31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations

Results 1 - 110 of 110

Instruments, rules and policies

Policy #
Document name
Document type
Date
31-103
CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Client
CSA Notice
31-103
Companion Policy 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Companion Policy
31-103
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
National Instrument
81-105
Notice of Ministerial Approval of Local Amendments to NI 81-105 Mutual Fund Sales Practices, NI 81-101 Mutual Fund Prospectus Disclosure and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval
31-103
Notice of General Order – Transitional Relief Related to the Deferred Sales Charge Option in Respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements,
Notice
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Companion Policy
31-103
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 45-106 Prospectus Exemptions, and OSC Rule 45-501 Ontario Prospectus and Registration
Notice of Ministerial Approval
31-103
CSA Notice of Amendments NI45-106 Prospectus Exemptions & NI31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to 45-106CP Prospectus Exemptions and 31-103CP Syndicated Mortgages Comments Received
Amendments to National Instrument
45-106
CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31- 103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP Prospectus Exemptions and Compan
CSA Notice
31-357
CSA Notice 31-357 – Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
CSA Notice National Instrument Blanket Order
31-103
OSC Notice of General Order – Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
OSC Notice
31-103
OSC Notice of General Order – Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
National Instrument
31-103
CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Comments Received
Request for Comment National Instrument
45-326
CSA Staff Notice 45-326 - Update on: Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP Prospectus
CSA Notice National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
45-326
CSA Staff Notice 45-326 Update on: Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP
CSA Notice
31-103
CSA Notice of Amendments to NI 31-103 and 31-103CP - Reforms to Enhance The Client-Registrant Relationship (Client Focused Reforms)
Amendments to National Instrument
31-103
Unofficial Consolidation: National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Unofficial Consolidation
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval National Instrument
31-103
CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations - Custody-Related Amendments
Amendments to National Instrument
31-103
CSA Notice and Request for Comment - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations - Custody-Related Amendments
Request for Comment National Instrument
31-103
Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP Comments Received
Request for Comment National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval of Amendments to NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102, NI 81-106 and OSC Rule 33-506
Notice of Ministerial Approval National Instrument
45-102
Notice of Ministerial Approval of Amendments to OSC Rule 72-503 Distributions Outside Canada, National Instrument 45-102 Resale of Securities, and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval OSC Rule
31-103
Unofficial Consolidation: Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Companion Policy
45-102
Amendments to NI 45-102 Resale of Securities, Changes to CP 45-102CP, Consequential Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Consequential Changes to National Policy 11-206
Amendments to National Instrument
45-106
Proposed Amendments to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages and Proposed Changes to CP 45-106CP Prospectus Exemptions Comments Received
Request for Comment National Instrument
31-103
Unofficial Consolidation of NI 31-103 and its CP as of December 4, 2017
Unofficial Consolidation National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
Notice of Ministerial Approval National Instrument
31-103
Unofficial Consolidation of NI 31-103 and its CP as of July 27, 2017
Unofficial Consolidation National Instrument
31-103
Amendments to NI 31-103 and Related Instruments
Amendments to National Instrument
45-102
Proposed Amendments to NI 45-102 Resale of Securities, Proposed Changes to CP 45-102CP to NI 45-102 Resale of Securities, Proposed Consequential Amendments to NI 31-103, and Proposed Consequential Changes to NP 11-206 Comments Received
Request for Comment National Instrument
31-103
CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, NI 33-109 Comments Received
Request for Comment National Instrument
31-103
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
Notice of Ministerial Approval National Instrument
31-103
Unofficial consolidation of NI 31-103 and its CP as of January 11, 2015
Unofficial Consolidation National Instrument
31-103
