Examples of MI 11-102 in a sentence
This section summarizes section 4A.1 of MI 11-102 and provides guidance for identifying a firm’s or individual’s principal regulator.
Making an NRD submission under subsection (3) satisfies the individual’s obligation under MI 11-102 to submit a completed Form 33-109F4.
If a firm or individual is registered in the same category in the principal jurisdiction and in the non-principal passport jurisdiction, MI 11-102 provides that a T&C imposed on the registration in the principal jurisdiction applies as if it were imposed in the non-principal passport jurisdiction.
Fees required for a firm or individual to register automatically in a non-principal passport jurisdiction under MI 11-102 are prescribed in the fee regulation of each jurisdiction.
In that case, the exemption applies automatically in the non-principal passport jurisdiction in which the firm or individual is registered automatically under MI 11-102 if certain conditions are met.