concurrently Published:

Appendix O

 

British Columbia Securities Commission

 

BC Instrument 33-515

Exemption from financial statement, capital and

 bonding requirement for IDA members

 

 

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 requirement for IDA members, dated June 25, 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.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  , 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, section 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.