Notice of Ministerial Approval: Amendments to National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations And Related Instruments
Notice of Ministerial Approval National Instrument
31-103
Notice of Correction: OSC Bulletin, Volume 37, Issue 42, Supplement 5 - Final Amendments to NI 31-103, NI 33-109 and Related Instruments, Policies and Forms
Amendments to National Instrument
31-103
Final amendments to NI 31-103, NI 33-109, NI 52-107, OSC rule 33-506 and OSC rule 35-502 and related forms
Amendments to National Instrument
24-401
Amendments to NI 24-101 Institutional Trade Matching and Settlement, NI 31-103 Registration Requirements,Exemptions and Ongoing Registrant Obligations, NI 33-109 Registration Information, NI 44-102 ShelfDistributions, NI 45-106 Prospectus and Registra
Amendments to National Instrument
31-103
Change to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Unofficial Consolidation of NI 31-103 and its CP as of May 1, 2014
Unofficial Consolidation National Instrument
31-103
Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP
Notice of Ministerial Approval National Instrument
31-103
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations - Dispute Resolution Services
Amendments to National Instrument
31-103
Proposed Amendments: NI 31-103, NI 33-109, NI 52-107, OSC Rule 33-506 and OSC Rule 35-502 and Related Forms Comments Received
Request for Comment National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval National Instrument
31-103
CSA Notice Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP (Cost Disclosure, Performance Reporting and Client Statements)
Amendments to National Instrument
31-103
Notice and Request for Comment: Proposed Amendments on NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Comments Received
Request for Comment National Instrument
31-103
Proposed Amendments: NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Request for Comment National Instrument
31-103
Amending Instrument to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
National Instrument
31-103
Notice of Ministerial Approval: Amendments to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval National Instrument
31-103
Notice of Amendments: NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
CSA Staff Notice: 31-329 - Omnibus/blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions
CSA Notice
31-103
CSA Staff Notice: 31-328 - Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
CSA Notice
31-103
OSC Staff Notice: 31-714 - OSC Staff Supplement to CSA Staff Notice 31-328 Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
OSC Notice
31-714
OSC Staff Notice: 31-714 - OSC Staff Supplement to CSA Staff Notice 31-328 Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
OSC Notice
31-103
Amendments: NI 31-103 Registration Requirements and Exemptions
Amendments to National Instrument
33-506
Notice of Ministerial Approval of Amendments: NI 31-103 Registration Requirements and Exemptions and Related Instruments
Notice of Ministerial Approval OSC Rule
31-103
Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements and Exemptions and Related Instruments
Notice of Ministerial Approval National Instrument
31-103
Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and to Companion Policy 31-103CP Comments Received
Request for Comment National Instrument
31-103
Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103CP Registration Requirements and Exemptions - Exemptions from certain requirements for SRO Members Comments Received
Request for Comment National Instrument
31-103
Amended National Instrument 31-103, National Instrument 33-109 and OSC Rule 33-506
National Instrument
33-506
Amended National Instrument 31-103, National Instrument 33-109 and OSC Rule 33-506
National Instrument
31-103
Final: IFRS-Related Amendments to Securities Rules and Policies
Amendments to National Instrument
31-103
CSA Proposed Amendments to NI 31-103 Registration Requirements and Exemptions. Registration of international and certain domestic investment fund managers
Request for Comment National Instrument
31-103
Notice of and Request for Comment: Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions -- Registration of International and Certain Domestic Investment Fund Managers Comments Received
Request for Comment National Instrument
31-319
CSA Staff Notice: 31-319 - Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions
CSA Notice
31-103
Notice of and Request for Comment: Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions, National Instrument 33-109 Registration Information and to Related Policies and Forms Comments Received
Request for Comment National Instrument
31-103
CSA Staff Notice: 45-304 - Notice of Local Exemptions Related to NI 45-106 Prospectus and Registration Exemptions and NI 31-103 Registration Requirements and Exemptions
CSA Notice National Instrument
31-103
Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103 CP Registration Requirements and Exemptions and Proposed Amendments to NI 33-109 Registration Information
Request for Comment National Instrument
31-103
