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Securities Law

11-102 - Passport System [NI Proposed - Lapsed]

Published Date: 2007-03-28
Rescinded Date: 2012-05-30
Document(s):

Concurrently Published:

PART 1 DEFINITIONS 1
1.1 Definitions 1
1.2 Language of documents - Québec 2

PART 2 CONTINUOUS DISCLOSURE 2
2.1 Exemption for non-harmonized continous disclosure requirements 2

PART 3 PROSPECTUS 2
3.1 Principal regulator for prospectus 2
3.2 Discretionary change of principal regulator for prospectus 3
3.3 Deemed issuance of receipt 3
3.4 Exemption from non-harmonized prospectus requirements 3

PART 4 REGISTRATION 4
4.1 Principal regulator for registration 4
4.2 Registration 4
4.3 Terms and conditions of registration 4
4.4 Suspension, cancellation, termination, revocation and surrender 5
4.5 Application to surrender registration 5
4.6 Transition to passport for registered firms 5
4.7 Notice of change of principal regulator for registration 6
4.8 Discretionary change of principal regulator for registration 6
4.9 Exemption from non-harmonized registration requirements 6

PART 5 DISCRETIONARY EXEMPTIONS 6
5.1 Principal regulator for general discretionary exemption applications 6
5.2 Principal regulator for discretionary exemption applications made with an application for registration 7
5.3 Discretionary change of principal regulator for discretionary exemption applications 7
5.4 National application of discretionary exemptions 7
5.5 Exception to section 5.4(1)(c) notice requirement 8

PART 6 EXEMPTION 8
6.1  Exemption 8

PART 7 EFFECTIVE DATE 8
7.1 Effective date 8

APPENDIX A* 9
Non-harmonized continuous disclosure requirements 9

APPENDIX B* 11
National prospectus requirements 11

APPENDIX C* 13
Non-harmonized prospectus requirements 13

APPENDIX D* 15
Non-harmonized registration requirements 15

APPENDIX E 17
National application of discretionary exemptions 17
Equivalent provisions 17

*Prepared on the basis of the provisions that we expect will be in force when the relevant Part is implemented.