31-101F1 - Election to use NRS and Determination of Principal Regulator [F - Rescinded]
- BCN 2006/16 - Adoption of amendments to National Instrument 31 101 National Registration System and National Policy 31 201 National Registration System [BCN - Lapsed]
- 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.
- 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.
- 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:
Newfoundland & Labrador
Prince Edward Island
1. Identification of Filer
NRD # (if applicable):
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
State here the location of firm filer’s head office.
Certification and Submission to Jurisdiction
I, the undersigned, certify on behalf of ____________________________________ (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.
Signature of authorized officer or partner