Final and Approved:
August 6, 2020 |
CSA Notice of Amendments NI45-106 Prospectus Exemptions & NI31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to 45-106CP Prospectus Exemptions and 31-103CP Syndicated Mortgages
Comments Received
|
June 12, 2019 |
Unofficial Consolidation: National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 4, 2018 |
Unofficial Consolidation: Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 12, 2018 |
Unofficial Consolidation: Form 31-103F1 Calculation of Excess Working Capital
|
January 11, 2015 |
Unofficial Consolidation: Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
|
January 11, 2015 |
Unofficial Consolidation: Form 31-103F3 Use of Mobility Exemption
|
January 11, 2015 |
Unofficial Consolidation: Form 31-103F4 Net Asset Value Adjustments
|
April 16, 2020 |
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
|
April 16, 2020 |
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
|
December 19, 2019 |
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
|
December 12, 2019 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
December 12, 2019 |
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
October 3, 2019 |
CSA Notice of Amendments to NI 31-103 and 31-103CP - Reforms to Enhance The Client-Registrant Relationship (Client Focused Reforms)
|
June 6, 2019 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 6, 2019 |
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 15, 2019 |
CSA Second Notice and Request for Comment Proposed Amendments Related to Syndicated Mortgages
Comments Received
|
March 14, 2019 |
CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Custody-Related Amendments
|
October 25, 2018 |
CSA Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Custody-Related Amendments
Comments Received
|
June 7, 2018 |
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
|
June 7, 2018 |
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
|
June 7, 2018 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 7, 2018 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 29, 2018 |
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
|
March 29, 2018 |
CSA Notice of Amendments Relating to Designated Rating Organizations
|
December 4, 2017 |
Unofficial Consolidation of NI 31-103 and its CP as of December 4, 2017
|
November 30, 2017 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
November 30, 2017 |
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
|
August 25, 2017 |
Unofficial Consolidation of NI 31-103 and its CP as of July 27, 2017
|
July 27, 2017 |
Amendments to NI 31-103 and Related Instruments
|
July 6, 2017 |
CSA Notice and Request for Comment Relating to Designated Rating Organizations
Comments Received
|
June 29, 2017 |
Proposed Amendments to NI 45-102 Resale of Securities, Proposed Changes to CP 45-102CP to NI 45-102 Resale of Securities, Proposed Consequential Amendments to NI 31-103, and Proposed Consequential Changes to NP 11-206
Comments Received
|
May 21, 2015 |
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
|
May 21, 2015 |
[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
|
April 30, 2015 |
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
|
April 30, 2015 |
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
|
January 11, 2015 |
Unofficial consolidation of NI 31-103 and its CP as of January 11, 2015
|
January 15, 2015 |
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
January 15, 2015 |
Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
|
January 9, 2015 |
Notice of Ministerial Approval: Amendments to National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations And Related Instruments
|
November 13, 2014 |
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
|
October 16, 2014 |
Final amendments to NI 31-103, NI 33-109, NI 52-107, OSC rule 33-506 and OSC rule 35-502 and related forms
|
September 18, 2014 |
Change to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
May 29, 2014 |
[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
|
May 1, 2014 |
Unofficial Consolidation of NI 31-103 and its CP as of May 1, 2014
|
March 6, 2014 |
Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 6, 2014 |
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 6, 2014 |
Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP
|
December 19, 2013 |
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
|
June 6, 2013 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 6, 2013 |
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 28, 2013 |
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)
|
March 14, 2013 |
CSA Notice of Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations
|
February 10, 2012 |
Amending Instrument to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
November 25, 2011 |
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
|
History of 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
August 6, 2020 |
CSA Notice of Amendments NI45-106 Prospectus Exemptions & NI31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to 45-106CP Prospectus Exemptions and 31-103CP Syndicated Mortgages
Comments Received
|
June 12, 2019 |
Unofficial Consolidation: National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 4, 2018 |
Unofficial Consolidation: Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 12, 2018 |
Unofficial Consolidation: Form 31-103F1 Calculation of Excess Working Capital
|
January 11, 2015 |
Unofficial Consolidation: Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
