2627. Exemptions from writing the required courses

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    1. As set out in the table below, an applicant or Approved Person is exempt from writing a required course if the applicant meets the exemption criteria.

    Required course

    Course required for exemption

    Exemption criteria

    90-day Training Program

    • none

    Request approval within three years of being approved or registered in a capacity allowing trading of, or advising in, securities for retail clients either:

    • by a recognized foreign regulatory authority or recognized foreign self‑regulatory organization

    or

    • as an advising representative by a Canadian securities regulatory authority

    30-day Training Program

    • none

    Request approval within three years of being approved or registered in a capacity allowing trading of, or advising in, securities for retail clients either:

    • by a recognized foreign regulatory authority or recognized foreign self‑regulatory organization

    or

    • as an advising representative by a Canadian securities regulatory authority

    There is no history log for this rule.

    There is no history log for this rule.