National Instrument: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Amendments to National Instrument
13-502
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Notice of Ministerial Approval OSC Rule
13-503
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Notice of Ministerial Approval OSC Rule
31-103
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Notice of Ministerial Approval National Instrument
31-708
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Notice of Ministerial Approval National Instrument
31-312
CSA Staff Notice: 31-312 - The Exempt Market Dealer Category under NI 31-103 Registration Requirements and Exemptions
CSA Notice National Instrument
31-103
Notice of Correction: NI 31-103 - Registration Requirements and Exemptions (July 17, 2009, Supplement 2) - Appendix A of CSA Notice
CSA Notice Notice of Correction
31-103
Adoption of the Instrument and consequential amendments: NI 31-103 - Registration Requirements and Exemptions
Amendments to National Instrument
31-103
Alternative approach to regulating exempt market intermediaries in certain jurisdictions: NI 31-103 - Registration Requirements and Exemptions
National Instrument
31-103
Blackline of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
Request for Comment National Instrument
31-103
Companion Policy: NI 31-103 - Registration Requirements and Exemptions
National Instrument
31-103
Concordance of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
Request for Comment National Instrument
31-103
CSA Staff Notice: 31-311 - Proposed National Instrument - Transition into the new registration regime: NI 31-103 - Registration Requirements and Exemptions
CSA Notice National Instrument
31-103
National Instrument: NI 31-103 - Registration Requirements and Exemptions
National Instrument
31-103
NI 31-103 - Registration Requirements and Exemptions - Summary of Changes
Request for Comment National Instrument
31-103
Notice of CSA Approval: NI 31-103 - Registration Requirements and Exemptions
Notice of Commission Approval National Instrument
31-103
Notice of National Instrument: NI 31-103 - Registration Requirements and Exemptions and CSA Notice of Rule, Companion Policy and Consequential Amendments to Related Instruments
Amendments to National Instrument
31-103
Notice: NI 31-103 - Registration Requirements and Exemptions
National Instrument
31-103
Summary of comments and responses on the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
Request for Comment National Instrument
31-103
Proposed National Instrument: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Notice: Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Proposed NI 31-103 Registration Requirements, Proposed Companion Policy 31-103CP and Proposed Consequential Amendments: NI - 31-103 - Registration Requirements Comments Received
Request for Comment National Instrument
31-103
Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Notice of CSA Request for Comments: NI 31-103 - Registration Requirements Comments Received
Request for Comment National Instrument
31-103
Notice and Request for Comment: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Proposed Companion Policy: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Proposed National Instrument, Notice and Request for Comments, Companion Policy and related forms: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Proposed National Instrument: NI 31-103 - Registration Requirements
Request for Comment National Instrument

Forms

31-103
Unofficial Consolidation: Form 31-103F1 Calculation of Excess Working Capital
Forms
31-103
Unofficial Consolidation: Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
Forms
31-103
Unofficial Consolidation: Form 31-103F3 Use of Mobility Exemption
Forms
31-103
Unofficial Consolidation: Form 31-103F4 Net Asset Value Adjustments
Forms
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Results 1 - 124 of 124

Instruments, rules and policies

Policy #
Document name
Document type
Date
31-103
CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Client
CSA Notice
81-105
Notice of Ministerial Approval of Local Amendments to NI 81-105 Mutual Fund Sales Practices, NI 81-101 Mutual Fund Prospectus Disclosure and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval
31-103
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
National Instrument
31-103
Companion Policy 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Companion Policy
31-103
Notice of General Order – Transitional Relief Related to the Deferred Sales Charge Option in Respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements,
Notice
31-103
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 45-106 Prospectus Exemptions, and OSC Rule 45-501 Ontario Prospectus and Registration
Notice of Ministerial Approval
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Companion Policy
31-103
CSA Notice of Amendments NI45-106 Prospectus Exemptions & NI31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to 45-106CP Prospectus Exemptions and 31-103CP Syndicated Mortgages Comments Received
Amendments to National Instrument
45-106
CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31- 103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP Prospectus Exemptions and Compan
CSA Notice
31-103
OSC Notice of General Order – Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
OSC Notice
31-103
OSC Notice of General Order – Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
National Instrument
31-357
CSA Notice 31-357 – Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
CSA Notice National Instrument Blanket Order
31-103
CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Comments Received
Request for Comment National Instrument
45-326
CSA Staff Notice 45-326 - Update on: Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP Prospectus
CSA Notice National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
45-326
CSA Staff Notice 45-326 Update on: Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP
CSA Notice
31-103
CSA Notice of Amendments to NI 31-103 and 31-103CP - Reforms to Enhance The Client-Registrant Relationship (Client Focused Reforms)
Amendments to National Instrument
31-103
Unofficial Consolidation: National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Unofficial Consolidation
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval National Instrument
31-103
CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations - Custody-Related Amendments
Amendments to National Instrument
31-103
CSA Notice and Request for Comment - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations - Custody-Related Amendments
Request for Comment National Instrument
31-103
Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP Comments Received
Request for Comment National Instrument
31-103
Notice of Ministerial Approval of Amendments to NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102, NI 81-106 and OSC Rule 33-506
Notice of Ministerial Approval National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
45-102
Notice of Ministerial Approval of Amendments to OSC Rule 72-503 Distributions Outside Canada, National Instrument 45-102 Resale of Securities, and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval OSC Rule
31-103
Unofficial Consolidation: Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Companion Policy
45-102
Amendments to NI 45-102 Resale of Securities, Changes to CP 45-102CP, Consequential Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Consequential Changes to National Policy 11-206
Amendments to National Instrument
45-106
Proposed Amendments to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages and Proposed Changes to CP 45-106CP Prospectus Exemptions Comments Received
Request for Comment National Instrument
31-103
Unofficial Consolidation of NI 31-103 and its CP as of December 4, 2017
Unofficial Consolidation National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
Notice of Ministerial Approval National Instrument
31-103
Unofficial Consolidation of NI 31-103 and its CP as of July 27, 2017
Unofficial Consolidation National Instrument
31-103
Amendments to NI 31-103 and Related Instruments
Amendments to National Instrument
45-102
Proposed Amendments to NI 45-102 Resale of Securities, Proposed Changes to CP 45-102CP to NI 45-102 Resale of Securities, Proposed Consequential Amendments to NI 31-103, and Proposed Consequential Changes to NP 11-206 Comments Received
Request for Comment National Instrument
31-103
CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, NI 33-109 Comments Received
Request for Comment National Instrument
31-341
[Withdrawn by CSA Staff Notice 11-341, March 7, 2019] CSA Staff Notice 31-341-Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
CSA Notice National Instrument
45-304
CSA Staff Notice 45-304 (Revised) - Notice of Local Exemptions Related to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
CSA Notice National Instrument
11-102
Changes to Companion Policy 11-102CP Passport System, NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions, Companion Policy 23-103CP Electronic Trading and Direct Electronic Access to Marketplaces, Companion Policy 31-103CP Regis
Amendments to Multilateral Instrument
11-102
Amendments to MI 11-102 Passport System, MI 13-102 System Fees for SEDAR and NRD, NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, MI 32-102 Registration Exemptions for Non-Resident Investment Fund Managers, NI 33-105 Un
Amendments to Multilateral Instrument
31-103
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
Notice of Ministerial Approval National Instrument
31-103
Unofficial consolidation of NI 31-103 and its CP as of January 11, 2015
Unofficial Consolidation National Instrument
31-103
Notice of Ministerial Approval: Amendments to National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations And Related Instruments
Notice of Ministerial Approval National Instrument
31-103
Notice of Correction: OSC Bulletin, Volume 37, Issue 42, Supplement 5 - Final Amendments to NI 31-103, NI 33-109 and Related Instruments, Policies and Forms
Amendments to National Instrument
31-103
