3 - Registration Requirements and Related Matters

31-101

Mutual Reliance Review System for Registration [NI Proposed - Lapsed]

31-101

National Registration System [NI Advance Notice - Lapsed]

31-101

National Registration System [NI Amendment - Lapsed](1)

31-101

National Registration System [NI - Rescinded]

31-101

Requirements under the National Registration System [NI Proposed - Lapsed]

31-101

Amendments to National Instrument 31-101 National Registration System [NI Proposed - Lapsed]

31-101

National Registration System [NI Amendment - Lapsed]

31-101

National Registration System [NI Amendment Advance Notice - Lapsed]

31-101

National Registration System [NI Amendment Advance Notice - Lapsed](1)

31-101

National Registration System [NI - Rescinded](1)

31-101

National Registration System [NI - Rescinded](2)

31-101CP

Mutual Reliance Review System for Registration [CP Proposed - Lapsed]

31-101F1

Election to use NRS and Determination of Principal Regulator [F - Rescinded]

31-101F1

Election to use NRS and Determination of Principal Regulator [F - Rescinded](1)

31-101F2

Notice of Change [F - Rescinded]

31-101F2

Notice of Change [F - Rescinded](1)

31-102

National Registration Database (NRD) [MI Proposed - Lapsed]

31-102

National Registration Database (NRD) [MI Proposed - Lapsed]

31-102

National Registration Database [MI - Rescinded]

31-102

National Registration Database [NI Amendment - Lapsed]

31-102

National Registration Database [MI Amendment Proposed - Lapsed]

31-102

National Registration Database Amendment Instrument [NI Amendment - Lapsed]

31-102

National Registration Database [NI Amendment Instrument Proposed - Lapsed]

31-102

National Registration Database [NI Amendment Proposed - Lapsed]

31-102

National Registration Database [NI - Rescinded]

31-102

National Registration Database [NI Amendment Advance Notice - Lapsed]

31-102CP

National Registration Database [CP Blackline Amendment - Lapsed]

31-102CP

National Registration Database (NRD) [CP Proposed - Lapsed]

31-102CP

National Registration Database (NRD) [CP Proposed - Lapsed]

31-102CP

National Registration Database [CP - Lapsed]

31-102CP

National Registration Database [CP Blackline - Lapsed]

31-102CP

National Registration Database [CP Amendment Proposed - Lapsed]

31-102CP

National Registration Database [CP Proposed - Lapsed]

31-102CP

National Registration Database [CP - Rescinded]

31-102CP

National Registration Database [CP Blackline Amendment Advance Notice - Lapsed]

31-102F1

Enrolment Form - Firm Filer [F Proposed - Lapsed]

31-102F1

Enrolment Form - Firm Filer [F Proposed - Lapsed](1)

31-102F2

Enrolment Of Chief Authorized Firm Representative [F Proposed - Lapsed]

31-102F2

Enrolment Of Chief Authorized Firm Representative [F Proposed - Lapsed](1)

31-102F3

Account Holder Authorization [F Proposed - Lapsed]

31-102F3

Account Holder Authorization [F Proposed - Lapsed](1)

31-103

Registration Requirements [NI Proposed - Lapsed]

31-103

Registration Requirements [NI Proposed - Lapsed](1)

31-103

Registration Requirements and Exemptions [NI Advance Notice - Lapsed]

31-103

Registration Requirements and Exemptions [NI Amendment Proposed - Lapsed]

31-103

Registration Requirements and Exemptions [NI Amendment Advance Notice - Lapsed]

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed]

31-103

Registration Requirements, Exemptions and Ongoing Requirements [NI Amendment Proposed - Lapsed]

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Advance Notice - Lapsed]

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed]

31-103

Registration Requirements and Exemptions [NI - Rescinded] - For financial years beginning on or after January 1, 2011

31-103

Registration Requirements and Exemptions [NI Blackline Amendment Proposed - Lapsed]

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed](1)

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed](1)

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]

31-103

Registration Requirements and Exemptions [NI Amendment Proposed - Lapsed](1)

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed](1)

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed](2)

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed](2)

31-103CP

Registration Requirements [CP Proposed - Lapsed]

