3 - Registration Requirements and Related Matters

31-102

National Registration Database [NI]

31-102

National Registration Database [NI Amendment Proposed]

31-102CP

National Registration Database [CP]

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]

31-103

Registration Requirements and Exemptions [NI] - For financial years beginning before January 1, 2011

31-103

NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions Updated as of February 5, 2010 [CSA Staff Notice]

31-103

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

31-103

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

31-103

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

31-103

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

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendments Advance Notice]

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions...[CSA Notice of Amendments]

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP]

31-103CP

Registration Requirements and Exemptions [CP] - For financial years beginning before January 1, 2011

31-103CP

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

31-103CP

Registration Requirements [CP Amendment Proposed]

31-103CP

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

31-103CP

Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendments Advance Notice]

31-103F1

Calculation of Excess Working Capital [F]

31-103F1

Calculation of Excess Working Capital [F] - For financial years beginning before January 1, 2011

31-103F2

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

31-103F2

Submission to Jurisdiction and Appointment of Agent for Service [F Amendment Proposed]

31-103F3

Use of Mobility Exemption [F]

31-202

Registration Requirement for Investment Fund Managers [MP]

31-313

NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of December 18, 2009 [CSA Staff Notice]

31-314

NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of February 5, 2010 [CSA Staff Notice]

31-315

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

31-317

Reporting Obligations Related to Terrorist Financing [Revised CSA Staff Notice]

31-323

Guidance Relating to the Registration Obligations of Mortgage Investment Entities [CSA Staff Notice]

31-324

Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice]

31-325

Marketing Practices of Portfolio Managers [CSA Staff Notice]

31-326

Outside Business Activities [CSA Staff Notice]

31-327

Broker-Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice]

31-328

Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103... [CSA Staff Notice]

31-329

Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations... [CSA Staff Notice]

31-330

Omnibus/Blanket Orders Extending Certain Transition Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute...[CSA Staff Notice]

31-331

Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice]

31-332

Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers [CSA Staff Notice]

31-333

Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice]

31-506

Exemption for Investment Industry Regulatory Organization of Canada members from obligation to provide relationship disclosure [BCI]

31-507

Exemption for Mutual Fund Dealers Association Members from obligation to provide relationship disclosure [BCI]

31-508

Transitional Relief from the Requirement to Register as an Investment Fund Manager [BCI]

31-509

Transitional Relief from the Requirement to Provide Dispute Resolution Services Prescribed by Section 13.16 of NI 31-103 [BCI]

31-601

Registration Requirements [BCP]

32-503

Registration Exemption for Approved Persons of the Mutual Funds Dealers Association of Canada [BCI]

32-506

Exemption from compensation or contingency trust fund [BCI]

32-509

Continuation of transition provisions for persons and companies adding a jurisdiction [BCI]

32-512

Exemption from time limits on examination requirements for dealing representatives of scholarship plan dealers [BCI]

32-513

Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions [BCI]

32-513CP

Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions [CP]

32-517

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

32-522

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

32-522

Exemption from the registration requirement for tradesin short-term debt instruments [BCI Amendment Proposed]

32-523

Exemption from the requirement to register for international advisers [BCI]

32-524

Exemption from the requirement to register for international dealers [BCI]

33-105

Underwriting Conflicts [NI]

33-105CP

Underwriting Conflicts [CP]

33-109

Registration Information [NI]

33-109

Registration Information [NI Amendment Advance Notice](1)

33-109CP

Registration Information [CP]

33-109F1

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

33-109F2

Change or Surrender of Individual Categories [F]

33-109F3

Business Locations Other than Head Office [F]

33-109F4

Registration of Individuals and Review of Permitted Individuals [F]

33-109F5

Change of Registration Information [F]

33-109F6

Firm Registration [F]

33-109F7

Reinstatement of Registered Individuals and Permitted Individuals [F]

33-305

Sale of Insurance Products by Dually Employed Salespersons [CSA Staff Notice]

33-315

Suitability Obligation and Know Your Product [CSA Staff Notice]

33-403

The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients [CSA Consultation Paper]

33-506

Exemption from Cold Calling Restrictions for Registered Dealers [BCI]

33-513

Exemption from Capital and Bonding Requirements for MFDA Members [BCI]

33-514

Exemption from capital and bonding requirements for certain portfolio managers [BCI]

33-515

Exemption from capital and bonding requirements for Investment Industry Regulatory Organization of Canada members [BCI]

33-705

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

33-705

Conditions of Registration and Order of the Executive Director for Investment Dealers with a BC Office that Trade in the U.S. Over-the-Counter Markets [BCIN Amendment Proposed]

33-706

Discrepancy in Terms, Definitions and Registration Categories between the Securities Act and National Instrument 31-103 Registration Requirements and Exemptions [BCIN]

33-902F

Joint Regulatory Financial Questionnaire and Report [F]

33-903F

Report Of Risk Adjusted Capital [F]

33-904F

Subordination Agreement [F]

33-905F

Report of working capital [F]

33-906F

Statement of Financial Condition (Audited) [F]

34-202

Registrants Acting as Corporate Directors [MI]

35-101

Conditional Exemption From Registration For United States Broker-Dealers And Agents [NI]

35-101CP

Conditional Exemption From Registration For United States Broker-Dealers And Agents [CP]

35-101F1

Form Of Submission To Jurisdiction And Appointment Of Agent For Service Of Process By Broker-Dealer [F]

35-101F2

Form Of Submission To Jurisdiction And Appointment Of Agent For Service Of Process By Agents Of The Broker-Dealer [F]