Securities Law

31-101 - Amendments to National Instrument 31-101 National Registration System [NI Proposed - Lapsed]

Published Date: 2005-11-25
Document(s):

Concurrently Published:

PART 1            Amendments to National Instrument 31-101

 

1.1             National Instrument 31-101 National Registration System is amended by this Instrument.

 

1.2             Paragraph (a) of the definition of “principal regulator” is repealed and the following is substituted:

 

“for a firm filer, the securities regulatory authority or regulator of the jurisdiction in which the firm filer’s head office is located;”

1.3       Section 2.3 is repealed and the following is substituted:  “If a firm filer changes its head office to another jurisdiction, the firm filer must immediately notify its principal regulator of such change by submitting a completed Form 31-101F2.”

 

1.4       Item 3 of Form 31-101F1 is repealed and the following is substituted:

 

“3. Reasons for Designation of Principal Regulator State here the location of firm filer’s head office.”

 

1.5       Form 31-101F2  is amended 

(a) Item 1 of the General Instructions is repealed and replaced by the following:

 

“1. The Form must be submitted by a firm filer to notify its principal regulator if a firm filer changes its head office to another jurisdiction.”

 

(b) Item 2 by striking out “the factors considered by the firm filer to determine the jurisdiction with which the firm filer has the most significant connection” and substituting “the head office”.

 

PART 2            Effective Date

 

2.1       This Instrument is effective June 1, 2006.