Securities
Real Estate
FIRB
Français
Home
About Us
News
Industry Contacts
Contact Us
Get Informed
Protect Yourself
How to Protect Yourself
Red Flags
Common Scams
Important Tips
Infographics
Investment Basics
Before you Invest
Getting Started
Types of Investments
Glossary
Resources & Downloads
Resources
Videos
Educational Links
Educational Programs
Make it Count
I'm Worth It
Recognize Investment Fraud
Complaints & Guidance
Alerts & Cautions
Hearings & Proceedings
File a Complaint
Enforcement Process
Investment Scam Complaints
Securities Complaints
Commodities Complaints
Real Estate Complaints
Other Regulators
Financial Loss Claim
Disciplined List
Registration
Who Needs to Register
Firms
Individuals
Getting Registered
Ongoing Requirements
Crowdfunding
Forms
List of Eligible Portals
Start-up Crowdfunding Guides
Search Registration
FAQs
Fees
Forms
Market Oversight
Compliance
Compliance and Registration
Ongoing Registrant Requirements
SRO Members
Compliance Reviews
Compliance Resources
Oversight
SROs and Clearing Agencies
Exchanges and ATSs
Compensation Funds
Other
Issuers
Reporting Issuer List
Corporate Finance
Insider Trade Reporting
Exempt Distributions
National Exemptions
Provincial Exemptions
Fees
Forms
Law & Policy
Currently selected
Hearings & Proceedings
Securities Law & Instruments
Request for Comments
The Acts
Fees
Forms
Unpaid Orders
Securities
UndermenuImage
Law & Policy
Decisions
>
Notices
>
Notice 2001-40
