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History of 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

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Document Effective Rescinded Format
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI] 2018-06-12 2019-06-12
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2017-12-04 2018-06-12
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2016-07-15 2017-12-04
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2015-05-05 2017-12-04
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI] 2015-07-15 2016-07-15
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Forms

Document Effective Rescinded Format
31-103F1 Calculation of Excess Working Capital [F - Rescinded] 2015-01-11 2018-06-12
31-103F1 Calculation of Excess Working Capital [F - Rescinded] 2014-09-22 2015-01-11
31-103F1 Calculation of Excess Working Capital [F - Rescinded] 2013-05-31 2014-09-22
31-103F1 Calculation of Excess Working Capital [F - Rescinded] 2011-07-11 2013-05-31
31-103F1 Calculation of Excess Working Capital [F - Lapsed] - For financial years beginning before January 1, 2011 2009-09-28 2013-03-31
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CSA Related Documents

Document Published Lapsed Format
31-324 Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Lapsed] 2011-06-22 2016-04-14
31-337 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance as of February 27, 2014 [CSA Staff Notice - Lapsed] 2014-02-27 2016-04-14
31-313 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of December 18, 2009 [CSA Staff Notice - Lapsed] 2009-12-18 2015-07-16
31-314 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of February 5, 2010 [CSA Staff Notice - Lapsed] 2010-02-05 2015-07-16
31-315 Omnibus / blanket orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Lapsed] 2010-02-26 2015-07-16
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Advance Notices

Document Published Lapsed Format
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2018-03-29 2018-06-12
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI and F Amendment Advance Notice - Lapsed] 2018-03-29 2018-06-12
31-103 Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information, and Companion Policy 33-109CP Registration Information [CSA Notice - Lapsed] 2017-07-27 2017-12-04
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2017-07-27 2017-12-04
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed] 2017-07-27 2017-12-04
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Proposed Amendments

Document Published Lapsed Format
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2017-06-29 2018-03-29
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2017-07-06 2018-03-29
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2016-07-07 2017-07-27
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed] 2016-07-07 2017-07-27
31-103 CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations,Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information And Related Forms [CSA Notice - Lapsed] 2016-07-07 2017-07-27
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Proposed Instruments or Policies

Document Published Lapsed Format
31-103 Registration Requirements [NI Proposed - Lapsed] 2007-02-20 ---
31-103 Registration Requirements [NI Proposed - Lapsed] 2008-02-29 ---
31-103CP Registration Requirements [CP Proposed - Lapsed] 2007-02-20 ---
31-103CP Registration Requirements [CP Proposed - Lapsed] 2008-02-29 ---