Securities Law

3 - Registration Requirements & Related Matters

Document
31-102 National Registration Database
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-202 Registration Requirement for Investment Fund Managers
31-323 Guidance Relating to the Registration Obligations of Mortgage Investment Entities
31-325 Marketing Practices of Portfolio Managers
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
31-334 CSA Review of Relationship Disclosure Practices
31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
31-338 Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization
31-342 Guidance for Portfolio Managers Regarding Online Advice
31-343 Conflicts of Interest in Distributing Securities of Related or Connected Issuers
31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance
31-346 Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers
31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
31-350 Guidance on Small Firms Compliance and Regulatory Obligations
31-351 CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with requirements regarding the Ombudsman for Banking Services and Investments
31-352 Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations
31-354 Suggested Practices for Engaging with Older or Vulnerable Clients
31-356 Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision
31-357 Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments
31-360 Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-361 OBSI Joint Regulators Committee Annual Report for 2020
31-511 Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-512 Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-601 Registration Requirements
32-301 Omnibus/Blanket Orders Exempting Certain U.S. Broker-Dealers and U.S. Advisers from the Requirement to Register in Respect of Trades and Advice for U.S. Resident Clients
32-302 Notice of Revocation for Certain Local Orders Providing Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions and Update on BC Instrument 32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities
32-503 Registration Exemption for Approved Persons of the Mutual Funds Dealers Association of Canada
32-506 Exemption from compensation or contingency trust fund
32-513 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
32-525 Exemption from the dealer registration requirement and the adviser registration requirement in respect of trades and advice for U.S. resident clients
32-526 Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants
32-527 Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants with Deadlines during the Period from June 2 to September 30, 2020
33-105 Underwriting Conflicts
33-109 Registration Information
33-315 Suitability Obligation and Know Your Product
33-316 Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
33-317 Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients
33-318 Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives
33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
33-320 The Requirement for True and Complete Applications for Registration
33-321 Cyber Security and Social Media
33-403 The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Towards Their Clients
33-506 Exemption from Cold Calling Restrictions for Registered Dealers
33-513 Exemption from Capital and Bonding Requirements for MFDA Members
33-514 Exemption from capital and bonding requirements for certain portfolio managers
33-515 Exemption from capital and bonding requirements for Investment Industry Regulatory Organization of Canada members
33-518 Exemption for Mutual Fund Dealers Association of Canada Members
33-519 Exemption for Investment Industry Regulatory Organization of Canada Members
33-520 Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
33-705 Conditions of Registration for Investment Dealers with a BC Office that Trade in the U.S. Over-the-Counter Markets
33-706 Discrepancy in Terms, Definitions and Registration Categories between the Securities Act and National Instrument 31-103 Registration Requirements and Exemptions
33-708 Transitional Relief Related to the Elimination of the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
33-902 Joint Regulatory Financial Questionnaire and Report
33-903 Report Of Risk Adjusted Capital
33-904 Subordination Agreement
33-905 Report of working capital
33-906 Statement of Financial Condition (Audited)
34-201 Breach of Requirements of Other Jurisdictions
35-101 Conditional Exemption From Registration For United States Broker-Dealers And Agents
Document
31-101 National Registration System
31-102 National Registration Database
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-201 National Registration System
31-202 Registration Requirement for Investment Fund Managers
31-301 The Year 2000 Challenge
31-302 Securities Industry Contingency Planning
31-303 System Changes for Market Participants after Completion of Year 2000 Testing
31-304 Year 2000: Backup of Records
31-305 Registration Streamlining System
