33-109 Registration Information [NI - Rescinded](1)

[Print]

33-109 Registration Information [NI - Rescinded]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Rescinded/Lapsed July 11, 2011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

Table of Contents

PART     TITLE
PART 1 - DEFINITIONS AND INTERPRETATION

1.1 Definitions
1.2 Interpretation

PART 2 - APPLICATION FOR REGISTRATION AND REVIEW OF PERMITTED INDIVIDUALS

2.1 Firm Registration
2.2 Individual Registration
2.3 Reinstatement
2.4 Application to Change or Surrender Individual Registration Categories
2.5 Permitted Individuals
2.6 Commodity Futures Act Registrants

PART 3 - CHANGES TO REGISTERED FIRM INFORMATION

3.1 Notice of Change to a Firm’s Information
3.2 Changes to Business Locations

PART 4 - CHANGES TO REGISTERED INDIVIDUAL AND PERMITTED INDIVIDUAL INFORMATION

4.1 Notice of Change to an Individual’s Information
4.2 Termination of Employment, Partnership or Agency Relationship

PART 5 - DUE DILIGENCE AND RECORD-KEEPING

5.1 Sponsoring Firm Obligations

PART 6 - TRANSITION

6.1 All Registered Firms to File Form 33-109F6 - September 30, 2010
6.2 Notice of Change for Firms Registered before September 28, 2009
6.3 National Registration Database Transition Period
6.4 Transition - Reinstatement under Subsections 2.3(2) and 2.5(2)

PART 7 - EXEMPTION

7.1 Exemption

PART 8 - REPEAL AND EFFECTIVE DATE

8.1 Repeal
8.2 Effective Date

Form 33-109F1  Notice of Termination of Registered Individuals and Permitted Individuals

Form 33-109F2  Change or Surrender of Individual Categories

Form 33-109F3  Business Locations other than Head Office

Form 33-109F4  Registration of Individuals and Review of Permitted Individuals

Form 33-109F5  Change of Registration Information

Form 33-109F6 Firm Registration

Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individual