11-204 Process for Registration in Multiple Jurisdictions [NP]

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11-204 Process for Registration in Multiple Jurisdictions - September 2009
Published: 2009-09-25
Effective: 2009-09-28

Concurrently Published

Document
BCN 2009/16 BCN 2009/16 Adoption of National Policy 11-204 Process for Registration in Multiple Jurisdictions and Amendments to Multilateral Instrument 11-102 Passport System, Companion Policy 11-102CP Passport System, National Policy 11-202 Process for Prospectus Reviews in Multiple Jurisdictions, National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions, and the Securities Rules [BCN]

PART 1  APPLICATION

1.1 Application

PART 2  DEFINITIONS

2.1 Definitions
2.2 Further definitions
2.3 Interpretation

PART 3  OVERVIEW AND PRINCIPAL REGULATOR

3.1 Overview
3.2  Passport registration
3.3 Interface registration
3.4 Registration in passport jurisdictions and Ontario
3.5 Registration by SRO
3.6  Principal regulator
3.7  Discretionary change of principal regulator

PART 4  GENERAL GUIDANCE FOR FIRMS AND INDIVIDUALS

4.1 Effect of submission
4.2 Fees
4.3 Firm submissions

PART 5 PASSPORT REGISTRATION

5.1 Application
5.2 Filing of materials
5.3  Registration

PART 6   INTERFACE REGISTRATION

6.1 Application
6.2  Filing materials
6.3 Decision-making process
6.4 Decision
6.5 Opportunity to be heard