NSSC Blog: Before You Invest

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Dec. 13, 2017

Question of the week: What is an investment dealer?

This week’s post in our series on the categories of registration looks at investment dealers. An investment dealer is an individual or a firm that can sell a wide range of investme...

Dec. 6, 2017

Question of the week: What is a mutual fund dealer?

This week our continuing series on the categories of registration looks at mutual fund dealers. A mutual fund dealer, as you may have guessed, is allowed to sell mutual funds. In c...

Nov. 29, 2017

Question of the week: What is an exempt market dealer?

Our look at categories of registration continues this week with exempt market dealers. An exempt market dealer is a firm or individual that sells or advises on exempt market produc...

Nov. 22, 2017

Question of the week: What is a scholarship plan dealer?

At the Nova Scotia Securities Commission, we regularly get questions about categories of registration. This includes questions surrounding what the categories are, and what they al...

Question of the week: What is an investment dealer?

Question of the week: What is a mutual fund dealer?

Question of the week: What is an exempt market dealer?

Question of the week: What is a scholarship plan dealer?

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