V-1.1 - Securities Act

Section 155.1 Disposition versions

2005-09-14

155.1. (Repealed).

1984, c. 41, s. 44; 1992, c. 35, s. 9; 2001, c. 38, s. 57; 2004, c. 37, s. 13.

2001-11-01

155.1. Registration as a dealer is not required by the following:

(1)  a person who limits his activities as a dealer to the distribution, through a registered dealer, of securities of his own issue or securities subscribed or acquired by him with the benefit of a prospectus exemption;

(2)  an issuer that limits its activities as a dealer to the distribution, with the benefit of a prospectus exemption under sections 41 to 56, of securities of its own issue, provided that such distributions are only a secondary activity of the issuer;

(2.1)  an issuer that limits its activities as a dealer to the distribution of securities within the framework of a take-over bid by way of exchange made with a take-over bid circular in conformity with the provisions of Title IV or with the benefit of the exemption under section 121;

(3)  (paragraph repealed);

(4)  a person referred to in paragraph 1 of section 154 who makes a distribution or sale of securities contemplated in paragraph 3 of section 41;

(5)  a person who, having a mandate which includes the sale of property of other persons, is required to sell securities at or upon a judicial sale, a bankruptcy or a winding-up.

1984, c. 41, s. 44; 1992, c. 35, s. 9; 2001, c. 38, s. 57.

1999-04-01

155.1. Registration as a dealer is not required by the following:

(1)  a person who limits his activities as a dealer to the distribution, through a registered dealer, of securities of his own issue or securities subscribed or acquired by him with the benefit of a prospectus exemption;

(2)  an issuer that limits its activities as a dealer to the distribution, with the benefit of a prospectus exemption under sections 41 to 56, of securities of its own issue, provided that such distributions are only a secondary activity of the issuer;

(2.1)  an issuer that limits its activities as a dealer to the distribution of securities within the framework of a take-over bid by way of exchange made with a take-over bid circular in conformity with the provisions of Title IV or with the benefit of the exemption under section 121;

(3)  a person who limits his activities as a dealer to the distribution of securities to sophisticated purchasers with the benefit of an exemption under section 43, provided that such distributions are only a secondary activity of the person;

(4)  a person referred to in paragraph 1 of section 154 who makes a distribution or sale of securities contemplated in paragraph 3 of section 41;

(5)  a person who, having a mandate which includes the sale of property of other persons, is required to sell securities at or upon a judicial sale, a bankruptcy or a winding-up.

1984, c. 41, s. 44; 1992, c. 35, s. 9.

1984-12-21

155.1. Registration as a dealer is not required by the following:

(1)  a person who limits his activities as a dealer to the distribution, through a registered dealer, of securities of his own issue or securities subscribed or acquired by him with the benefit of a prospectus exemption;

(2)  an issuer that limits its activities as a dealer to the distribution, with the benefit of a prospectus exemption under sections 41 to 56, of securities of its own issue, provided that such distributions are only a secondary activity of the issuer;

(3)  a person who limits his activities as a dealer to the distribution of securities to sophisticated purchasers with the benefit of an exemption under section 43, provided that such distributions are only a secondary activity of the person;

(4)  a person referred to in paragraph 1 of section 154 who makes a distribution or sale of securities contemplated in paragraph 3 of section 41;

(5)  a person who, having a mandate which includes the sale of property of other persons, is required to sell securities at or upon a judicial sale, a bankruptcy or a winding-up.

1984, c. 41, s. 44.