Securities Law

11-204 - Process for Registration in Multiple Jurisdictions [NP Amendment Advance Notice - Lapsed]

Published Date: 2008-12-19
Rescinded Date: 2012-07-09
Document(s):

Concurrently Published:

National Policy 11-204
Process for Registration in Multiple Jurisdictions

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
6.4 Decision
6.5  Opportunity to be heard