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

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Instruments, rules and policies

Policy #
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Document type
Date
31-103
CSA and CCIR Joint Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance Total Cost Reporting for Investment Funds and Segregated Funds
Request for Comment CSA Notice Amendments to National Instrument
33-109
Notice of Coming into Force of Amendments to National Instrument 33-109 Registration Information, National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, and Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to National Instrument
31-103
Unofficial Consolidation: Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Unofficial Consolidation Companion Policy
31-103
Unofficial Consolidation: National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Unofficial Consolidation National Instrument
31-103
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
Amendments to National Instrument
31-103
Registration Information Amendments – December 16, 2021 - Annex I – Amendments to NI 31-103
Amendments to National Instrument
31-103
Registration Information Amendments – December 16, 2021 - Annex J – Changes to 31-103CP
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
Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Companion Policy
31-103
Notice of Coming into Force of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients
Amendments to National Instrument
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
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to 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 Commentaires reçus
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
OSC Notice
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 Commentaires reçus
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
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 Commentaires reçus
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 Commentaires reçus
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 Commentaires reçus
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 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 Shelf Distributions, NI 45-106 Prospectus
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 Commentaires reçus
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 Commentaires reçus
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
31-714
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
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 Commentaires reçus
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 Commentaires reçus
Request for Comment National Instrument
33-506
Amended National Instrument 31-103, National Instrument 33-109 and OSC Rule 33-506
National Instrument
31-103
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 Commentaires reçus
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 Commentaires reçus
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
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
31-708
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 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: NI 31-103 - Registration Requirements and Exemptions
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
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
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 Commentaires reçus
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: 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

Amendments to Companion Policy

31-103
Amendments to Companion Policy 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to Companion Policy

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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Instruments, rules and policies

Policy #
Document name
Document type
Date
31-103
CSA and CCIR Joint Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance Total Cost Reporting for Investment Funds and Segregated Funds
Request for Comment CSA Notice Amendments to National Instrument
33-109
Notice of Coming into Force of Amendments to National Instrument 33-109 Registration Information, National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, and Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to National Instrument
31-103
Unofficial Consolidation: National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Unofficial Consolidation National Instrument
31-103
Unofficial Consolidation: Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Unofficial Consolidation Companion Policy
31-103
Registration Information Amendments – December 16, 2021 - Annex I – Amendments to NI 31-103
Amendments to National Instrument
31-103
Registration Information Amendments – December 16, 2021 - Annex J – Changes to 31-103CP
Amendments to National Instrument
31-103
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
Amendments to National Instrument
31-103
Notice of Coming into Force of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients
Amendments to National Instrument
31-103
Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Companion Policy
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
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
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to National Instrument
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 Commentaires reçus
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
OSC 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
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 Commentaires reçus
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 Commentaires reçus
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
31-103
CSA Notice of Amendments Relating to Designated Rating Organizations
Amendments to National Instrument
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 Commentaires reçus
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 Commentaires reçus
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 Commentaires reçus
Request for Comment 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
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
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
31-103
Change to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
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
31-339
[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 Commentaires reçus
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 Commentaires reçus
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
31-329
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
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
31-328
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
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
31-103
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
31-324
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
Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and to Companion Policy 31-103CP Commentaires reçus
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 Commentaires reçus
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 Commentaires reçus
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 Commentaires reçus
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
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
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
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
31-312
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
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 Commentaires reçus
Demande de commentaires 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 Commentaires reçus
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

Amendments to Companion Policy

31-103
Amendments to Companion Policy 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Amendments to Companion Policy

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