31-308 Frequently asked questions regarding National Instrument 31-101 National Registration System and National Policy 31-201 National Registration System
31-309 Proposed National Instrument 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements
31-310 Proposed National Instrument 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements
31-311 Proposed National Instrument 31-103 Registration Requirements and Exemptions Transition into the new registration regime
31-312 The Exempt Market Dealer Category under National Instrument 31-103 Registration Requirements and Exemptions
31-313 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of December 18, 2009
31-314 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of February 5, 2010
31-315 Omnibus / blanket orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements and Exemptions
31-316 Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments
31-317 Reporting Obligations Related to Terrorist Financing
31-318 Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
31-319 Further omnibus / blanket orders exempting registrants from certain provisions of Instrument 31-103 Registration Requirements and Exemptions
31-321 Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions
31-322 Extension of Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
31-324 Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions
31-326 Outside Business Activities
31-327 Broker-Dealer Registration in the Exempt Market Dealer Category
31-328 Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-329 Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Staff Positions
31-330 Omnibus/Blanket Orders Extending Certain Transition Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services
31-331 Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category
31-333 Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category
31-335 Extension of Interim Relief for Members of the Investment Industry Regulatory Organization of Canada from the Requirement in section 14.2(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations in Respect of the Provision of Relationship Disclosure Information to Existing Clients
31-337 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance as of February 27, 2014
31-339 Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-340 OBSI Joint Regulators Committee Annual Report for 2014
31-341 Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-344 OBSI Joint Regulators Committee Annual Report for 2015
31-348 OBSI Joint Regulators Committee Annual Report for 2016
31-353 OBSI Joint Regulators Committee Annual Report for 2017
31-355 OBSI Joint Regulators Committee Annual Report for 2018
31-359 OBSI Joint Regulators Committee Annual Report for 2019
31-401 Registration Forms Relating to the National Registration Database
31-402 Registration Forms Relating to the National Registration Database
31-501 Registration of Brokers and Investment Dealers
31-502 Web-Posted Notice Confirming Registration
31-503 Exchange Contracts Dealers Trading In Commodity Pool Securities
31-504 Temporary exemption for mutual fund dealers from MFDA membership
31-505 Temporary exemption for mutual fund dealers from MFDA membership
31-506 Exemption for Investment Industry Regulatory Organization of Canada members from obligation to provide relationship disclosure
31-507 Exemption for Mutual Fund Dealers Association Members from obligation to provide relationship disclosure
31-508 Transitional Relief from the Requirement to Register as an Investment Fund Manager
31-509 Transitional Relief from the Requirement to Provide Dispute Resolution Services Prescribed by Section 13.16 of NI 31-103
31-510 Exemption for Investment Industry Regulatory Organization of Canada Members from Obligation to Provide Relationship Disclosure to Existing Clients
31-601 Registration Requirements
31-701 Advising under the Securities Act
31-702 Web-Posted Notice Confirming Registration
31-901 Application for Registration as a Dealer or Adviser
31-902 Personal Information Form
31-903 Consent to a Criminal Records Check
31-904 Uniform Application For Renewal Of Registration
31-905 Application for Amendment of Registration as Dealer, Adviser or Underwriter
31-906 Application for Transfer/Change of Status
32-101 Small Securityholder Selling and Purchase Arrangements
32-501 Advising And Related Trading Under An Exemption
32-502 Exemption from suitability requirements
32-503 Registration Exemption for Salespersons’ Corporations
32-504 Registrant disclosure of conflicts of interest
32-505 Exemption for Mutual Fund Dealers to Sell Securities of Certain Employee Venture Capital Corporations and Venture Capital Corporations
32-507 Exemption from chief compliance officer proficiency requirements for portfolio managers adding a jurisdiction
32-508 Exemption from dealing representative proficiency requirements for portfolio managers adding a jurisdiction
32-509 Continuation of transition provisions for persons and companies adding a jurisdiction
