33-506 - Registration Information Requirements

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Instruments, rules and policies

Policy #
Document name
Document type
Date
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
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
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix A – Summary of Notable Changes to the OSC Proposals
Amendments to OSC Rule
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix B – Amendments to OSC Rule 33-506
Amendments to OSC Rule
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix C – Blackline of OSC Rule 33-506
Amendments to OSC Rule
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix D – Changes to 33-506CP
Amendments to OSC Rule
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix E – Blackline of 33-506CP
Amendments to OSC Rule
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
Amendments to National Instrument
33-506
OSC Notice of Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information and Changes to the Companion Policy to OSC Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to National Instrument
33-506
OSC Notice of Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information and Changes to the Companion Policy to OSC Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to OSC Rule
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 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 C – Frequently asked questions on updating registration information on NRD
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 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 G – Changes to 33-109CP
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
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 K – Local matters
Amendments to National Instrument
33-506
Unofficial Consolidation: OSC Rule 33-506 (Commodity Futures Act) Registration Information
Unofficial Consolidation
33-506
Amendments to Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to OSC Rule
33-506
OSC Notice of Amendments Relating to Designated Rating Organizations
Notice of Commission Approval OSC Rule
33-506
Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration
Amendments to OSC Rule
33-506
OSC Notice and Request for Comment Relating to Designated Rating Organizations - Proposed Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information
Request for Comment OSC Rule
33-506
Unofficial Consolidation of OSC Rule 33-506
Unofficial Consolidation OSC Rule
33-506
Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to OSC Rule
33-506
Unofficial Consolidation: Companion Policy 33-506CP (Commodity Futures Act) Registration Information
Companion Policy
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
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
33-506
Unofficial consolidation of OSC Rule 33-506 and its CP as of July 11, 2011
Unofficial Consolidation OSC Rule
33-506
Amendments: OSC Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to OSC Rule
33-506
Companion Policy: 33-506CP (Commodity Futures Act) Registration Information
OSC Rule
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
Notice of Amendments
Amendments to National Instrument
33-506
Request for Comment - Notice of Proposed Amendments: OSC Rule - 31-509 - Rule and Companion Policy - National Registration Database
Request for Comment OSC Rule
33-506
Final Rule and Companion Policy: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule
33-109
Notice of Minister of Finance Approval: NI - 33-109 - Registration Information Requirements
Notice of Ministerial Approval National Instrument
33-506
Final Rule and Companion Policy: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule
33-506
Notice and Commission Approval of Rule Under the Commodity Futures Act: OSC Rule - 33-506 - Registration Information Requirements
Notice of Commission Approval OSC Rule
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
33-506
Notice and Request for Comments: OSC Rule - 33-506 - Registration Information Requirements
Request for Comment OSC Rule
33-506
Rule: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule
33-506
Notice: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule
33-506
Rule, Companion Policy, and Forms: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule

Ontario Instrument

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

33-506
Unofficial Consolidation: Form 33-506F5 Change Of Registration Information (Sections 3.1 And 4.1)
Forms
33-506
Unofficial Consolidation: Form 33-506F6 Firm Registration
Forms
33-506
Unofficial Consolidation: Form 33-506F4 Registration of Individuals and Review of Permitted Individuals (Section 2.2)
Forms
33-506
Unofficial Consolidation: Form 33-506F7 Reinstatement of Registered Individuals and Permitted Individuals (Sections 2.3 and 2.4(2))
Forms
33-506
Unofficial Consolidation: Form 33-506F1 Notice of Termination of Registered Individuals and Permitted Individuals (Section 4.2)
Forms
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Type de document
Status
Résultats 1 - 59 de 59

Instruments, rules and policies

Policy #
Document name
Document type
Date
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
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
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 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 C – Frequently asked questions on updating registration information on NRD
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 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 G – Changes to 33-109CP
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
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 K – Local matters
Amendments to National Instrument
33-506
OSC Notice of Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information and Changes to the Companion Policy to OSC Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to OSC Rule
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix A – Summary of Notable Changes to the OSC Proposals
Amendments to OSC Rule
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix B – Amendments to OSC Rule 33-506
Amendments to OSC Rule
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix C – Blackline of OSC Rule 33-506
Amendments to OSC Rule
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix D – Changes to 33-506CP
Amendments to OSC Rule
33-506
Registration Information Amendments (Commodity Futures Act) - December 16, 2021 - Appendix E – Blackline of 33-506CP
Amendments to OSC Rule
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
33-506
OSC Notice of Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information and Changes to the Companion Policy to OSC Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to National Instrument
33-506
Unofficial Consolidation: OSC Rule 33-506 (Commodity Futures Act) 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
33-506
Amendments to Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to OSC Rule
33-506
OSC Notice of Amendments Relating to Designated Rating Organizations
Notice of Commission Approval OSC Rule
33-506
Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration
Amendments to OSC Rule
33-506
OSC Notice and Request for Comment Relating to Designated Rating Organizations - Proposed Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information
Request for Comment OSC Rule
33-506
Unofficial Consolidation of OSC Rule 33-506
Unofficial Consolidation OSC Rule
33-506
Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to OSC Rule
33-506
Unofficial Consolidation: Companion Policy 33-506CP (Commodity Futures Act) Registration Information
Companion Policy
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
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
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
33-506
Unofficial consolidation of OSC Rule 33-506 and its CP as of July 11, 2011
Unofficial Consolidation OSC Rule
33-506
Notice of Ministerial Approval of Amendments: NI 31-103 Registration Requirements and Exemptions and Related Instruments
Notice of Ministerial Approval OSC Rule
33-506
Companion Policy: 33-506CP (Commodity Futures Act) Registration Information
OSC Rule
33-506
Amendments: OSC Rule 33-506 (Commodity Futures Act) Registration Information
Amendments to 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
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
Notice of Amendments
Amendments to National Instrument
33-506
Request for Comment - Notice of Proposed Amendments: OSC Rule - 31-509 - Rule and Companion Policy - National Registration Database
Request for Comment OSC Rule
33-506
Final Rule and Companion Policy: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule
33-109
Notice of Minister of Finance Approval: NI - 33-109 - Registration Information Requirements
Notice of Ministerial Approval National Instrument
33-506
Final Rule and Companion Policy: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule
33-506
Notice and Commission Approval of Rule Under the Commodity Futures Act: OSC Rule - 33-506 - Registration Information Requirements
Notice of Commission Approval OSC Rule
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
33-506
Notice and Request for Comments: OSC Rule - 33-506 - Registration Information Requirements
Request for Comment OSC Rule
33-506
Rule: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule
33-506
Notice: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule
33-506
Rule, Companion Policy, and Forms: OSC Rule - 33-506 - Registration Information Requirements
OSC Rule

Ontario Instrument

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

33-506
Unofficial Consolidation: Form 33-506F5 Change Of Registration Information (Sections 3.1 And 4.1)
Forms
33-506
Unofficial Consolidation: Form 33-506F6 Firm Registration
Forms
33-506
Unofficial Consolidation: Form 33-506F4 Registration of Individuals and Review of Permitted Individuals (Section 2.2)
Forms
33-506
Unofficial Consolidation: Form 33-506F7 Reinstatement of Registered Individuals and Permitted Individuals (Sections 2.3 and 2.4(2))
Forms
33-506
Unofficial Consolidation: Form 33-506F1 Notice of Termination of Registered Individuals and Permitted Individuals (Section 4.2)
Forms