31-102 - National Registration Database [NI Amendment Instrument Proposed - Lapsed]
| Published Date: | 2008-02-29 |
|---|---|
| Document(s): |
Concurrently Published:
1. National Instrument 31-102 National Registration Database is amended by this Instrument.
2. The table of contents is amended by adding the following after “4.3 Payment of NRD User Fees- Annual”
4.4 Payment of Late Filing Fees
4.5 Exemption for Registrants not Resident in Canada
3. Section 2.1 is amended by adding the following after paragraph 4:
5. Form 33-109F5;
6. Form 33-109F7.
4. Section 3.2(e) is amended by adding “, telephone number, or e-mail address” after “change in the name”.
5. Part 4 is amended by added the following after section 4.3(2):
4.4 Payment of Late Filing Fees
(1) If a firm filer is required to pay late filing fees because of an activity that creates a submission on NRD, the firm filer must pay the required fee by electronic pre-authorized debit through NRD.
(2) A payment under subsection (1) must be made from the firm filer's NRD account.
4.5 Exemption for Registrants not Resident in Canada - Sections 3.2(c), 4.1, 4.2, 4.3 and 4.4 do not apply to a registered firm that
(a) has no business office in a jurisdiction in Canada,
(b) does not have an account with a member of the Canadian Payments Association,
(c) is not an affiliate of a registered firm resident in a jurisdiction in Canada, and
(d) pays the fees referred to in sections 4.1 to 4.4 to the NRD administrator within 10 business days of the date the payment is due.
6 Part 7 is repealed.
7. This Instrument comes into force on •.