Securities Law

31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Advance Notices

CSA Related Documents

Forms

Document Published Effective
31-103F1 Calculation of Excess Working Capital [F] 2018-06-12 2018-06-12
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F] 2015-01-11 2015-01-11
31-103F3 Use of Mobility Exemption [F] 2015-01-11 2015-01-11
31-103F4 Net Asset Value Adjustments [F] 2015-01-11 2015-01-11

Proposed Amendments

Document Published Effective
31-103 Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice] 2019-03-14 2019-06-12
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed] 2018-03-08 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed] 2019-03-15 ---
31-103 CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms) [CSA Notice] 2018-06-21 ---
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients [CSA Notice and Request for Comment] 2020-03-05 ---
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments 2018-10-25 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed] 2020-03-05 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Proposed Amendment] 2020-03-05 ---
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed] 2018-09-13 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed] 2019-03-15 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed] 2020-03-05 ---