|
January 11, 2015 |
Unofficial Consolidation: Form 31-103F3 Use of Mobility Exemption
|
January 11, 2015 |
Unofficial Consolidation: Form 31-103F4 Net Asset Value Adjustments
|
April 16, 2020 |
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
|
April 16, 2020 |
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
|
March 5, 2020 |
CSA Notice and Request for Comment – Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance
Comments Received
|
December 19, 2019 |
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
|
December 12, 2019 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
December 12, 2019 |
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
October 3, 2019 |
CSA Notice of Amendments to NI 31-103 and 31-103CP - Reforms to Enhance The Client-Registrant Relationship (Client Focused Reforms)
|
June 6, 2019 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 6, 2019 |
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 15, 2019 |
CSA Second Notice and Request for Comment Proposed Amendments Related to Syndicated Mortgages
Comments Received
|
March 14, 2019 |
CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Custody-Related Amendments
|
October 25, 2018 |
CSA Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Custody-Related Amendments
Comments Received
|
June 21, 2018 |
Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
Comments Received
|
June 7, 2018 |
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
|
June 7, 2018 |
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
|
June 7, 2018 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 7, 2018 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 29, 2018 |
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
|
March 29, 2018 |
CSA Notice of Amendments Relating to Designated Rating Organizations
|
March 8, 2018 |
Proposed Amendments to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages and Proposed Changes to CP 45-106CP Prospectus Exemptions
Comments Received
|
December 4, 2017 |
Unofficial Consolidation of NI 31-103 and its CP as of December 4, 2017
|
November 30, 2017 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
November 30, 2017 |
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
|
August 25, 2017 |
Unofficial Consolidation of NI 31-103 and its CP as of July 27, 2017
|
July 27, 2017 |
Amendments to NI 31-103 and Related Instruments
|
July 6, 2017 |
CSA Notice and Request for Comment Relating to Designated Rating Organizations
Comments Received
|
June 29, 2017 |
Proposed Amendments to NI 45-102 Resale of Securities, Proposed Changes to CP 45-102CP to NI 45-102 Resale of Securities, Proposed Consequential Amendments to NI 31-103, and Proposed Consequential Changes to NP 11-206
Comments Received
|
July 7, 2016 |
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
|
December 1, 2015 |
Amended and Restated Memorandum of Understanding concerning oversight of the Ombudsman for Banking Services and Investments among the Canadian Securities Administrators and OBSI
|
May 21, 2015 |
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
|
May 21, 2015 |
[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
|
April 30, 2015 |
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
|
April 30, 2015 |
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
|
January 11, 2015 |
Unofficial consolidation of NI 31-103 and its CP as of January 11, 2015
|
January 15, 2015 |
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
January 15, 2015 |
Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
|
January 9, 2015 |
Notice of Ministerial Approval: Amendments to National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations And Related Instruments
|
November 13, 2014 |
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
|
October 16, 2014 |
Final amendments to NI 31-103, NI 33-109, NI 52-107, OSC rule 33-506 and OSC rule 35-502 and related forms
|
September 18, 2014 |
Change to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
May 29, 2014 |
[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
|
May 1, 2014 |
Unofficial Consolidation of NI 31-103 and its CP as of May 1, 2014
|
March 6, 2014 |
Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 6, 2014 |
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 6, 2014 |
Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP
|
February 27, 2014 |
CSA Staff Notice: 31-337 - Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014
|
December 19, 2013 |
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
|
December 5, 2013 |
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
|
June 6, 2013 |
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
June 6, 2013 |
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
March 28, 2013 |
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)
|
March 27, 2013 |
Proposed Amendments (Related to Modernization of Investment Fund Product Regulation (Phase 2))
|
March 14, 2013 |
CSA Notice of Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations
|
November 15, 2012 |
Notice and Request for Comment: Proposed Amendments on NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Comments Received
|
June 14, 2012 |
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
Comments Received
|
June 14, 2012 |
Investor Research Reports and Document Testing
|
February 10, 2012 |
Amending Instrument to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
February 10, 2012 |