31-103CP

Registration Requirements [CP Proposed - Lapsed](1)

31-103CP

Registration Requirements and Exemptions [CP Advance Notice - Lapsed]

31-103CP

Registration Requirements and Exemptions [CP Amendment Advance Notice - Lapsed]

31-103CP

Registration Requirements and Exemptions [CP Amendment Proposed - Lapsed]

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed]

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Advance Notice - Lapsed]

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed]

31-103CP

Registration Requirements and Exemptions [CP - Rescinded] - For financial years beginning on or after January 1, 2011

31-103CP

Registration Requirements and Exemptions [CP Blackline Amendment Proposed - Lapsed]

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed]

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed](1)

31-103CP

Registration Requirements and Exemptions [CP Amendment Proposed - Lapsed](1)

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed - Lapsed]

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed](1)

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded](1)

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed](2)

31-103F1

Calculation of Excess Working Capital [F Advance Notice - Lapsed]

31-103F1

Calculation of Excess Working Capital [F Amendment Advance Notice - Lapsed]

31-103F1

Calculation of Excess Working Capital [F Amendment Proposed - Lapsed]

31-103F1

Calculation of Excess Working Capital [F - Rescinded] - For financial years beginning on or after January 1, 2011

31-103F1

Calculation of Excess Working Capital [F Amendment Proposed - Lapsed](1)

31-103F2

Submission to Jurisdiction and Appointment of Agent for Service [F Advance Notice - Lapsed]

31-103F2

Submission to Jurisdiction and Appointment of Agent for Service [F - Rescinded]

31-103F3

Use of Mobility Exemption [F Advance Notice - Lapsed]

31-103F3

Use of Mobility Exemption [F - Rescinded]

31-201

Amendments to National Policy 31-201 National Registration System [NP Amendment Proposed - Lapsed]

31-201

National Registration System [NP Advance Notice - Lapsed]

31-201

National Registration System [NP Amendment - Lapsed]

31-201

National Registration System [NP - Rescinded](1)

31-201

National Registration System [NP Proposed - Lapsed]

31-201

National Registration System [NP Amendment - Lapsed](1)

31-201

National Registration System [NP - Rescinded]

31-202

Registration Requirement for Investment Fund Managers [MP Proposed - Lapsed]

31-202

Registration Requirement for Investment Fund Managers [MP Advance Notice - Lapsed]

31-301

The Year 2000 Challenge [CSA - Rescinded]

31-302

Securities Industry Contingency Planning [CSA - Rescinded]

31-303

System Changes for Market Participants after Completion of Year 2000 Testing [CSA - Rescinded]

31-304

Year 2000: Backup of Records [CSA Staff Notice - Rescinded]

31-305

Registration Streamlining System [CSA Staff Notice - Rescinded]

31-308

Frequently asked questions regarding National Instrument 31-101 National Registration System and National Policy 31-201 National Registration System [CSA - Rescinded]

31-309

Proposed National Instrument 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements [CSA Staff Notice - Rescinded]

31-310

Proposed National Instrument 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements [CSA Staff Notice - Rescinded]

31-311

Proposed National Instrument 31-103 Registration Requirements and Exemptions Transition into the new registration regime [CSA Staff Notice - Rescinded]

31-312

The Exempt Market Dealer Category under National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Rescinded]

31-316

Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments [CSA Staff Notice - Rescinded]

31-317

Reporting Obligations Related to Terrorist Financing for Registrants, Exempt International Dealers, and Exempt International Advisers [CSA Staff Notice - Rescinded]

31-318

Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers [CSA Staff Notice - Lapsed]

31-319

Further omnibus / blanket orders exempting registrants from certain provisions of Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Rescinded]

31-321

Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Rescinded]

31-322

Extension of Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers [CSA Staff Notice - Rescinded]

31-401

Registration Forms Relating to the National Registration Database [CSA Staff Notice - Rescinded]

31-402

Registration Forms Relating to the National Registration Database [CSA Staff Notice - Rescinded]

31-501

Registration of Brokers and Investment Dealers [BCI - Rescinded]

31-501CP

Registration of Brokers and Investment Dealers [CP - Rescinded]

