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D-9.2, r. 15 - Regulation respecting the registration of firms, representatives and independent partnerships
Section 13
Disposition versions
13. Instead of using the titles provided in section 11, a firm may also present itself using the title of “financial services firm” if it is registered in at least 2 sectors listed in the second paragraph of section 13 of the Act or if it is registered under section 148 of the Securities Act (chapter V-1.1) as a dealer in group savings plans or a dealer in scholarship plans.
The possibility of using the title provided in the first paragraph does not exempt a damage insurance agency from also presenting itself using this title.
13. Instead of using the titles provided in section 11, a firm may also present itself using the title of “financial services firm” if it is registered in at least 2 sectors listed in the second paragraph of section 13 of the Act or if it is registered under section 148 of the Securities Act (chapter V-1.1) as a dealer in group savings plans or a dealer in scholarship plans.
