31-102

National Registration Database [NI]

31-102CP

National Registration Database [CP]

31-103

Registration Requirements and Exemptions [NI]

31-103

Registration Requirements and Exemptions [NI Amendment Proposed]

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 Requirements [NI Amendment Proposed](1)

31-103

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

31-103CP

Registration Requirements and Exemptions [CP]

31-103CP

Registration Requirements and Exemptions [CP Amendment Proposed]

31-103CP

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

31-103F1

Calculation of Excess Working Capital [F]

31-103F1

Calculation of Excess Working Capital [F Amendment Proposed]

31-103F2

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

31-103F3

Use of Mobility Exemption [F]

31-201

National Registration System [NP]

31-311

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

31-312

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

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]

31-316

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

31-317

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

31-317

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

31-318

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

31-402

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

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]

32-507

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

32-508

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

32-509

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

32-510

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

32-511

Exemption from obligation to establish whether clients are insiders [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 Advance Notice]

32-513CP

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

32-514

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

32-515

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

32-516

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

32-517

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

33-105

Underwriting Conflicts [NI]

33-105CP

Underwriting Conflicts [CP]

33-109

Registration Information [NI]

33-109

Registration Information [NI Amendment Proposed]

33-109

Registration Information [NI Blackline Amendment Proposed]

33-109CP

Registration Information [CP]

33-109CP

Registration Information [CP Blackline Amendment Proposed]

33-109F1

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

33-109F1

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

33-109F2

Change or Surrender of Individual Categories [F]

33-109F2

Change or Surrender of Individual Categories [Blackline Amendment Proposed]

33-109F3

Business Locations other than Head Office [F]

33-109F4

Registration of Individuals and Review of Permitted Individuals [F]

33-109F4

Registration of individuals and Review of permitted individuals [Blackline Amendment Proposed]

33-109F5

Change of Registration Information [F]

33-109F6

Firm Registration [F]

33-109F6

Firm Registration [F Amendment Proposed]

33-109F6

Firm registration [Blackline Amendment Proposed]

33-109F7

Reinstatement of Registered Individuals and Permitted Individuals [F]

33-109F7

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

33-305

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

33-308

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

33-312

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

33-313

International Financial Reporting Standards and Registrants [CSA Staff Notice]

33-314

International Financial Reporting Standards and Registrants [CSA Staff Notice]

33-315

Suitability Obligation and Know Your Product [CSA Staff Notice]

33-506

Exemption from Cold Calling Restrictions for Registered Dealers [BCI]

33-511

Exemptions to extend certain NRD submission dates [BCI]

33-512

Exemption for Foreign Advisers from the NRD Account Requirements [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]

33-517

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

33-705

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

33-706

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

33-707

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