Securities Law

33-109 Registration Information

Document Published Effective
33-109 Registration Information [NI]
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2023-09-13 2023-09-13
33-109CP Registration Information [CP]
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2022-06-06 2022-06-06

Advance Notices

Document Published Effective
33-109 Registration Information [NI Blackline Amendment Advance Notice - Annex F]
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2021-12-16 2022-06-06
33-109 Registration Information [NI Amendment Advance Notice - Annex E]
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2021-12-16 2022-06-06
33-109 CSA Notice of Amendments to National Instrument 33-109 Registration Information and Changes to the Companion Policy to National Instrument 33-109 Registration Information and Consequential Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the Companion Policy to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines [CSA Staff Notice]
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2021-12-16 ---
33-109CP Registration Information [CP Amendment Advance Notice - Annex G]
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2021-12-16 2022-06-06
33-109CP Registration Information [CP Blackline Amendment Advance Notice - Annex H]
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2021-12-16 2022-06-06

Forms

Document Published Effective
33-109F1 Notice of End of Individual Registration or Permitted Individual Status [F]
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2022-06-06 2022-06-06
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F]
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2015-01-11 2015-01-11
33-109F2 Change or Surrender of Individual Categories [F]
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2022-06-06 2022-06-06
33-109F2 Change or Surrender of Individual Categories [F]
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2015-01-11 2015-01-11
33-109F3 Business Locations Other than Head Office [F]
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2022-06-06 2022-06-06
33-109F3 Business Locations Other than Head Office [F]
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2015-01-11 2015-01-11
33-109F4 Registration of Individuals and Review of Permitted Individuals [F]
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2022-06-06 2022-06-06
33-109F4 Registration of Individuals and Review of Permitted Individuals [F]
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2015-01-11 2015-01-11
33-109F5 Change of Registration Information [F]
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2022-06-06 2022-06-06
33-109F5 Change of Registration Information [F]
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2015-01-11 2015-01-11
33-109F6 Firm Registration [F]
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2023-09-13 2023-09-13
33-109F6 Firm Registration [F]
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2022-06-06 2022-06-06
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F]
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2022-06-06 2022-06-06
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F]
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2015-01-11 2015-01-11
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Proposed Amendments

Document Published Effective
33-109CP Registration Information [CP Amendment Proposed]
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2021-02-04 ---
33-109 Registration Information [NI Blackline Amendment Proposed]
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2021-02-04 ---
33-109 Proposed Amendments to National Instrument 33-109 Registration Information and Changes to Companion Policy 33-109CP Registration Information And Related 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 Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines [CSA Notice and Request for Comment]
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2021-02-04 ---
33-109CP Registration Information [CP Blackline Amendment Proposed]
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2021-02-04 ---
33-109 Registration Information [NI Amendment Proposed]
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2021-02-04 ---