Should They Be On Your Product Shelf? - Robert Ironside

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The Exempt Market• An Exempt Market Security is one which isdistributed under an exemption from either:– The Prospectus Requirement– The Dealer Registration Requirement• The market where these instruments trade iscalled the Exempt Market• National Instrument 45-106 Prospectus andRegistration Exemptions (Sept 14, 2005)harmonized provincial rules18© 2011 Knowledge Bureau, Inc.
The Exempt Market• May be broadly classified according to:– The nature of the security– The nature of the investor– The nature of the trade19© 2011 Knowledge Bureau, Inc.
Page 2 and 3: The Exempt MarketRobert Ironside AB
Page 4 and 5: Funds Raised in the ExemptMarket: 2
Page 6 and 7: Reporting IssuersSource: B.C. Secur
Page 8 and 9: Location of Investors: 2010Source:
Page 10 and 11: Meet Ted• Ted is an entrepreneur
Page 12 and 13: Stage Two - Love Money• Once Ted
Page 14 and 15: Stage Four - Raising Money From the
Page 16 and 17: I.P.O.: BC Securities Act• 61 (1)
Page 23: Accredited Investors• An accredit
Page 26 and 27: Accredited Investors:Governments•
Page 28 and 29: Eligibility Advisor• An eligibili
Page 30 and 31: Offering Memorandum Exemption• No
Page 32 and 33: Eligible Investors• An eligible i
Page 34 and 35: National Instrument 31-103• Deale
Page 36 and 37: National Instrument 31-103:Dealer R
Page 38 and 39: Importance of the Exempt Market•
Page 40: • As Canada’s leading financial

Should They Be On Your Product Shelf? - Robert Ironside

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