Index

• Author: Christopher C. Nicholls, Jeffrey G. Macintosh
• Pages: 385-388

Accounting Communiques,

86

Accredited

Investors,

180

Administrative Enforcement

Proceedings (Public Interest

Orders),

350

Allen

Committee Report,

282

Alternative

Trading Systems

(ATS),

117

Amalgamations (Prospectus

Exemption),

187

Analysts Standards,

114

Annual Information Form

(AIF),

169, 257,

260

Backdoor

Underwriting, 177,

201

"Best

Efforts"

Offering,

142

Bonds,

7

Bought

Deal,

144

Pre-marketing,

151

Bourse

de

Montreal,

6

Broker

Liability,

104

Canadian Depository

for

Securities

Limited (CDS),

267

Canadian Trading

and

Quotation

System (CNQ),

6

Canadian Unlisted Board

(CUB),

6

Capital

Pool Companies,

173

Cease-Trade

Order,

356

Civil Court Proceedings,

358

Closed System,

255

Closely-held issuer (Prospectus

Exemption),

188

Common Shares,

9

Confidential

Disclosure,

278

Connected Issuer,

109

Constitutional

Issues,

64

Continuous Disclosure,

253

Civil Liability, 279,

282

Continuous Market Access (CMA)

System,

368

Contractual Rights

of

Action,

199

Control

Persons,

178

"Credit

for

Cooperation" with

Regulators,

376

Criminal

Code,

346

Dealers

"Know

Your

Client" Rules,

101

Minimum Free Capital,

97

Net

Free Capital,

98

Networking

Arrangements,

106

Non-underwriting conflicts,

112

Suitability

Rules,

101

Training

and

Proficiency,

100

Underwriting Conflicts,

107

Universal Registration,

105

Debentures,

7

Derivative

Securities,

21, 51

Direct Purchase Plans,

131

"Disaster Out" Clause (See

Underwriting)

385

INADEX