IFIC Chapter 17 questions with complete
solutions
1. Registration - everyone who sells securities must be registered
2. Disclosure - all documents and other required information are prepared in accordance with
requirements
3. Enforcement - Violations can be investigated
RD- bolines Ever!!! - correct answer ✔✔The securities administrators have broad powers and their
operations break down into 3 main categories:
1.
2.
3.
1. National Instrument (force of law) / National Policy
2. Uniform Policies
3. Provincial Policies - correct answer ✔✔The securities administrators periodically issue 1) _____ .
These statements set out the position of the securities administrators on various issues and topics and
can take one of 3 forms:
1.
2.
3.
b. - correct answer ✔✔Which is not a power of the MFDA?
solutions
1. Registration - everyone who sells securities must be registered
2. Disclosure - all documents and other required information are prepared in accordance with
requirements
3. Enforcement - Violations can be investigated
RD- bolines Ever!!! - correct answer ✔✔The securities administrators have broad powers and their
operations break down into 3 main categories:
1.
2.
3.
1. National Instrument (force of law) / National Policy
2. Uniform Policies
3. Provincial Policies - correct answer ✔✔The securities administrators periodically issue 1) _____ .
These statements set out the position of the securities administrators on various issues and topics and
can take one of 3 forms:
1.
2.
3.
b. - correct answer ✔✔Which is not a power of the MFDA?
