Dundee Securities Inc. is registered as a broker-dealer with the United States Securities and Exchange Commission in select states and is also a member of Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Dundee Securities Inc. is primarily engaged in the business of acting as agent in the purchase and sale of Canadian Equities in the secondary market to U.S. institutional investors. In addition, DSI acts as a placement agent and/or underwriter in securities transactions, including Rule 144-A transactions.
To learn more about FINRA, please visit the FINRA website at www.finra.org and to learn more about SIPC, please visit the SIPC website at www.sipc.org.
BUSINESS CONTINUITY PLAN (BCP)