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33-109 Registration Information

Document Published Effective
33-109 Registration Information [NI - Rescinded]
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2022-06-06 2022-06-06
33-109 Registration Information [NI - Rescinded]
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2018-06-12 2018-06-12
33-109 Registration Information [NI - Rescinded]
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2017-12-04 2017-12-04
33-109 Registration Information [NI - Rescinded]
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2015-01-11 2015-01-11
33-109 Registration Information [NI Amendment Advance Notice - Lapsed]
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2013-03-14 2013-05-31
33-109 Registration Information [NI Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109 Registration Information [NI - Rescinded]
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2011-07-08 2011-07-11
33-109 Registration Information [NI Blackline Amendment Advanced Notice - Lapsed]
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2011-04-15 2011-07-11
33-109 Registration Information [NI Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109 Registration Information [NI Amendment Advance Notice - Lapsed]
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2010-10-01 2011-01-01
33-109 Registration Information [NI Amendment Advance Notice - Lapsed]
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2009-07-17 2009-09-28
33-109 Registration Information [NI - Rescinded]
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2009-09-25 2009-09-28
33-109 Registration Information [NI - Rescinded]
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2007-05-15 2007-05-15
33-109 Registration Information [NI Amendment - Lapsed]
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2007-02-23 2007-05-15
33-109 Registration Information [NI Amendment - Lapsed]
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2007-05-15 2007-05-15
33-109 Registration Information [MI - Rescinded]
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2003-02-07 2003-02-21
33-109CP Registration Information [CP - Rescinded]
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2017-12-04 2017-12-04
33-109CP Registration Information [CP - Rescinded]
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2015-01-11 2015-01-11
33-109CP Registration Information [CP Blackline Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109CP Registration Information [CP - Rescinded]
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2011-07-08 2011-07-11
33-109CP Registration Information [CP Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109CP Registration Information [CP - Rescinded]
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2009-09-25 2009-09-28
33-109CP Registration Information [CP Amendment Advance Notice - Lapsed]
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2009-07-17 2009-09-28
33-109CP Registration Information [CP Amendment Blacklined - Lapsed]
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2007-02-23 2007-05-15
33-109CP Registration Information [CP - Lapsed] 2003-02-07 2003-02-21
33-109CP Registration Information [CP Blackline Amendment - Lapsed]
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2007-05-15 ---
33-109CP Registration Information [CP - Rescinded]
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2007-05-15 ---
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Advance Notices

Document Published Effective
33-109 Registration Information [NI Amendment Advance Notice - Lapsed]
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2023-06-15 2023-09-13
33-109 Registration Information [F Amendment Advance Notice - Lapsed]
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2018-03-29 2018-06-12
33-109 Registration Information [NI Amendment Advance Notic - Lapsede]
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2017-07-27 2017-12-04
33-109 Registration Information [NI Blackline Amendment Advance Notice - Lapsed]
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2017-07-27 2017-12-04
33-109 Registration Information [NI Amendment Advance Notice - Lapsed]
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2014-10-16 2015-01-11
33-109 Registration Information [NI Blackline Amendment Advance Notice - Lapsed]
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2014-10-16 2015-01-11
33-109CP Registration Information [CP Amendment Advance Notice - Lapsed]
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2017-07-27 2017-12-04
33-109CP Registration Information [CP Blackline Amendment Advance Notice - Lapsed]
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2014-10-16 2015-01-11
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Forms