31-502

Web-Posted Notice Confirming Registration [BCI - Rescinded]

31-503

Exchange Contracts Dealers Trading in Commodity Pool Securities Amendment Instrument [BCI Amendment Proposed - Lapsed]

31-503

Exchange Contracts Dealers Trading In Commodity Pool Securities [BCI - Rescinded]

31-504

Temporary exemption for mutual fund dealers from MFDA membership [BCI - Rescinded]

31-505

Temporary exemption for mutual fund dealers from MFDA membership [BCI - Rescinded]

31-601

Registration Requirements [BCP - Rescinded]

31-601

Registration Requirements [BCP - Rescinded](1)

31-601

Registration Requirements [BCP - Rescinded](2)

31-601

Registration Requirements [BCP - Rescinded](3)

31-601

Registration Requirements [BCP - Rescinded](4)

31-601

Registration Requirements [BCP - Rescinded](5)

31-601

Registration Requirements [BCP Amendment Advance Notice - Lapsed]

31-601

Registration Requirements [BCP Amendment - Lapsed]

31-701

Advising under the Securities Act [BCIN- Rescinded]

31-702

Web-Posted Notice Confirming Registration [BCIN] - Rescinded

31-901F

Application for Registration as a Dealer or Adviser [Proposed F - Lapsed]

31-901F

Application for Registration as Dealer, Adviser or Underwriter [F] - Rescinded

31-902F

Personal Information Form [Proposed F - Lapsed]

31-902F

Uniform application for registration / approval (BC) [F - Rescinded]

31-903F

Consent to a Criminal Records Check [F - Rescinded]

31-904F1

Uniform Application For Renewal Of Registration [F - Rescinded]

31-904F2

Application for Bulk Renewal of Registration (Firms & Individuals) [F - Rescinded]

31-904F2

Application for Bulk Renewal of Registration (Firms & Individuals) [F - Rescinded](1)

31-904F3

Application for Bulk Renewal of Registration (Individuals) [F - Rescinded]

31-905F

Application for Amendment of Registration as Dealer, Adviser or Underwriter [F - Rescinded]

31-906F

Application for Transfer/Change of Status [F - Rescinded]

32-101

Small Securityholder Selling and Purchase Arrangements [NI - Rescinded]

32-501

Advising & Related Trading Under an Exemption Amendment Instrument [BCI Amendment Proposed - Lapsed]

32-501

Advising And Related Trading Under An Exemption [BCI- Rescinded]

32-502

Exemption from suitability requirements [BCI- Rescinded]

32-503

Registration Exemption for Salespersons’ Corporations Amendment Instrument [BCI Amendment Proposed - Lapsed]

32-503

Registration Exemption for Approved Persons of the Mutual Funds Dealers Association of Canada [BCI Amendment Advance Notice - Lapsed]

32-503

Registration Exemption for Salespersons’ Corporations [BCI - Rescinded]

32-504

Registrant disclosure of conflicts of interest [BCI] - Rescinded

32-505

Exemption for Mutual Fund Dealers to Sell Securities of Certain Employee Venture Capital Corporations and Venture Capital Corporations [BCI] - Rescinded

32-507

Exemption from chief compliance officer proficiency requirements for portfolio managers adding a jurisdiction [BCI - Revoked]

32-508

Exemption from dealing representative proficiency requirements for portfolio managers adding a jurisdiction [BCI - Revoked]

32-510

Exemption from requirement to provide notice to clients where head office is outside of British Columbia [BCI - Revoked]

32-511

Exemption from obligation to establish whether clients are insiders [BCI - Rescinded]

32-511

Exemption from obligation to establish whether clients are insiders [BCI - Revoked]

32-513

Registration exemption for trades in connection with certain prospectus-exempt distributions [BCI - Rescinded]

32-513CP

Registration exemption for trades in connection with certain prospectus-exempt distributions [CP - Rescinded]

32-514

Exemption from certain registration requirements for foreign-based portfolio managers [BCI - Lapsed]

32-515

Exemption from the registration requirement for trades in short-term debt instruments [BCI - Rescinded]

32-516

Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers [BCI - Lapsed]

