BCN 2011/07 - Advance Notice of Amendments to National Instrument 31-103 Registration Requirements and Exemptions, related forms and Companion Policy 31-103CP and Amendments to National Instrument 33-109 Registration Information, related forms and Companion Policy 33-109CP [BCN]
| Published Date: | 2011-04-15 |
|---|---|
| Related Document(s): |
Concurrently Published:
- 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
- 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed]
- 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Advance Notice - Lapsed]
- 31-103CP - Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Advance Notice - Lapsed]
- 31-103CP - Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed]
- 33-109 - Registration Information [NI Amendment Advance Notice - Lapsed]
- 33-109 - Registration Information [NI Advance Notice - Lapsed]
- 33-109 - Registration Information [NI Blackline Amendment Advanced Notice - Lapsed]
- 33-109CP - Registration Information [CP Advance Notice - Lapsed]
- 33-109CP - Registration Information [CP Blackline Amendment Advance Notice - Lapsed]
- 33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
- 33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]
- 33-109F2 - Change or Surrender of Individual Categories [F Amendment Advance Notice - Lapsed]
- 33-109F2 - Change or Surrender of Individual Categories [F Blackline Amendment Advance Notice - Lapsed]
- 33-109F3 - Business Locations Other than Head Office [F Amendment Advance Notice - Lapsed]
- 33-109F3 - Business Locations other than Head Office [F Blackline Amendment Advance Notice - Lapsed]
- 33-109F4 - Registration of Individuals and Review of Permitted Individuals [F Amendment Advance Notice - Lapsed]
- 33-109F4 - Registration of Individuals and Review of Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]
- 33-109F5 - Change of Registration Information [F Amendment Advance Notice - Lapsed]
- 33-109F5 - Change of Registration Information [F Blackline Amendment Advance Notice - Lapsed]
- 33-109F6 - Firm Registration [F Amendment Advance Notice - Lapsed]
- 33-109F6 - Firm Registration [F Blackline Amendment Advance Notice - Lapsed]
- 33-109F7 - Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
- 33-109F7 - Reinstatement of Registered Individuals and Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]
In the attached advance notice, the Canadian Securities Administrators announce the expected adoption, effective July 11, 2011, of amendments to:
- National Instrument 31-103 Registration Requirements and Exemptions
- Companion Policy 31-103CP Registration Requirements and Exemptions
- Form 31-103F1 Calculation of excess working capital
- Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
- Form 31-103F3 Use of Mobility Exemption
- National Instrument 33-109 Registration Information
- Companion Policy 33-109CP Registration Information
- Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals
- Form 33-109F2 Change or Surrender of Individual Categories
- Form 33-109F3 Business Locations other than Head Office
- Form 33-109F4 Registration of Individuals and Review of Permitted Individuals
- Form 33-109F5 Change of Registration Information
- Form 33-109F6 Firm Registration
- Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals
Questions
You may refer questions to:
Lindy Bremner
Senior Legal Counsel, Capital Markets Regulation
British Columbia Securities Commission
(604) 899-6678
(800) 373-6393 (toll free across Canada)
Mark Wang
Manager, Legal Services
British Columbia Securities Commission
(604) 899-6658
(800) 373-6393 (toll free across Canada)
April 15, 2011
Brent Aitken
Vice Chair
This Notice may refer to other documents. These documents can be found at the B.C. Securities Commission public website atwww.bcsc.bc.ca in the section Securities Law & Policy: Policies & Instruments.