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 OTC Trading

File a Form B submission

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Investment dealers that trade in the U.S. Over the Counter Markets must complete and file Form B with the BC Securities Commission within 30 days of the end of each calendar quarter. Form B records the information required under conditions 3(a), (b) and (c) of BC Instrument 33-705 Conditions of Registration for Investment Dealers that Trade in the U.S. Over-the-Counter Markets.

The investment dealer’s compliance officer or UDP must complete Form B, and a Partner, Director or an authorized Officer must sign it.