32-517

Exemption from Dealer Registration Requirement for Trades In Securities of Mortgage Investment Entities [BCI - Rescinded]

32-517

Exemption from Dealer Registration Requirement for Trades In Securities of Mortgage Investment Entities [BCI - Rescinded](1)

32-517

Exemption from Dealer Registration Requirement for Trades In Securities of Mortgage Investment Entities [BCI - Rescinded](2)

32-517

Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities [BCI - Rescinded](3)

32-518

Exemption for Investment Industry Regulatory Organization of Canada Members from Obligation to Provide Relationship Disclosure [BCI - Rescinded]

32-519

Exemption for Mutual Fund Dealers Association Members from Obligation to Provide Relationship Disclosure [BCI - Rescinded]

32-520

Exemption from specific obligation to identify those who own or control more than 10% of a corporate client [BCI - Revoked]

32-521

Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers [BCI - Lapsed]

32-901F

Information Statement Required under Section 46 (g) of the Act [F - Rescinded]

32-901F

Information statement required for exempt trades by not for profit issuers [F- Rescinded]

33-101

Administration of Self-Directed RRSPS, RESPS and RRIFS by Dealers [Proposed NI - Lapsed]

33-102

Proposed Consequential and Related Amendments to the Securities Rules Relating to National Instrument 33-102 - Registrant Dealing with Clients [NI Amendment Proposed - Lapsed]

33-102

Registrant Dealings With Clients [NI Proposed - Lapsed]

33-102

Regulation of Certain Registrant Activities [NI - Rescinded]

33-102CP

Registrant Dealings With Clients [Proposed CP - Lapsed]

33-102CP

Regulation of Certain Registrant Activities [CP - Rescinded]

33-103

Distribution Networks [Proposed NI - Lapsed]

33-104

Selling Arrangements [Proposed NI - Lapsed]

33-104CP

Selling Arrangements [Proposed CP - Lapsed]

33-105

Underwriting Conflicts [NI - Rescinded]

33-105

Underwriting Conflicts [MLI Proposed - Lapsed]

33-105

Underwriting Conflicts [MLI Proposed - Lapsed](1)

33-105

Underwriting Conflicts [NI Amendment Advance Notice - Lapsed]

33-105

Underwriting Conflicts [NI - Rescinded](1)

33-105CP

Underwriting Conflicts [Proposed CP - Lapsed]

33-105CP

Underwriting Conflicts [Proposed CP - Lapsed](1)

33-105CP

Underwriting Conflicts [CP - Rescinded]

33-106

Year 2000 Preparation Reporting [NI - Rescinded]

33-107

Proficiency Requirements for Registrants Holding Themselves Out as Providing Financial Planning Advice [Proposed MLI - Lapsed]

33-107F1

Proficiency Requirements for Registrants Holding Themselves Out as Providing Financial Planning Advice [Proposed F - Lapsed]

33-109

Registration Information [MI - Rescinded]

33-109

Registration Information [NI Amendment - Lapsed]

33-109

Registration Information [NI Amendment - Lapsed](1)

33-109

Registration Information [NI Amendment Proposed - Lapsed]

33-109

Registration Information [MI Proposed - Lapsed]

33-109

Registration Information Requirements [MI Proposed - Lapsed]

33-109

Registration Information [NI Amendment Proposed - Lapsed](1)

33-109

Registration Information [NI - Rescinded]

33-109

Registration Information [NI Amendment Advance Notice - Lapsed]

33-109

Registration Information [NI Amendment Advance Notice - Lapsed](1)

33-109

Registration Information [NI Amendment Proposed - Lapsed](2)

33-109

Registration Information [NI Blackline Amendment Proposed - Lapsed]

33-109

Registration Information [NI Advance Notice - Lapsed]

33-109

Registration Information [NI Amendment Advance Notice - Lapsed](2)

33-109

Registration Information [NI Blackline Amendment Advanced Notice - Lapsed]

33-109

Registration Information [NI - Rescinded](1)

33-109CP

Registration Information [CP - Lapsed]

33-109CP

Registration Information [CP Amendment Blacklined - Lapsed]

33-109CP

Registration Information [CP Blackline Amendment - Lapsed]