32-510 Exemption from requirement to provide notice to clients where head office is outside of British Columbia
32-511 Exemption from obligation to establish whether clients are insiders
32-512 Exemption from time limits on examination requirements for dealing representatives of scholarship plan dealers
32-513 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
32-514 Exemption from certain registration requirements for foreign-based portfolio managers
32-515 Exemption from the registration requirement for trades in short-term debt instruments
32-516 Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities
32-518 Exemption for Investment Industry Regulatory Organization of Canada Members from Obligation to Provide Relationship Disclosure
32-519 Exemption for Mutual Fund Dealers Association Members from Obligation to Provide Relationship Disclosure
32-520 Exemption from specific obligation to identify those who own or control more than 10% of a corporate client
32-521 Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
32-522 Exemption from the registration requirement for trades in short-term debt instruments
32-523 Exemption from the requirement to register for international advisers
32-524 Exemption from the requirement to register for international dealers
32-901 Information Statement Required under Section 46 (g) of the Act
33-101 Administration of Self-Directed RRSPS, RESPS and RRIFS by Dealers
33-102 Regulation of Certain Registrant Activities
33-103 Distribution Networks
33-104 Selling Arrangements
33-105 Underwriting Conflicts
33-106 Year 2000 Preparation Reporting
33-107 Proficiency Requirements for Registrants Holding Themselves Out as Providing Financial Planning Advice
33-109 Registration Information
33-201 Networking And Selling Arrangement Notices
33-301 National Instrument 33-106 Year 2000 Preparation Reporting
33-302 National Instrument 33-106 Non-Compliant Registered Firms and Possible Terms and Conditions
33-303 Trust Accounts for Mutual Fund Securities
33-304 CSA Distribution Structures Committee Position Paper
33-305 Sale of Insurance Products by Dually Employed Salespersons
33-308 The CSA STP Readiness Assessment Survey Report (Survey Report) is now available on the OSC Website
33-310 Joint Forum Releases Summary of Comments and Responses on Principles and Practices for the Sale of Products and Services in the Financial Sector
33-312 The CSA STP Readiness Assessment Survey Report is now available on the OSC Website
33-313 International Financial Reporting Standards and Registrants
33-314 International Financial Reporting Standards and Registrants
33-401 Canadian Capital Markets Association - T + 1 White Paper
33-402 Joint Forum Requests Comments on Principles and Practices for the Sale of Products and Services in the Financial Sector
33-501 Cold Calling by Members of Self Regulatory Bodies
33-502 Registration Requirements for Members of the Investment Dealers Association of Canada
33-503 Extension of Application Deadlines for Self-Regulatory Organizations
33-504 Exemption From Section 80(2) Of The Securities Rules
33-505 Underwriting Conflicts
33-506 Exemption from cold calling restrictions for Registered Dealers
33-507 Temporary exemption for using past registration forms
33-508 Exemption from sections 16 and 73 of the Securities Rules - Registrant Ownership
33-509 Exemptions to extend certain NRD submission dates
33-510 Exemptions to further extend certain NRD submission dates
33-511 Exemptions to extend certain NRD submission dates
33-512 Exemption for foreign advisers from the NRD account requirements
33-513 Exemption from financial statement, capital and bonding requirements for MFDA members
33-514 Exemption from capital, bonding and financial reporting requirements for certain portfolio managers and investment counsel
33-515 Exemption from financial statement, capital, and bonding requirements for IDA members
33-517 Registration and Prospectus Exemption for Persons Registered under the Mortgage Brokers Act
33-5XX Registration exemption for trades in connection with certain prospectus-exempt distribution
33-701 Trading by Limited Dealers under Registration and Prospectus Exemptions
33-702 Powers of Attorney and Trading Authorities - Registrants’ Duties
33-703 Dealers and their Salespersons
33-705 Conditions of Registration for Investment Dealers that Trade in the U.S. Over-the-Counter Markets
33-707 Registration and Prospectus Exemptions for Persons Registered under the Mortgage Brokers Act
33-901 Uniform Termination Notice
33-906 Statement of Financial Condition (Audited)
33-907 Conflict of Interest Rules Statement
33-908 Statement and Undertaking
34-202 Registrants Acting as Corporate Directors
34-901 Summons for an Examination Under Section 38 (c)
35-101 Conditional Exemption From Registration for United States Broker-Dealers and Agents
35-301 Conditional Exemption from Registration for United States Broker-Dealers and Agents
35-501 Remote Access Trades on the Canadian Venture Exchange
35-901 Additional Information From Out-of-Province Registrants