Notice of Ministerial Approval: Amendments to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
|
November 25, 2011 |
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
|
September 28, 2011 |
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
|
September 16, 2011 |
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
|
September 16, 2011 |
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
|
July 8, 2011 |
Amendments: NI 31-103 Registration Requirements and Exemptions
|
July 8, 2011 |
Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements and Exemptions and Related Instruments
|
June 22, 2011 |
Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and to Companion Policy 31-103CP
Comments Received
|
June 22, 2011 |
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)
|
May 13, 2011 |
Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103CP Registration Requirements and Exemptions - Exemptions from certain requirements for SRO Members
Comments Received
|
April 15, 2011 |
Amended National Instrument 31-103, National Instrument 33-109 and OSC Rule 33-506
|
December 10, 2010 |
Final: IFRS-Related Amendments to Securities Rules and Policies
|
December 10, 2010 |
Notice of Ministerial Approval of IFRS-Related Amendments to Securiities Rules and Regulation 1015 under the Securities Act
|
October 15, 2010 |
CSA Notice: 31-320 - Additional Request for Comment by the OSC and Autorité des Marchés Financiers on Proposed Exemptions from Investment Fund Manager Registration Requirement for International and Certain Domestic Investment Fund Managers
|
October 15, 2010 |
Notice of and Request for Comment: Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions -- Registration of International and Certain Domestic Investment Fund Managers
Comments Received
|
October 15, 2010 |
CSA Proposed Amendments to NI 31-103 Registration Requirements and Exemptions. Registration of international and certain domestic investment fund managers
|
October 1, 2010 |
Notice of IFRS-Related Amendments to Registration Materials
|
June 25, 2010 |
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
|
February 5, 2010 |
CSA Staff Notice: 31-314 - NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of February 5, 2010
|
December 18, 2009 |
CSA Staff Notice: 31-313 - NI 31-103 Registration Requirements and Exemptions and related instruments – Frequently Asked Questions as of December 18, 2009
|
November 27, 2009 |
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
|
October 23, 2009 |
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
|
September 18, 2009 |
National Instrument: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
|
September 18, 2009 |
Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
|
August 7, 2009 |
Notice of Correction: NI 31-103 - Registration Requirements and Exemptions (July 17, 2009, Supplement 2) - Appendix A of CSA Notice
|
July 17, 2009 |
Notice of National Instrument: NI 31-103 - Registration Requirements and Exemptions and CSA Notice of Rule, Companion Policy and Consequential Amendments to Related Instruments
|
July 17, 2009 |
Notice: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
National Instrument: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
Companion Policy: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
Summary of comments and responses on the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
Summary of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
Concordance of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
Blackline of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
Alternative approach to regulating exempt market intermediaries in certain jurisdictions: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
CSA Staff Notice: 31-311 - Proposed National Instrument - Transition into the new registration regime: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
Adoption of the Instrument and consequential amendments: NI 31-103 - Registration Requirements and Exemptions
|
July 17, 2009 |
Amendment (Related to National Instrument 31-103 effective September 28, 2009)
|
July 17, 2009 |
Notice of Amendments
|
July 17, 2009 |
Notice of CSA Approval: NI 31-103 - Registration Requirements and Exemptions
|
June 12, 2009 |
CSA Staff Notice: 31-311
|
April 3, 2009 |
CSA Staff Notice: 31-310 - Proposed NI 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements
|
April 24, 2008 |
Notice and Request for Comments: NI 31-103 - Registration Requirements
|
April 24, 2008 |
Proposed National Instrument: NI 31-103 - Registration Requirements
|
February 29, 2008 |
Proposed NI 31-103 Registration Requirements, Proposed Companion Policy 31-103CP and Proposed Consequential Amendments: NI - 31-103 - Registration Requirements
Comments Received
|
February 29, 2008 |
Notice: Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
|
February 29, 2008 |
Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
|
February 23, 2007 |
Notice of CSA Request for Comments: NI 31-103 - Registration Requirements
Comments Received
|
February 20, 2007 |
Proposed National Instrument, Notice and Request for Comments, Companion Policy and related forms: NI 31-103 - Registration Requirements
|
February 20, 2007 |
Proposed National Instrument: NI 31-103 - Registration Requirements
|
February 20, 2007 |
Proposed Companion Policy: NI 31-103 - Registration Requirements
|
February 20, 2007 |
Notice and Request for Comment: NI 31-103 - Registration Requirements
|