Document Published Effective
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F - Rescinded]
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2015-01-11 2015-01-11
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F - Rescinded]
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2011-07-08 2011-07-11
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F - Rescinded]
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2009-09-25 2009-09-28
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
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2009-07-17 2009-09-28
33-109F1 Notice of Termination [F - Lapsed]
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2003-02-07 2003-02-21
33-109F1 Notice of Termination [F - Rescinded]
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2007-05-15 ---
33-109F2 Change or Surrender of Individual Categories [F - Rescinded]
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2015-01-11 2015-01-11
33-109F2 Change or Surrender of Individual Categories [F - Rescinded]
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2011-07-08 2011-07-11
33-109F2 Change or Surrender of Individual Categories [F Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F2 Change or Surrender of Individual Categories [F Blackline Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F2 Change or Surrender of Individual Categories [F - Rescinded]
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2009-09-25 2009-09-28
33-109F2 Change or Surrender of Individual Categories [F Amendment Advance Notice - Lapsed]
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2009-07-17 2009-09-28
33-109F2 Change or Surrender of Individual Categories [F - Lapsed]
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2003-02-07 2003-02-21
33-109F2 Change or Surrender of Individual Categories [F - Rescinded]
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2007-05-15 ---
33-109F3 Business Locations Other than Head Office [F - Rescinded]
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2015-01-11 2015-01-11
33-109F3 Business Locations Other than Head Office [F - Rescinded]
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2011-07-08 2011-07-11
33-109F3 Business Locations Other than Head Office [F Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F3 Business Locations other than Head Office [F Blackline Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F3 Business Locations other than Head Office [F Amendment Advance Notice - Lapsed]
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2009-07-17 2009-09-28
33-109F3 Business Locations other than Head Office [F - Rescinded]
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2009-09-25 2009-09-28
33-109F3 Business Location Other than Head Office [F - Lapsed] 2003-02-07 2003-02-21
33-109F3 Business Locations Other Than Head Office [F - Rescinded]
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2007-05-15 ---
33-109F4 Registration of Individuals and Review of Permitted Individuals [F - Rescinded]
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2015-01-11 2015-01-11
33-109F4 Registration of Individuals and Review of Permitted Individuals [F - Rescinded]
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2011-07-08 2011-07-11
33-109F4 Registration of Individuals and Review of Permitted Individuals [F Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F4 Registration of Individuals and Review of Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F4 Registration of Individuals and Review of Permitted Individuals [F Amendment Advance Notice - Lapsed]
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2009-07-17 2009-09-28
33-109F4 Registration of Individuals and Review of Permitted Individuals [F - Rescinded]
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2009-09-25 2009-09-28
33-109F4 Registration Information for an Individual [F - Lapsed]
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2003-02-07 2003-02-23
33-109F4 Registration Information For An Individual [F - Rescinded]
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2007-05-15 ---
33-109F5 Change of Registration Information [F - Rescinded]
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Word
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2015-01-11 2015-01-11
33-109F5 Change of Registration Information [F - Rescinded]
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Word
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2011-07-08 2011-07-11
33-109F5 Change of Registration Information [F Blackline Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F5 Change of Registration Information [F Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F5 Change of Registration Information [F - Rescinded]
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2009-09-25 2009-09-28
33-109F5 Change of Registration Information [F Amendment Advance Notice - Lapsed]
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Word
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2009-07-17 2009-09-28
33-109F5 Change of Registration Information [F - Lapsed] 2003-02-07 2003-02-21
33-109F5 Change of Registration Information [F - Rescinded]
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2007-05-15 ---
33-109F6 Firm Registration [F - Rescinded]
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2022-06-06 2022-06-06
33-109F6 Firm Registration [F - Rescinded]
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2018-06-12 2018-06-12
33-109F6 Firm Registration [F - Rescinded]
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Word
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2015-01-11 2015-01-11
33-109F6 Firm Registration [F - Rescinded]
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2014-09-22 2014-09-22
33-109F6 Firm Registration [F - Rescinded]
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2013-05-31 2013-05-31
33-109F6 Firm Registration [F - Rescinded]
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Word
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2011-07-08 2011-07-11
33-109F6 Firm Registration [F Blackline Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F6 Firm Registration [F Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F6 Firm Registration [F - Rescinded]
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2010-12-30 2011-01-01
33-109F6 Firm Registration [F Amendment Advance Notice - Lapsed]
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2010-10-01 2011-01-01
33-109F6 Firm Registration [F Amendment Advance Notice - Lapsed]
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2009-07-17 2009-09-28
33-109F6 Firm Registration [F - Rescinded]
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2009-09-25 2009-09-28
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F - Rescinded]
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2015-01-11 2015-01-11
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F - Rescinded]
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2011-07-08 2011-07-11
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]
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2011-04-15 2011-07-11
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F - Rescinded]
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2009-09-25 2009-09-28
33-109F7 Notice of Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
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2009-07-17 2009-09-28
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Proposed Amendments

Document Published Effective
33-109 Registration Information [NI Amendment Proposed - Lapsed]
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2017-07-06 ---
33-109 Registration Information [NI Amendment Proposed - Lapsed]
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2016-07-07 ---
33-109 Registration Information [NI Blackline Amendment Proposed - Lapsed]
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2016-07-07 ---
33-109CP Registration Information [CP Blackline Amendment Proposed - Lapsed]
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2013-12-05 ---
33-109 Registration Information [NI Blackline Amendment Proposed - Lapsed]
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2013-12-05 ---
33-109 Registration Information [NI Amendment Proposed - Lapsed]
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2013-12-05 ---
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Proposed Instruments or Policies

