exempt market dealer definition

exempt market dealer means a person or company registered in the category of exempt market dealer;

Examples of exempt market dealer in a sentence

  • It is registered with the Commission as an Investment Fund Manager (“IFM”), an Exempt Market Dealer (“EMD”) and a PM.

  • In accordance with the order, Skyline Apartment REIT, the Exempt Market Dealer and Skyline Incorporated paid an administrative penalty of $300,000 in the aggregate and an additional $150,000, representing a portion of the Commission staff’s costs in the matter.

  • Jason Castellan, Wayne Byrd, Roy (Jason) Ashdown, and Martin Castellan were trustees or directors and/or officers of Skyline Apartment REIT, the Exempt Market Dealer and/or Skyline Incorporated at the time.

  • Reliance on BC Instrument 32-517 The Class A Shares may be sold pursuant to the dealer registration exemption contained in BCI 32-517 which provides limited relief from the requirements to register as an Exempt Market Dealer for trade in a security in connection with a prospectus-exempt distribution provided that the dealer meets the requirements of BCI 32-517.

  • Assumes the maximum equity fee raise equal to 1% of the gross proceeds of this Offering may be paid to the Exempt Market Dealer.


More Definitions of exempt market dealer

exempt market dealer means a person or company registered in the category of exempt market dealer pursuant to NI 31-103;
exempt market dealer means a person who is registered in the category of “Exempt Market Dealer” under NI 31-103;
exempt market dealer means a person or company registered in the category of exempt market dealer under National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”);
exempt market dealer means a person or company registered in the category of exempt market dealer; “founder” means a person or company that,
exempt market dealer means a person or company registered as an exempt market dealer pursuant to NI 31-103;
exempt market dealer means Skyline Wealth Management Inc., a corporation governed by the laws of the Province of Ontario.