33-109CP

Registration Information [CP Proposed Amendment - Lapsed]

33-109CP

Registration Information [Proposed CP - Lapsed]

33-109CP

Registration Information Requirements [Proposed CP - Lapsed]

33-109CP

Registration Information 33-109CP Registration Information [CP Amendment Proposed - Lapsed]

33-109CP

Registration Information [CP - Rescinded]

33-109CP

Registration Information [CP Amendment Advance Notice - Lapsed]

33-109CP

Registration Information [CP Blackline Amendment Proposed - Lapsed]

33-109CP

Registration Information [CP Advance Notice - Lapsed]

33-109CP

Registration Information [CP Blackline Amendment Advance Notice - Lapsed]

33-109CP

Registration Information [CP - Rescinded](1)

33-109F1

Notice of Termination [F - Lapsed]

33-109F1

Notice of Termination [Proposed F - Lapsed]

33-109F1

Notice of Termination [Proposed F - Lapsed](1)

33-109F1

Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Proposed - Lapsed]

33-109F1

Notice of termination [F Proposed - Lapsed]

33-109F1

Notice of Termination [F - Rescinded]

33-109F1

Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]

33-109F1

Notice of Termination of Registered Individuals and Permitted Individuals [F Blackline Amendment Proposed - Lapsed]

33-109F1

Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed](1)

33-109F1

Notice of Termination of Registered Individuals and Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]

33-109F1

Notice of Termination of Registered Individuals and Permitted Individuals [F - Rescinded]

33-109F2

Change of Individual Categories [Proposed F - Lapsed]

33-109F2

Change or Surrender of Individual Categories [F - Lapsed]

33-109F2

Change or Surrender of Individual Categories [Proposed F - Lapsed]

33-109F2

Change or Surrender of Individual Categories [F Amendment Proposed - Lapsed]

33-109F2

Change or Surrender of Individual Categories [F - Rescinded]

33-109F2

Change or Surrender of Individual Categories [F Amendment Advance Notice - Lapsed]

33-109F2

Change or Surrender of Individual Categories [F Blackline Amendment Proposed - Lapsed]

33-109F2

Change or Surrender of Individual Categories [F Amendment Advance Notice - Lapsed](1)

33-109F2

Change or Surrender of Individual Categories [F Blackline Amendment Advance Notice - Lapsed]

33-109F2

Change or Surrender of Individual Categories [F - Rescinded](1)

33-109F3

Business Location Other than Head Office [F - Lapsed]

33-109F3

Business Locations Other Than Head Office [Proposed F - Lapsed]

33-109F3

Business Locations other than Head Office [Proposed F - Lapsed](1)

33-109F3

Business Locations other than Head Office [F Amendment Proposed - Lapsed]

33-109F3

Business Location Other Than Head Office [F - Rescinded]

33-109F3

Business Locations other than Head Office [F Amendment Advance Notice - Lapsed]

33-109F3

Business Locations Other than Head Office [F Amendment Advance Notice - Lapsed](1)

33-109F3

Business Locations other than Head Office [F Blackline Amendment Advance Notice - Lapsed]

33-109F3

Business Locations other than Head Office [F - Rescinded]

33-109F4

Registration Information for an Individual [F - Lapsed]

33-109F4

Registration Information For An Individual [Proposed F - Lapsed]

33-109F4

Registration Information for an Individual [Proposed F - Lapsed](1)

33-109F4

Application for Registration of Individuals and Review of Permitted Individuals [F Amendment Proposed - Lapsed]

33-109F4

Application for Registration of Individuals and Permitted Individuals [F Proposed - Lapsed]

33-109F4

Registration Information For An Individual [F - Rescinded]

33-109F4

Registration of Individuals and Review of Permitted Individuals [F Amendment Advance Notice - Lapsed]

33-109F4

Registration of Individuals and Review of Permitted individuals [F Blackline Amendment Proposed - Lapsed]

33-109F4

Registration of Individuals and Review of Permitted Individuals [F Amendment Advance Notice - Lapsed](1)

33-109F4

Registration of Individuals and Review of Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]

33-109F4

Registration of Individuals and Review of Permitted Individuals [F - Rescinded]

