V-1.1 - Securities Act

Section 148 Disposition versions

2009-09-28

148. No person may act as a dealer, adviser or investment fund manager unless the person is registered as such.

1982, c. 48, s. 148; 1998, c. 37, s. 533; 2002, c. 45, s. 696; O.C. 1366-2003, s. 14; 2004, c. 37, s. 90; 2009, c. 25, s. 13.

2004-12-17

148. No dealer or adviser may carry on business unless he is registered as such with the Authority.

A legal person required under the Act respecting the distribution of financial products and services (chapter D‐9.2) to register with the Authority to pursue activities through a securities representative governed by that Act may not register under this Act.

1982, c. 48, s. 148; 1998, c. 37, s. 533; 2002, c. 45, s. 696; O.C. 1366-2003, s. 14; 2004, c. 37, s. 90.

2004-02-01

148. No dealer or adviser may carry on business unless he is registered as such with the Agency.

A legal person required under the Act respecting the distribution of financial products and services (chapter D‐9.2) to register with the Agency to pursue activities through a securities representative governed by that Act may not register under this Act.

1982, c. 48, s. 148; 1998, c. 37, s. 533; 2002, c. 45, s. 696; O.C. 1366-2003, s. 14.

1999-10-01

148. No dealer or adviser may carry on business unless he is registered as such with the Commission.

A legal person required under the Act respecting the distribution of financial products and services (chapter D-9.2) to register with the Bureau des services financiers to pursue activities through a securities representative governed by that Act may not register with the Commission.

1982, c. 48, s. 148; 1998, c. 37, s. 533.

1983-04-06

148. No dealer or adviser may carry on business unless he is registered as such with the Commission.

1982, c. 48, s. 148.