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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).
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Sanction Decision 14 June 2017Merits Decision 2 February 2017Amended Notice of Hearing 8 August 2016Settlement Agreement and Undertaking 3 March 2016 Notice of Hearing 11 December 2015
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