Final amendments to NI 31-103, NI 33-109, NI 52-107, OSC rule 33-506 and OSC rule 35-502 and related forms
Amendments to National Instrument
24-401
Amendments to NI 24-101 Institutional Trade Matching and Settlement, NI 31-103 Registration Requirements,Exemptions and Ongoing Registrant Obligations, NI 33-109 Registration Information, NI 44-102 ShelfDistributions, NI 45-106 Prospectus and Registra
Amendments to National Instrument
31-103
Change to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-339
[Withdrawn by CSA Staff Notice 11-341, March 7, 2019] Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
CSA Notice National Instrument
31-103
Unofficial Consolidation of NI 31-103 and its CP as of May 1, 2014
Unofficial Consolidation National Instrument
31-103
Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP
Notice of Ministerial Approval National Instrument
31-103
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations - Dispute Resolution Services
Amendments to National Instrument
31-103
Proposed Amendments: NI 31-103, NI 33-109, NI 52-107, OSC Rule 33-506 and OSC Rule 35-502 and Related Forms Comments Received
Request for Comment National Instrument
31-335
CSA Staff Notice: 31-335 - Extension of Interim Relief for Members of IIROC from the Requirement in section 14.2(1) of NI 31-103 in Respect of the Provision of Relationship Disclosure Information to Existing Clients
CSA Notice National Instrument
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval National Instrument
31-103
CSA Notice Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP (Cost Disclosure, Performance Reporting and Client Statements)
Amendments to National Instrument
31-103
Notice and Request for Comment: Proposed Amendments on NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Comments Received
Request for Comment National Instrument
31-103
Proposed Amendments: NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Request for Comment National Instrument
31-103
Amending Instrument to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
National Instrument
31-103
Notice of Ministerial Approval: Amendments to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notice of Ministerial Approval National Instrument
31-103
Notice of Amendments: NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
31-103
CSA Staff Notice: 31-329 - Omnibus/blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions
CSA Notice
31-329
CSA Staff Notice: 31-329 - Omnibus/blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions
CSA Notice National Instrument
31-103
OSC Staff Notice: 31-714 - OSC Staff Supplement to CSA Staff Notice 31-328 Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
OSC Notice
31-103
CSA Staff Notice: 31-328 - Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
CSA Notice
31-328
CSA Staff Notice: 31-328 - Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
CSA Notice National Instrument
31-714
OSC Staff Notice: 31-714 - OSC Staff Supplement to CSA Staff Notice 31-328 Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
OSC Notice
31-103
Amendments: NI 31-103 Registration Requirements and Exemptions
Amendments to National Instrument
31-103
Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements and Exemptions and Related Instruments
Notice of Ministerial Approval National Instrument
33-506
Notice of Ministerial Approval of Amendments: NI 31-103 Registration Requirements and Exemptions and Related Instruments
Notice of Ministerial Approval OSC Rule
31-103
Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and to Companion Policy 31-103CP Comments Received
Request for Comment National Instrument
31-324
CSA Staff Notice: 31-324 - Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions (withdrawn by CSA Notice 31-345, April 14, 2016)
CSA Notice National Instrument
31-103
Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103CP Registration Requirements and Exemptions - Exemptions from certain requirements for SRO Members Comments Received
Request for Comment National Instrument
31-103
Amended National Instrument 31-103, National Instrument 33-109 and OSC Rule 33-506
National Instrument
33-506
Amended National Instrument 31-103, National Instrument 33-109 and OSC Rule 33-506
National Instrument
31-103
Final: IFRS-Related Amendments to Securities Rules and Policies
Amendments to National Instrument
31-103
Notice of and Request for Comment: Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions -- Registration of International and Certain Domestic Investment Fund Managers Comments Received
Request for Comment National Instrument
31-103
CSA Proposed Amendments to NI 31-103 Registration Requirements and Exemptions. Registration of international and certain domestic investment fund managers
Request for Comment National Instrument
31-319
CSA Staff Notice: 31-319 - Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions
CSA Notice
31-103
Notice of and Request for Comment: Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions, National Instrument 33-109 Registration Information and to Related Policies and Forms Comments Received
