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Form 33 109f4

Form 33 109f4

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Is also used if you are seeking to be reviewed as a permitted individual. A post office box is not acceptable as a valid business location address. Terms In this form: “Approved person” means, in respect of a member (Member) of the Investment Industry Regulatory Organization of Canada (IIROC), an individual who is a partner, director, officer, employee or agent of a Member who is approved by IIROC or another Canadian SRO to perform any function required under any IIROC or another Canadian SRO...
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Solicitation or offered to sell securities can take place during this period the only thing that can rEvally happen is that the issuer can arrange with underwriters or brokers for representation in the sale of the securities now there are limited exceptions there for the underwriter to undertake some limited advertising or the issuer themselves to undertake some limited advertising just to make people aware that an issuance is coming, but again it has to fall short of anything that would be considering an offering now this introduces the standard of something we call conditioning the market now if the advertisement has a substantial impact that is it creates a level of interest or inquiry that is commensurate with actually offering or soliciting the sell securities then it could be deemed a violation of the restriction on offering the sale of securities during this period, so you have to be very careful during this temporary advertising up here now there are a couple of exceptions to t


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