Document Published Effective
33-109 Registration Information Requirements [MI Proposed - Lapsed] 2001-12-14 ---
33-109 Registration Information [NI Amendment Proposed - Lapsed]
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2006-05-12 ---
33-109 Registration Information [NI Amendment Proposed - Lapsed]
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2010-06-25 ---
33-109 Registration Information [NI Amendment Proposed - Lapsed]
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2008-02-29 ---
33-109 Registration Information [MI Proposed - Lapsed] 2002-06-14 ---
33-109 Registration Information [NI Blackline Amendment Proposed - Lapsed]
PDF
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2010-06-25 ---
33-109CP Registration Information [CP Amendment Proposed - Lapsed]
PDF
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2006-05-12 ---
33-109CP Registration Information [CP Blackline Amendment Proposed - Lapsed]
PDF
Download
2010-06-25 ---
33-109CP Registration Information [CP Amendment Proposed - Lapsed]
PDF
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2008-02-29 ---
33-109CP Registration Information Requirements [Proposed CP - Lapsed] 2001-12-14 ---
33-109CP Registration Information [Proposed CP - Lapsed] 2002-06-14 ---
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F Blackline Amendment Proposed - Lapsed]
PDF
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2010-06-25 ---
33-109F1 Notice of Termination [Proposed F - Lapsed]
PDF
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2002-06-14 ---
33-109F1 Notice of Termination [Proposed F - Lapsed]
PDF
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2001-12-14 ---
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Proposed - Lapsed]
PDF
Download
2008-02-29 ---
33-109F1 Notice of termination [F Proposed - Lapsed]
PDF
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2007-02-20 ---
33-109F2 Change or Surrender of Individual Categories [Proposed F - Lapsed] 2002-06-14 ---
33-109F2 Change or Surrender of Individual Categories [F Blackline Amendment Proposed - Lapsed]
PDF
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2010-06-25 ---
33-109F2 Change or Surrender of Individual Categories [F Amendment Proposed - Lapsed]
PDF
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2008-02-29 ---
33-109F2 Change of Individual Categories [Proposed F - Lapsed] 2001-12-14 ---
33-109F3 Business Locations Other Than Head Office [Proposed F - Lapsed] 2001-12-14 ---
33-109F3 Business Locations other than Head Office [F Amendment Proposed - Lapsed]
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2008-02-29 ---
33-109F3 Business Locations other than Head Office [Proposed F - Lapsed] 2002-06-14 ---
33-109F4 Registration of Individuals and Review of Permitted Individuals [F Blackline Amendment Proposed - Lapsed]
PDF
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2010-06-25 2011-04-15
33-109F4 Application for Registration of Individuals and Permitted Individuals [F Proposed - Lapsed]
PDF
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2007-02-20 ---
33-109F4 Application for Registration of Individuals and Review of Permitted Individuals [F Amendment Proposed - Lapsed]
PDF
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2008-02-29 ---
33-109F4 Registration Information for an Individual [Proposed F - Lapsed]
PDF
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2002-06-14 ---
33-109F4 Registration Information For An Individual [Proposed F - Lapsed]
PDF
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2001-12-14 ---
33-109F5 Change of Registration Information [Proposed F - Lapsed] 2002-06-14 ---
33-109F5 Change Of Registration Information [Proposed F - Lapsed] 2001-12-14 ---
33-109F5 Change of Information in Form 33-109F4 General Instructions [F Amendment Proposed - Lapsed]
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2008-02-29 ---
33-109F6 Application for registration as a dealer, adviser or investment fund manager for securities and/or derivatives [F Proposed - Lapsed]
PDF
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2007-02-20 ---
33-109F6 Firm registration [Blackline Amendment Proposed - Lapsed]
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2010-06-25 ---
33-109F6 Application for Registration as a Dealer, Adviser or Investment Fund Manager for Securities and/or Derivatives [Paper Version] [F Amendment Proposed - Lapsed]
PDF
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2008-02-29 ---
33-109F6 Firm Registration [F Amendment Proposed - Lapsed]
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2012-07-26 ---
33-109F6 Firm Registration [F Amendment Proposed - Lapsed]
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2009-10-23 ---
33-109F7 Notice of Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Proposed - Lapsed]
PDF
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2008-02-29 ---
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [Blackline Amendment Proposed - Lapsed]
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2010-06-25 ---
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