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CSA Related Documents

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31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations (Cost Disclosure, Performance Reporting and Client Statements) [CSA Notice of Amendments - Lapsed]
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2013-03-28 2013-07-15
31-308 Frequently asked questions regarding National Instrument 31-101 National Registration System and National Policy 31-201 National Registration System [CSA - Rescinded] 2005-04-22 2005-04-22
31-309 Proposed National Instrument 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements [CSA Staff Notice - Rescinded]
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2008-11-14 2008-11-14
31-310 Proposed National Instrument 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements [CSA Staff Notice - Rescinded]
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2009-04-03 2009-04-03
31-311 Proposed National Instrument 31-103 Registration Requirements and Exemptions Transition into the new registration regime [CSA Staff Notice - Rescinded]
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2009-06-12 2009-06-12
31-312 The Exempt Market Dealer Category under National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Rescinded]
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2009-08-07 2009-08-07
31-313 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of December 18, 2009 [CSA Staff Notice - Lapsed]
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2009-12-18 ---
31-314 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of February 5, 2010 [CSA Staff Notice - Lapsed]
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2010-02-05 ---
31-315 Omnibus / blanket orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Lapsed]
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2010-02-26 ---
31-316 Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments [CSA Staff Notice - Rescinded]
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2010-03-27 2010-03-27
31-318 Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers [CSA Staff Notice - Lapsed]
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2010-08-20 ---
31-319 Further omnibus / blanket orders exempting registrants from certain provisions of Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Rescinded]
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2010-09-10 ---
31-321 Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Rescinded]
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2010-11-05 2010-11-05
31-324 Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Lapsed]
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2011-06-22 ---
31-326 Outside Business Activities [CSA Staff Notice - Lapsed]
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2011-07-15 ---
31-327 Broker-Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice - Lapsed]
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2011-09-02 ---
31-328 Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [CSA Staff Notice - Lapsed]
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2011-09-16 2011-09-16
31-329 Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Staff Positions [CSA Staff Notice - Lapsed]
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2011-09-28 ---
31-330 Omnibus/Blanket Orders Extending Certain Transition Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services [CSA Staff Notice - Lapsed]
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2012-07-05 ---
31-331 Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice - Lapsed]
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2012-07-12 ---
31-333 Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice - Lapsed]
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2013-02-07 ---
31-335 Extension of Interim Relief for Members of the Investment Industry Regulatory Organization of Canada from the Requirement in section 14.2(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations in Respect of the Provision of Relationship Disclosure Information to Existing Clients [CSA Staff Notice - Lapsed]
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2013-10-03 2013-12-31
31-337 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance as of February 27, 2014 [CSA Staff Notice - Lapsed]
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2014-02-27 ---
81-101 Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1 [CSA Notice of Amendments - Lapsed]
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2021-10-07 ---
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