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
31-355 OBSI Joint Regulators Committee Annual Report for 2018
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
31-511 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
32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities
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
33-902 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
31-401 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 Uniform application for registration / approval (BC)
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