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10 Cards in this Set
- Front
- Back
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Which is not a registration category? |
Branch Manager. |
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What could be a consequence of failure to meet CE requirements? |
The registrant being placed under close supervision. |
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Which group is responsible for reviewing requests for exemptions to write or rewrite any required courses? |
The IIROC District Council in the province in which the applicant works. |
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What description below best describes the registration responsibilities of the UDP? |
The CEO of a dealer member or person in a similar position, approved to have overall responsibility for the dealer member’s compliance with laws and regulations, including IIROC Rules, governing its securities related activities. |
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Within what time period must a dealer report a registrant’s termination to NRD? |
10 days. |
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What does the “mobility exemption” permit dealer members to do? |
Permits dealer members and RRs to continue to deal with a client who moves to a Canadian jurisdiction in which they are not registered. |
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The “mobility exemption” under NI 31-103 permits dealer members and RRs to continue to deal with a client who moves to a Canadian jurisdiction in which they are not registered. What is the maximum number of clients an RR is entitled to under the “mobility exemption”? |
5 |
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What type of account is a U.S. resident permitted to continue to maintain in Canada? |
A RRSP. |
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If an applicant wishes to appeal a decision made by IIROC’s District Council, within how many days of the release of the decision must the applicant do this? |
10 business days. |
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In the event that a registration decision made by IIROC’s District Council is challenged, what party will review the appeal? |
IIROC’s Hearing Panel. |
