Securities Law

BCN 2003/07 - Notice of Adoption of Multilateral Instrument 33-109 Registration Information and Multilateral Instrument 31-102 National Registration Database [BCN - Rescinded]

Published Date: 2003-02-07
Effective Date: 2003-02-07
Related Document(s):

Effective February 21, 2003, the Commission and the other members of the Canadian Securities Administrators, except Québec, (the CSA or we) will adopt Multilateral Instrument 33-109 Registration Information.

Effective March 31, 2003, we will also adopt Multilateral Instrument 31-102 National Registration Database.

Substance and Purpose
MI 33-109 will mandate:

  • the information persons applying for registration in one or more CSA jurisdictions must submit; and
  • the information registered persons must submit to maintain their registration.

MI 31-102 will mandate the use of NRD to submit certain registration information required by MI 33-109. It also regulates the transition from the paper filing system to NRD’s electronic filing system.

The related companion policies, Companion Policy 33-109CP and Companion Policy 31-102CP, describe the CSA’s views for interpreting and applying MI 33-109 and MI 31-102.

The text of each rule (BC Reg. 38/2003 and BC Reg. 37/2003) is attached.

Consequential amendments
We made consequential amendments to the Securities Rules and the Registration Transfer Rules to ensure consistency with the rules. The text of the amendments (BC Reg. 40/2003 and BC Reg. 39/2003) is attached.

Prior publications
We published for comment previous versions of MI 33-109 and MI 31-102 in December 2001 (BCN 2001/82 and BCN 2001/81) and June 2002 (BCN 2002/22 and BCN 2002/21). The comments and CSA responses for the June 2002 publication are attached.

Questions may be referred to:

Anthony Wong
Senior Legal Counsel
Legal and Market Initiatives
British Columbia Securities Commission
(604) 899-6777
or 1-800-373-6393 (in B.C. and Alberta)

February 7, 2003


Brent W. Aitken
Vice Chair

Ref:  MI 33-109
 MI 33-109CP
 MI 31-102
 MI 31-102CP
 BCN 2001/81
 BCN 2001/82
 BCN 2002/21
 BCN 2002/22

This Notice may refer to other documents.  These documents can be found at the B.C. Securities Commission public website at in the Commission Documents database or the Historical Documents database.