Request for Comment National Instrument
31-315
CSA Staff Notice: 31-315 - Omnibus / blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements and Exemptions
CSA Notice
31-314
CSA Staff Notice: 31-314 - NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of February 5, 2010
CSA Notice National Instrument
31-313
CSA Staff Notice: 31-313 - NI 31-103 Registration Requirements and Exemptions and related instruments - Frequently Asked Questions as of December 18, 2009
CSA Notice National Instrument
31-103
CSA Staff Notice: 45-304 - Notice of Local Exemptions Related to NI 45-106 Prospectus and Registration Exemptions and NI 31-103 Registration Requirements and Exemptions
CSA Notice National Instrument
45-304
CSA Staff Notice: 45-304 - Notice of Local Exemptions Related to NI 45-106 Prospectus and Registration Exemptions and NI 31-103 Registration Requirements and Exemptions
CSA Notice National Instrument
31-103
Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103 CP Registration Requirements and Exemptions and Proposed Amendments to NI 33-109 Registration Information
Request for Comment National Instrument
13-502
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Notice of Ministerial Approval OSC Rule
13-503
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Notice of Ministerial Approval OSC Rule
31-103
National Instrument: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Amendments to National Instrument
31-103
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Notice of Ministerial Approval National Instrument
31-708
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Notice of Ministerial Approval National Instrument
31-103
Notice of Correction: NI 31-103 - Registration Requirements and Exemptions (July 17, 2009, Supplement 2) - Appendix A of CSA Notice
CSA Notice Notice of Correction
31-312
CSA Staff Notice: 31-312 - The Exempt Market Dealer Category under NI 31-103 Registration Requirements and Exemptions
CSA Notice National Instrument
31-103
Amendment (Related to National Instrument 31-103 effective September 28, 2009)
Amendments to National Instrument
31-103
Notice of National Instrument: NI 31-103 - Registration Requirements and Exemptions and CSA Notice of Rule, Companion Policy and Consequential Amendments to Related Instruments
Amendments to National Instrument
31-103
Notice: NI 31-103 - Registration Requirements and Exemptions
National Instrument
31-103
National Instrument: NI 31-103 - Registration Requirements and Exemptions
National Instrument
31-103
Companion Policy: NI 31-103 - Registration Requirements and Exemptions
National Instrument
31-103
Summary of comments and responses on the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
Request for Comment National Instrument
31-103
NI 31-103 - Registration Requirements and Exemptions - Summary of Changes
Request for Comment National Instrument
31-103
Concordance of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
Request for Comment National Instrument
31-103
Blackline of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
Request for Comment National Instrument
31-103
Alternative approach to regulating exempt market intermediaries in certain jurisdictions: NI 31-103 - Registration Requirements and Exemptions
National Instrument
31-103
CSA Staff Notice: 31-311 - Proposed National Instrument - Transition into the new registration regime: NI 31-103 - Registration Requirements and Exemptions
CSA Notice National Instrument
31-103
Adoption of the Instrument and consequential amendments: NI 31-103 - Registration Requirements and Exemptions
Amendments to National Instrument
31-103
Notice of CSA Approval: NI 31-103 - Registration Requirements and Exemptions
Notice of Commission Approval National Instrument
31-103
Proposed National Instrument: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Proposed NI 31-103 Registration Requirements, Proposed Companion Policy 31-103CP and Proposed Consequential Amendments: NI - 31-103 - Registration Requirements Comments Received
Request for Comment National Instrument
31-103
Notice: Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Notice of CSA Request for Comments: NI 31-103 - Registration Requirements Comments Received
Request for Comment National Instrument
31-103
Proposed National Instrument, Notice and Request for Comments, Companion Policy and related forms: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Proposed National Instrument: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Proposed Companion Policy: NI 31-103 - Registration Requirements
Request for Comment National Instrument
31-103
Notice and Request for Comment: NI 31-103 - Registration Requirements
Request for Comment National Instrument

Forms

31-103
Unofficial Consolidation: Form 31-103F1 Calculation of Excess Working Capital
Forms
31-103
Unofficial Consolidation: Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
Forms
31-103
Unofficial Consolidation: Form 31-103F3 Use of Mobility Exemption
Forms
31-103
Unofficial Consolidation: Form 31-103F4 Net Asset Value Adjustments
Forms