Regulated Industries

The Financial and Consumer Services Commission of New Brunswick is responsible for the regulation and enforcement of securities, insurance, pensions, credit unions, trust and loan companies, co-operatives, mortgage brokers, pay day lenders, real estate and a wider range of other consumer legislation. We regulate 44,000 industry participants who make their living working with New Brunswickers’ money. These industry participants handle more than $50 billion of New Brunswick consumers’ money.

Questions about your industry’s regulations and legislation? Proposed rule changes? Looking for bulletins and notices? If you operate a business in, or work in, one of these regulated industries, here’s where you’ll find answers.

35-101 - Conditional Exemption From Registration for United States Broker-Dealers and Agents

Category: 3 - Registration Requirements and Related Matters

Status:

Current Instruments:

No	Document	Type	Publication Date
35-101	National Instrument	National Instrument	16/05/2005
35-101	Companion Policy	Companion Policy	16/05/2005

History:

No	Document	Type	Publication Date
35-101	New Brunswick Implementing Instrument 35-801	Implementing Instrument	16/05/2005
35-101	Ministerial Consent	Ministerial Consent	04/05/2005

Topics

Fraud and Scams

Investing

Personal Finances

Real Estate

Insurance

Building a Business

Consumer Protections

Unclaimed Property

Book a Presentation

Regulated Industries

For Individuals

For Organizations

Industry Resources

35-101 - Conditional Exemption From Registration for United States Broker-Dealers and Agents

Current Instruments:

History: