33-109CP - Registration Information [CP Amendment Advance Notice - Lapsed]
| Published Date: | 2009-07-17 |
|---|---|
| Effective Date: | 2009-09-28 |
| Rescinded Date: | 2009-09-25 |
| Document(s): |
Concurrently Published:
Schedule B
British Columbia Securities Commission
Companion Policy 33-109CP
Registration Information
The British Columbia Securities Commission, considering that to do so would not be prejudicial to the public interest, orders that effective September 28, 2009, Companion Policy 33-109CP entitled Registration Information dated May 15, 2007 is revoked and the attached Companion Policy 33-109CP Registration Information is made.
, 2009
Brent W. Aitken
Acting Chair
(This part for administrative purposes only and is not part of the Order)
Authority under which Order is made:
Act and sections:- Securities Act, section 171
Other (specify):-
Companion Policy 33-109
Registration Information
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