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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.

72-501 - Distribution of Securities to Persons Outside New Brunswick

Current Instruments

Category

7 - Securities Transactions Outside the Jurisdiction

No	Document	Type	Publication Date
72-501	Local Rule (Consolidated up to 4 July 2018)	Local Rule	04/07/2018
72-501	Companion Policy	Companion Policy	06/01/2014

History

No	Document	Type	Publication Date
72-501	CSA Notice and Request for Comment Proposed National Systems Renewal Program Rule and Related Amendments	CSA Notice	02/05/2019
72-501	Ministerial Consent	Ministerial Consent	04/07/2018
72-501	Amendment Instrument to LR 72-501	Amendments to Instrument	04/07/2018
72-501	Proposed amendments to LR 72-501	Local Notice	29/01/2018
72-501	Amendment Instrument	Amendments to Instrument	17/03/2016
72-501	Local Rule (Consolidated up to 17 March 2016)	Local Rule	17/03/2016
72-501	Ministerial Consent	Ministerial Consent	19/02/2016
72-501	CSA Notice of Amendments and Request for Comment Related to the Recognition of Aequitas NEO Exchange Inc.	CSA Notice	03/09/2015
72-501	Notice of Adoption of LR 72-501 Distribution of Securities to Persons Outside New Brunswick and Repeal of Local Policy 72-601	Local Notice	06/01/2014
72-501	Local Rule	Local Rule	06/01/2014
72-501	Notice and Request for Comment - Proposed LR 72-501 Distribution of Securities to Persons Outside New Brunswick, Companion Policy 72-501CP, and the proposed repeal of Local Policy 72-601	Local Notice	25/07/2013