33-109 - Registration Information Requirements

Results 1 - 80 of 80

Instruments, rules and policies

Policy #
Document name
Document type
Date
33-109
Amendments to NI 33-109 and Related Instruments - Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting & Updating Filing Deadlines
Amendments to National Instrument
33-109
CSA Notice of Amendments to National Instrument 33-109 Registration Information and Changes to the Companion Policy to National Instrument 33-109 Registration Information and Consequential Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the Companion Policy to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
33-109
Registration Information Amendments – December 16, 2021 - Annex K – Local matters
Amendments to National Instrument
31-103
Registration Information Amendments – December 16, 2021 - Annex J – Changes to 31-103CP
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex G – Changes to 33-109CP
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex D – Adoption of the Amendments
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex C – Frequently asked questions on updating registration information on NRD
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex B – List of commenters and summary of comments on the Proposals and responses
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex A – Summary of notable changes to the Proposals
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex E – Amendments to NI 33-109
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex F – Blackline showing amendments to NI 33-109
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex H – Blackline showing changes to 33-109CP
Amendments to National Instrument
31-103
Registration Information Amendments – December 16, 2021 - Annex I – Amendments to NI 31-103
Amendments to National Instrument
33-109
Proposed Amendments to NI 33-109 and Related Instruments Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines Comments Received
Amendments to National Instrument
33-109
Unofficial Consolidation: National Instrument 33-109 Registration Information
Unofficial Consolidation
33-109
Amendments to National Instrument 33-109 Registration Information
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
CSA Notice of Amendments Relating to Designated Rating Organizations
Amendments to National Instrument
33-109
Unofficial Consolidation of NI 33-109 and its CP as of December 4, 2017
Unofficial Consolidation National Instrument
33-109
Unofficial Consolidation: Companion Policy 33-109CP Registration Information
Companion Policy
33-109
Unofficial Consolidation: Form 33-109F4 Registration of Individuals and Review of Permitted Individuals (Section 2.2)
Unofficial Consolidation
33-109
Amendments to National Instrument 33-109 Registration Information
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
Amendments to NI 31-103 and Related Instruments
Amendments to National Instrument
81-102 81-102CP
CSA Notice and Request for Comment Relating to Designated Rating Organizations 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
33-109
Amendments to NI 33-109 Registration Information
Amendments to National Instrument
33-109
Unofficial consolidation of NI 33-109 and its CP as of January 11, 2015
Unofficial Consolidation 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
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 Shelf Distributions, NI 45-106 Prospectus
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
33-109
Unofficial consolidation of NI 33-109 and its CP as of May 31, 2013
Unofficial Consolidation National Instrument
41-101
Proposed Amendments (Related to Modernization of Investment Fund Product Regulation (Phase 2))
Request for Comment National Instrument
25-101
CSA Notice of Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations
Notice of Commission Approval National Instrument
33-109
Amendments: NI 33-109 Registration Information
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
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
13-502
Final: IFRS-Related Amendments to Securities Rules and Policies
Amendments to OSC Rule
13-503
Final: IFRS-Related Amendments to Securities Rules and Policies
Notice of Ministerial Approval OSC Rule
13-502
Notice of Ministerial Approval of IFRS-Related Amendments to Securities Rules and Regulation 1015 under the Securities Act
Notice of Ministerial Approval OSC Rule
13-503
Notice of Ministerial Approval of IFRS-Related Amendments to Securities Rules and Regulation 1015 under the Securities Act
Notice of Ministerial Approval OSC Rule
Notice of IFRS-Related Amendments to Registration Materials
Amendments to National Instrument
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
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
33-109
Companion Policy: NI - 33-109 - Registration Information Requirements
National Instrument
33-109
National Instrument: NI - 33-109 - Registration Information Requirements
National Instrument
33-109
Request for Comments - Notice of Proposed Amendments: NI - 31-102 - National Registration Database
Request for Comment National Instrument
33-109
Amendment: NI - 33-109 - Registration Information Requirements
Amendments to National Instrument
33-109
Companion Policy: NI - 33-109 - Registration Information Requirements
National Instrument
33-109
National Instrument: NI - 33-109 - Registration Information Requirements
National Instrument
33-109
Notice of Amendments: NI - 31-102 - National Registration Database
Notice of Commission Approval National Instrument
31-103
Notice of CSA Request for Comments: NI 31-103 - Registration Requirements Comments Received
Request for Comment National Instrument
33-109
Notice of CSA Request for Comments: NI - 33-109 - Registration Information Requirements
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 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
Notice of Proposed Amendments: NI - 31-102 - National Registration Database
Request for Comment National Instrument
33-109
Multilateral Instrument and Companion Policy: NI - 33-109 - Registration Information Requirements
Multilateral Instrument
33-109
Notice of Minister of Finance Approval: NI - 33-109 - Registration Information Requirements
Notice of Ministerial Approval National Instrument
33-109
Final Multilateral Instrument and Companion Policy: NI - 33-109 - Registration Information Requirements
Multilateral Instrument
33-109
Notice and Commission Approval of Rule Under the Securities Act: NI - 33-109 - Registration Information Requirements
Notice of Commission Approval National Instrument
33-109
Notice of Approval by Commission of Instrument, Rule and Companion Policies: NI - 33-109 - Registration Information Requirements
Notice of Commission Approval National Instrument
33-109
Multilateral Instrument: NI - 33-109 - Registration Information Requirements
Multilateral Instrument
33-109
Notice and Request for Comments: NI - 33-109 - Registration Information Requirements Comments Received
Request for Comment National Instrument
33-109
Notice - Appendix A to the Notice of Proposed Multilateral Instrument 33-109: NI - 33-109 - Registration Information Requirements
Multilateral Instrument Request for Comment
33-109
Multilateral Instrument, Companion Policy, and Forms: NI - 33-109 - Registration Information Requirements
Multilateral Instrument
33-109
Notice: NI - 33-109 - Registration Information Requirements Comments Received
Request for Comment National Instrument

