Securities Law

31-101F1 - Election to use NRS and Determination of Principal Regulator [F - Rescinded]

Published Date: 2005-04-04
Effective Date: 2005-04-04

Concurrently Published:

General Instructions

  1. A firm filer must use this form to notify its principal regulator and non-principal regulator(s) of its election to use and to have its individual filers use NRS for an application submitted in more than one jurisdiction or in a jurisdiction of a non principal regulator.

  2. This form must be filed in paper format with the firm filer’s principal regulator and non-principal regulator(s) when submitted in connection with an application.

  3. If this form is not submitted with a firm filer’s application, it may be submitted with the filer’s principal regulator and non principal regulators by e mail at the following addresses:
    British Columbia

    New Brunswick

    Newfoundland & Labrador

    Nova Scotia

    Prince Edward

    Yukon Territory
  1. Identification of Filer

    NRD # (if applicable):                                                   

    Firm Name:                                                 

  2. Identification of Regulators

    The undersigned firm is submitting an application or is registered in the following jurisdictions:

    a)  Jurisdiction of Principal Regulator:                                                                   

    b)  Jurisdiction(s) of Non Principal Regulator(s):                                                                  

  3. Reasons for Designation of Principal Regulator

    Provide details on the factors listed under subsection 3.2(4) of NP 31-201 that are taken into consideration in the firm filer’s determination of its principal regulator. Other factors may be considered if deemed relevant.




    Certification and Submission to Jurisdiction

    I, the undersigned, certify on behalf of _________________________ [Name of firm] (the “Firm”) that all statements of fact provided in this   notice are true and, by submitting this form, the Firm irrevocably and unconditionally submits itself to the non-exclusive jurisdiction of the judicial, quasi-judicial and administrative tribunals of each jurisdiction to which this form has been submitted and any administrative proceedings in that jurisdiction, in any action, investigation or administrative, disciplinary, criminal, quasi-criminal, penal or other proceeding (each, a proceeding) arising out of or relating to or concerning its activities as a registered filer under the securities legislation of the jurisdiction, and the Firm irrevocably waives any right to raise as a defence in any proceeding any alleged lack of jurisdiction to bring that proceeding.


[Name of firm]





Signature of authorized officer or partner