Securities Law

31-101 - National Registration System [NI Amendment - Lapsed]

Published Date: 2006-05-12
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1.2       Paragraph (a) of the definition of “principal regulator” is repealed and the following is substituted: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1.3       Section 2.3 is repealed and the following is substituted:   “If a firm filer changes its head office to another jurisdiction, the firm filer must immediately notify its principal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1.4       Item 3 of Form 31-101F1 is repealed and the following is substituted: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(a)  Item 1 of the General Instructions is repealed and replaced by the following: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 is amended 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 August 1, 2006.