Ontario Instrument

13-508
Notice of General Order – Ontario Instrument 13-508 – Extension of Moratorium on Outside Activities Late Filing Fees
Ontario Instrument Blanket Order
13-509
Notice of General Order – Ontario Instrument 13-509 – Extension of Moratorium on Outside Activities Late Filing Fees (Commodity Futures Act)
Ontario Instrument Blanket Order
13-509
Ontario Instrument 13-509 – Extension of Moratorium on Outside Activities Late Filing Fees (Commodity Futures Act)
Ontario Instrument Blanket Order

Forms

33-109
Unofficial Consolidation: Form 33-109F6 Firm Registration
Forms
33-109
Unofficial Consolidation: Form 33-109F2 Change or Surrender of Individual Categories (Section 2.2(2), 2.4, 2.6(2) Or 4.1(4))
Forms
33-109
Unofficial Consolidation: Form 33-109F3 Business Locations other than Head Office (Section 3.2)
Forms
33-109
Unofficial Consolidation: Form 33-109F5 Change of Registration Information (Sections 3.1 And 4.1)
Forms
33-109
Unofficial Consolidation: Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals (Sections 2.3 And 2.5(2))
Forms
33-109
Unofficial Consolidation: Form 33-506F3 Business Locations other than Head Office (Section 3.2)
Forms
33-109
Unofficial Consolidation: Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals (Section 4.2)
Forms
Show/hide filters
Document Type
Status
Results 1 - 83 of 83