33-109F5

Change of Registration Information [F - Lapsed]

33-109F5

Change Of Registration Information [Proposed F - Lapsed]

33-109F5

Change of Registration Information [Proposed F - Lapsed](1)

33-109F5

Change of Information in Form 33-109F4 General Instructions [F Amendment Proposed - Lapsed]

33-109F5

Change of Registration Information [F - Rescinded]

33-109F5

Change of Registration Information [F Amendment Advance Notice - Lapsed]

33-109F5

Change of Registration Information [F Amendment Advance Notice - Lapsed](1)

33-109F5

Change of Registration Information [F Blackline Amendment Advance Notice - Lapsed]

33-109F5

Change of Registration Information [F - Rescinded](1)

33-109F6

Application for Registration as a Dealer, Adviser or Investment Fund Manager for Securities and/or Derivatives [Paper Version] [F Amendment Proposed - Lapsed]

33-109F6

Application for registration as a dealer, adviser or investment fund manager for securities and/or derivatives [F Proposed - Lapsed]

33-109F6

Firm Registration [F Amendment Advance Notice - Lapsed]

33-109F6

Firm Registration [F Amendment Advance Notice - Lapsed](1)

33-109F6

Firm Registration [F Amendment Proposed - Lapsed]

33-109F6

Firm Registration [F - Rescinded]

33-109F6

Firm Registration [Blackline Amendment Proposed - Lapsed]

33-109F6

Firm Registration [F Amendment Advance Notice - Lapsed](2)

33-109F6

Firm Registration [F Blackline Amendment Advance Notice - Lapsed]

33-109F6

Firm Registration [F - Rescinded](1)

33-109F6

Firm Registration [F Amendment Proposed - Lapsed](1)

33-109F7

Notice of Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Proposed - Lapsed]

33-109F7

Notice of Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]

33-109F7

Reinstatement of Registered Individuals and Permitted Individuals [Blackline Amendment Proposed - Lapsed]

33-109F7

Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]

33-109F7

Reinstatement of Registered Individuals and Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]

33-109F7

Reinstatement of Registered Individuals and Permitted Individuals [F - Rescinded]

33-201

Networking And Selling Arrangement Notices [Proposed NP - Lapsed]

33-301

National Instrument 33-106 Year 2000 Preparation Reporting [CSA - Rescinded]

33-302

National Instrument 33-106 Non-Compliant Registered Firms and Possible Terms and Conditions [CSA - Rescinded]

33-303

Trust Accounts for Mutual Fund Securities [CSA - Staff Notice - Rescinded]

33-304

CSA Distribution Structures Committee Position Paper [CSA - Rescinded]

33-308

The CSA STP Readiness Assessment Survey Report (Survey Report) is now available on the OSC Website [CSA Staff Notice - Rescinded]

33-310

Joint Forum Releases Summary of Comments and Responses on Principles and Practices for the Sale of Products and Services in the Financial Sector [CSA Notice - Lapsed]

33-312

The CSA STP Readiness Assessment Survey Report is now available on the OSC Website [CSA Staff Notice - Rescinded]

33-313

International Financial Reporting Standards and Registrants [CSA Staff Notice - Rescinded]

33-314

International Financial Reporting Standards and Registrants [CSA Staff Notice - Rescinded]

33-401

Canadian Capital Markets Association - T + 1 White Paper [CSA - Rescinded]

33-402

Joint Forum Requests Comments on Principles and Practices for the Sale of Products and Services in the Financial Sector [CSA Notice - Lapsed]

33-501

Cold Calling by Members of Self Regulatory Bodies [BCI - Rescinded]

33-502

Registration Requirements for Members of the Investment Dealers Association of Canada [BCI- Rescinded]

33-503

Extension of Application Deadlines for Self-Regulatory Organizations [BCI - Rescinded]

33-504

Exemption From Section 80(2) Of The Securities Rules [BCI- Rescinded]

33-505

Underwriting Conflicts [BCI - Rescinded]

33-506

Exemption from Cold Calling Restrictions for Registered Dealers [BCI Amendment Proposed - Lapsed]

33-506

Exemption from cold calling restrictions for Registered Dealers [BCI - Rescinded]

