3 - Registration Requirements and Related Matters Breadcrumb Home Securities law Instruments, rules and policies 3 - Registration Requirements and Related Matters Component Menu Left Sidebar Securities law Legislation Instruments, rules and policies 1 - Procedure and Related Matters 2 - Certain Capital Market Participants 3 - Registration Requirements and Related Matters 4 - Distribution Requirements 5 - Ongoing Requirements for Issuers and Insiders 6 - Take-Over Bids and Special Transactions 7 - Securities Transactions Outside the Jurisdiction 8 - Investment Funds 9 - Derivatives Documents not numbered Securities rule-making in Ontario Proposed instruments, rules and policies Orders, rulings and decisions Blanket orders Delegation orders OSC Bulletin Filing documents online Search by keyword Sort by RelevanceInstrument number descendingInstrument number ascending Results 61 - 90 of 194 Instrument Number Title 31-364 OBSI Joint Regulators Committee Annual Report for 2022 31-401 Registration Forms Relating to the National Registration Database 31-402 Registration Forms Relating to the National Registration Database (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 31-501 [repealed] Registrant Relationships 31-502 [repealed] Proficiency Requirements for Registrants 31-503 [repealed] Limited Market Dealers 31-504 [repealed] Dealer and Advisor Applications for Registration 31-505 Conditions of Registration 31-506 [repealed] SRO Membership - Mutual Funds Dealers 31-507 [repealed] SRO Membership - Securities Dealers and Brokers 31-508 [never adopted] Permanent Registration 31-509 National Registration Database (under the Commodity Futures Act) 31-510 Notice of General Order - Ontario Instrument 31-510 Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants 31-511 Ontario Instrument 31-511 Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 31-512 Ontario Instrument 31-512 Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 31-513 Ontario Instrument 31-513 - Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants, No. 2 31-514 Ontario Instrument 31-514 – Transitional Relief Related to the Elimination of 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, Exemptions and Ongoing Registrant Obligations 31-702 Designation of Courses Under Rule 31-502 Proficiency Requirements for Registrants (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 31-705 Common Renewal Date 31-708 National Registration Database (NRD) Filing Deadlines Extended (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 31-709 National Registration Database (NRD) Filing Deadlines Extended to November 15, 2003 31-710 National Registration Database (NRD) Extention of Certain Filing Deadlines 31-711 Ontario Securities Commission Rule 31-502 - Proficiency Requirements for Registrants and Ontario Securities Commission Rule 31-505 - Conditions of Registration (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 31-712 Mutual Fund Dealers Business Arrangements 31-714 OSC Staff Supplement to 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 31-715 OSC Staff Notice 31-715, IIROC Notice Number 15-0210 and MFDA Bulletin Number 0658-C - Mystery Shopping for Investment Advice: Insights into advisory practices and the investor experience in Ontario 32-101 [repealed] Small Securityholder Selling and Purchase Arrangements 32-102 Registration Exemptions for Non-Resident Investment Fund Managers 32-501 Direct Purchase Plans 32-502 [repealed and replaced by s. 4.1 of Rule 45-501, which section was subsequently repealed] Registration Exemption for Certain Trades by Financial Intermediaries Pagination First page « First Previous page ‹ Previous Page 1 Page 2 Current page 3 Page 4 Page 5 Page 6 Page 7 Next page Next › Last page Last »
