33-109CP Registration Information [CP - Rescinded](1)

33-109CP Registration Information [CP - Rescinded]
Published September 25, 2009
Effective September 28, 2009
Rescinded/Lapsed July 11, 2011
View PDF of 33-109CP PDF 

Concurrently Published

Table of Contents

PART           TITLE
PART 1 - GENERAL

1.1 Purpose
1.2 Overview of the forms
1.3 Notice requirements
1.4 Contact information

PART 2 - FORMS USED BY INDIVIDUALS

2.1 National Registration Database (NRD)
2.2 Form 33-109F4
2.3 Form 33-109F2
2.4 Form 33-109F5 for individuals
2.5 Form 33-109F7 for reinstatement
2.6 Ongoing fitness for registration

PART 3 - FORMS USED BY FIRMS

3.1 Form 33-109F6
3.2 Form 33-109F5
3.3 Form 33-109F3
3.4 Discretionary exemption for bulk transfers
3.5 Form 33-109F1

PART 4 - DUE DILIGENCE BY FIRMS

4.1 Obligations of former sponsoring firm
4.2 Obligations of new sponsoring firm

PART 5 - COMMODITY FUTURES ACT SUBMISSIONS

5.1 Ontario
5.2 Manitoba

Appendix A - Summary of Notice Requirements under National Instrument 33-109

Appendix B - Contact Information for the Regulators and IIROC

Appendix C - Discretionary Exemption for Bulk Transfers of Locations and Individuals