Instruments, rules and policies

Policy #
Document name
Document type
Date
33-109
Amendments to NI 33-109 and Related Instruments - Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting & Updating Filing Deadlines
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex K – Local matters
Amendments to National Instrument
31-103
Registration Information Amendments – December 16, 2021 - Annex J – Changes to 31-103CP
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex G – Changes to 33-109CP
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex D – Adoption of the Amendments
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex C – Frequently asked questions on updating registration information on NRD
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex B – List of commenters and summary of comments on the Proposals and responses
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex A – Summary of notable changes to the Proposals
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex E – Amendments to NI 33-109
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex F – Blackline showing amendments to NI 33-109
Amendments to National Instrument
33-109
Registration Information Amendments – December 16, 2021 - Annex H – Blackline showing changes to 33-109CP
Amendments to National Instrument
31-103
Registration Information Amendments – December 16, 2021 - Annex I – Amendments to NI 31-103
Amendments to National Instrument
33-109
CSA Notice of Amendments to National Instrument 33-109 Registration Information and Changes to the Companion Policy to National Instrument 33-109 Registration Information and Consequential Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the Companion Policy to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
33-109
Proposed Amendments to NI 33-109 and Related Instruments Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines Comments Received
Amendments to National Instrument
33-109
Unofficial Consolidation: National Instrument 33-109 Registration Information
Unofficial Consolidation
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
33-109
Amendments to National Instrument 33-109 Registration Information
Amendments to National Instrument
CSA Notice of Amendments Relating to Designated Rating Organizations
Amendments to National Instrument
33-109
Unofficial Consolidation of NI 33-109 and its CP as of December 4, 2017
Unofficial Consolidation National Instrument
33-109
Unofficial Consolidation: Companion Policy 33-109CP Registration Information
Companion Policy
33-109
Unofficial Consolidation: Form 33-109F4 Registration of Individuals and Review of Permitted Individuals (Section 2.2)
Unofficial Consolidation
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
33-109
Amendments to National Instrument 33-109 Registration Information
Amendments to National Instrument
31-103
Amendments to NI 31-103 and Related Instruments
Amendments to National Instrument
81-102 81-102CP
CSA Notice and Request for Comment Relating to Designated Rating Organizations 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
33-109
Amendments to NI 33-109 Registration Information
Amendments to National Instrument
33-109
Unofficial consolidation of NI 33-109 and its CP as of January 11, 2015
Unofficial Consolidation 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
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 Shelf Distributions, NI 45-106 Prospectus
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
33-109
Unofficial consolidation of NI 33-109 and its CP as of May 31, 2013
Unofficial Consolidation National Instrument
41-101
Proposed Amendments (Related to Modernization of Investment Fund Product Regulation (Phase 2))
Request for Comment National Instrument
25-101
CSA Notice of Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations
Notice of Commission Approval National Instrument
33-109
Amendments: NI 33-109 Registration Information
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
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
13-502
Final: IFRS-Related Amendments to Securities Rules and Policies
Amendments to OSC Rule
13-502
Notice of Ministerial Approval of IFRS-Related Amendments to Securities Rules and Regulation 1015 under the Securities Act
Notice of Ministerial Approval OSC Rule
13-503
Final: IFRS-Related Amendments to Securities Rules and Policies
Notice of Ministerial Approval OSC Rule
13-503
Notice of Ministerial Approval of IFRS-Related Amendments to Securities Rules and Regulation 1015 under the Securities Act
Notice of Ministerial Approval OSC Rule
52-107
Final: IFRS-Related Amendments to Securities Rules and Policies
Amendments to National Instrument
52-107
Notice of Ministerial Approval of IFRS-Related Amendments to Securiities Rules and Regulation 1015 under the Securities Act
Notice of Ministerial Approval National Instrument
Notice of IFRS-Related Amendments to Registration Materials
Amendments to National Instrument
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
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
31-103
National Instrument: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
Amendments to National Instrument
33-109
Notice of Repeal and Replacement of National Instrument 33-109 Registration Information and amendments to National Instrument 31-102 National Registration Database and Related Forms and Policies (NRD): NI - 31-102 - National Registration Database
Notice of Commission Approval National Instrument
33-109
National Instrument: NI - 33-109 - Registration Information Requirements
National Instrument
33-109
Companion Policy: NI - 33-109 - Registration Information Requirements
National Instrument
33-109
Request for Comments - Notice of Proposed Amendments: NI - 31-102 - National Registration Database
Request for Comment National Instrument
33-109
National Instrument: NI - 33-109 - Registration Information Requirements
National Instrument
33-109
Companion Policy: NI - 33-109 - Registration Information Requirements
National Instrument
33-109
Amendment: NI - 33-109 - Registration Information Requirements
Amendments to National Instrument
31-103
Notice of CSA Request for Comments: NI 31-103 - Registration Requirements Comments Received
Request for Comment National Instrument
33-109
Notice of Amendments: NI - 31-102 - National Registration Database
Notice of Commission Approval National Instrument
33-109
Notice of CSA Request for Comments: NI - 33-109 - Registration Information 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
31-103
Notice and Request for Comment: NI 31-103 - Registration Requirements
Request for Comment National Instrument
Notice of Proposed Amendments: NI - 31-102 - National Registration Database
Request for Comment National Instrument
33-109
Multilateral Instrument and Companion Policy: NI - 33-109 - Registration Information Requirements
Multilateral Instrument
33-109
Notice of Minister of Finance Approval: NI - 33-109 - Registration Information Requirements
Notice of Ministerial Approval National Instrument
33-109
Final Multilateral Instrument and Companion Policy: NI - 33-109 - Registration Information Requirements
Multilateral Instrument
33-109
Notice and Commission Approval of Rule Under the Securities Act: NI - 33-109 - Registration Information Requirements
Notice of Commission Approval National Instrument
33-109
Notice of Approval by Commission of Instrument, Rule and Companion Policies: NI - 33-109 - Registration Information Requirements
Notice of Commission Approval National Instrument
33-109
Notice and Request for Comments: NI - 33-109 - Registration Information Requirements Comments Received
Request for Comment National Instrument
33-109
Multilateral Instrument: NI - 33-109 - Registration Information Requirements
Multilateral Instrument
33-109
Notice - Appendix A to the Notice of Proposed Multilateral Instrument 33-109: NI - 33-109 - Registration Information Requirements
Multilateral Instrument Request for Comment
33-109
Notice: NI - 33-109 - Registration Information Requirements Comments Received
Request for Comment National Instrument
33-109
Multilateral Instrument, Companion Policy, and Forms: NI - 33-109 - Registration Information Requirements
Multilateral Instrument