33-506

Exemption from cold calling restrictions for registered dealers [BCI Amendment Advance Notice - Lapsed]

33-507

Temporary exemption for using past registration forms [BCI - Rescinded]

33-508

Exemption from sections 16 and 73 of the Securities Rules – Registrant Ownership [BCI- Rescinded]

33-509

Exemptions to extend certain NRD submission dates [BCI - Rescinded]

33-510

Exemptions to further extend certain NRD submission dates [BCI - Rescinded]

33-511

Exemptions to extend certain NRD submission dates [BCI - Rescinded]

33-511

Exemptions to extend certain NRD submission dates [BCI - Rescinded](1)

33-512

Exemption for foreign advisers from the NRD account requirements [BCI - Rescinded]

33-512

Exemption for Foreign Advisers from the NRD Account Requirements [BCI Amendment Advance Notice - Lapsed]

33-512

Exemption for Foreign Advisers from the NRD Account Requirements [BCI - Rescinded](1)

33-513

Exemption from financial statement, capital and bonding requirements for MFDA members [BCI - Rescinded]

33-513

Exemption from financial statement, capital and bonding requirements for MFDA Members [BCI Amendment Advance Notice - Lapsed]

33-514

Exemption from capital, bonding and financial reporting requirements for certain portfolio managers and investment counsel [BCI - Rescinded]

33-514

Exemption from capital, bonding and financial reporting requirements for certain portfolio managers and investment counsel [BCI Amendment Advance Notice - Lapsed]

33-515

Exemption from financial statement, capital and bonding requirements for IDA members [BCI Amendment Advance Notice - Lapsed]

33-515

Exemption from financial statement, capital, and bonding requirements for IDA members [BCI - Rescinded]

33-517

Registration and Prospectus Exemption for Persons Registered under the Mortgage Brokers Act [BCI - Rescinded]

33-5xx

Registration exemption for trades in connection with certain prospectus-exempt distribution [BCP Advance Notice - Lapsed]

33-5XX

Registration Requirements [BCI Proposed - Lapsed]

33-701

Trading by Limited Dealers under Registration and Prospectus Exemptions [BCIN - Rescinded]

33-701

Trading by Limited Dealers under Registration and Prospectus Exemptions [BCIN - Rescinded](1)

33-701

Trading by Limited Dealers under Registration and Prospectus Exemptions [BCIN - Rescinded](2)

33-701

Trading by Limited Dealers under Registration and Prospectus Exemptions [BCIN- Rescinded]

33-702

Powers of Attorney and Trading Authorities - Registrants’ Duties [BCIN- Rescinded]

33-703

Dealers and their Salespersons [BCIN - Rescinded]

33-705

Conditions of Registration for Investment Dealers that Trade in the U.S. Over-the-Counter Markets [BCIN - Lapsed]

33-705

Conditions of Registration for Investment Dealers with a BC Office that Trade in the U.S. Over-the-Counter Markets [BCIN - Rescinded]

33-707

Registration and Prospectus Exemptions for Persons Registered under the Mortgage Brokers Act [BCIN - Lapsed]

33-901F

Uniform Termination Notice [F - Rescinded]

33-906F

Statement of Financial Condition (Audited) [F - Rescinded]

33-907F

Conflict of Interest Rules Statement [F - Rescinded]

33-908F

Statement and Undertaking [F - Rescinded]

33-XXX

Blanket Order providing registration exemption for capital raising [BCI Advance Notice]

34-202

Registrants Acting as Corporate Directors [MLP - Rescinded]

34-901F

Summons for an Examination Under Section 38 (c) [F - Rescinded]

35-101

Conditional Exemption From Registration for United States Broker-Dealers and Agents [NI Proposed - Lapsed]

35-101CP

Conditional Exemption From Registration for United States Broker-Dealers and Agents [Proposed CP - Lapsed]

35-301

Conditional Exemption from Registration for United States Broker-Dealers and Agents [CSA - Rescinded]

35-501

Remote Access Trades on the Canadian Venture Exchange [BCI] - Rescinded

35-901F

Additional Information From Out-of-Province Registrants [F - Rescinded]