Ontario Instrument

13-508
Notice of General Order – Ontario Instrument 13-508 – Extension of Moratorium on Outside Activities Late Filing Fees
Ontario Instrument Blanket Order
13-509
Ontario Instrument 13-509 – Extension of Moratorium on Outside Activities Late Filing Fees (Commodity Futures Act)
Ontario Instrument Blanket Order
13-509
Notice of General Order – Ontario Instrument 13-509 – Extension of Moratorium on Outside Activities Late Filing Fees (Commodity Futures Act)
Ontario Instrument Blanket Order

Forms

33-109
Unofficial Consolidation: Form 33-109F6 Firm Registration
Forms
33-109
Unofficial Consolidation: Form 33-109F2 Change or Surrender of Individual Categories (Section 2.2(2), 2.4, 2.6(2) Or 4.1(4))
Forms
33-109
Unofficial Consolidation: Form 33-109F3 Business Locations other than Head Office (Section 3.2)
Forms
33-109
Unofficial Consolidation: Form 33-109F5 Change of Registration Information (Sections 3.1 And 4.1)
Forms
33-109
Unofficial Consolidation: Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals (Sections 2.3 And 2.5(2))
Forms
33-109
Unofficial Consolidation: Form 33-506F3 Business Locations other than Head Office (Section 3.2)
Forms
33-109
Unofficial Consolidation: Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals (Section 4.2)
Forms