Securities Law

31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Document Published Effective
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2019-06-12 2019-06-12
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI] 2018-06-12 2018-06-12
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2017-12-04 2017-12-04
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2016-07-15 2016-07-15
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI] 2015-07-15 2015-07-15
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2015-07-10 2015-07-11
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2015-05-05 2015-05-05
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2015-04-20 2015-04-20
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2015-01-11 2015-01-11
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2014-09-22 2014-09-22
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2014-05-01 2014-05-01
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendments Advance Notice - Lapsed] 2013-03-28 2013-07-15
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendments Advance Notice - Lapsed] 2013-03-28 2013-07-15
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2013-07-18 2013-07-15
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] 2013-03-28 2013-07-15
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2013-03-14 2013-05-31
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2013-05-31 2013-05-31
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2011-11-25 2012-02-28
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2012-02-28 2012-02-28
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded] 2011-07-08 2011-07-11
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Advance Notice - Lapsed] 2011-04-15 2011-07-11
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2011-04-15 2011-07-11
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed] 2011-04-15 2011-07-11
31-103 Registration Requirements and Exemptions [NI - Rescinded] - For financial years beginning on or after January 1, 2011 2010-12-30 2011-01-01
31-103 Registration Requirements and Exemptions [NI Amendment Advance Notice - Lapsed] 2010-10-01 2011-01-01
31-103 Registration Requirements and Exemptions [NI Advance Notice - Lapsed] 2009-07-17 2009-09-28
31-103 Registration Requirements and Exemptions [NI - Lapsed] - For financial years beginning before January 1, 2011 2009-09-25 2009-09-28
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2017-12-04 2017-12-04
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2015-05-05 2015-05-05
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2015-01-11 2015-01-11
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2014-09-22 2014-09-22
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2014-05-01 2014-05-01
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendments Advance Notice - Lapsed] 2013-03-28 2013-07-15
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2013-07-18 2013-07-15
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendments Advance Notice - Lapsed] 2013-03-28 2013-07-15
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2012-09-28 2012-09-28
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2012-02-28 2012-02-28
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed] 2011-11-25 2012-02-28
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded] 2011-07-08 2011-07-11
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Advance Notice - Lapsed] 2011-04-15 2011-07-11
31-103CP Registration Requirements and Exemptions [CP Amendment Advance Notice - Lapsed] 2010-10-01 2011-01-01
31-103CP Registration Requirements and Exemptions [CP - Rescinded] - For financial years beginning on or after January 1, 2011 2010-12-30 2011-01-01
31-103CP Registration Requirements and Exemptions [CP - Rescinded] - For financial years beginning before January 1, 2011 2009-09-25 2009-09-28
31-103CP Registration Requirements and Exemptions [CP Advance Notice - Lapsed] 2009-07-17 2009-09-28
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed] 2012-07-05 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed] 2011-04-15 ---

Advance Notices

Document Published Effective
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2020-08-06 2021-03-01
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2018-03-29 2018-06-12
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI and F Amendment Advance Notice - Lapsed] 2018-03-29 2018-06-12
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed] 2017-07-27 2017-12-04
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2017-07-27 2017-12-04
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed] 2014-10-16 2015-01-11
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2014-10-16 2015-01-11
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed] 2013-12-19 2014-05-01
31-103 Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information, and Companion Policy 33-109CP Registration Information [CSA Notice - Lapsed] 2017-07-27 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed] 2020-08-06 2021-03-01
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed] 2017-07-27 2017-12-04
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed] 2014-10-16 2015-01-11
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed] 2014-06-19 2014-09-22
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed] 2013-12-19 2014-05-01

Forms

Document Published Effective
31-103F1 Calculation of Excess Working Capital [F - Rescinded] 2015-01-11 2015-01-11
31-103F1 Calculation of Excess Working Capital [F - Rescinded] 2014-09-22 2014-09-22
31-103F1 Calculation of Excess Working Capital [F - Rescinded] 2013-05-31 2013-05-31
31-103F1 Calculation of Excess Working Capital [F - Rescinded] 2011-07-08 2011-07-11
31-103F1 Calculation of Excess Working Capital [F - Rescinded] - For financial years beginning on or after January 1, 2011 2010-12-30 2011-01-01
31-103F1 Calculation of Excess Working Capital [F Amendment Advance Notice - Lapsed] 2010-10-01 2011-01-01
31-103F1 Calculation of Excess Working Capital [F Advance Notice - Lapsed] 2009-07-17 2009-09-28
31-103F1 Calculation of Excess Working Capital [F - Lapsed] - For financial years beginning before January 1, 2011 2009-09-25 2009-09-28
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F - Rescinded] 2011-07-08 2011-07-11
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F - Rescinded] 2009-09-25 2009-09-28
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F Advance Notice - Lapsed] 2009-07-17 2009-09-28
31-103F3 Use of Mobility Exemption [F - Rescinded] 2011-07-08 2011-07-11
31-103F3 Use of Mobility Exemption [F Advance Notice - Lapsed] 2009-07-17 2009-09-28
31-103F3 Use of Mobility Exemption [F - Rescinded] 2009-09-25 2009-09-28

Proposed Amendments

Document Published Effective
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2019-03-15 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed - Lapsed] 2019-03-15 ---
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2018-09-13 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2018-03-08 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2017-07-06 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2017-06-29 ---
31-103 CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations,Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information And Related Forms [CSA Notice - Lapsed] 2016-07-07 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed] 2016-07-07 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed] 2016-07-07 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2016-07-07 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed] 2013-12-05 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed] 2013-12-05 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2013-12-05 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed - Lapsed] 2013-03-27 ---
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F Amendment Proposed - Lapsed] 2010-10-15 ---

Proposed Instruments or Policies

Document Published Effective
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2012-07-26 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed] 2012-11-15 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed] 2012-06-14 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2012-11-15 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2012-06-14 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed] 2011-06-22 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed] 2011-06-22 ---
31-103 Registration Requirements and Exemptions [NI Blackline Amendment Proposed - Lapsed] 2011-05-13 ---
31-103 Registration Requirements, Exemptions and Ongoing Requirements [NI Amendment Proposed - Lapsed] 2010-06-25 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed] 2010-06-25 ---
31-103 Registration Requirements and Exemptions [NI Amendment Proposed - Lapsed] 2010-10-15 ---
31-103 Registration Requirements [NI Proposed - Lapsed] 2008-02-29 ---
31-103 Registration Requirements and Exemptions [NI Amendment Proposed - Lapsed] 2009-10-23 ---
31-103 Registration Requirements [NI Proposed - Lapsed] 2007-02-20 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed - Lapsed] 2012-02-10 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed - Lapsed] 2012-11-15 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed] 2012-06-14 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed] 2011-06-22 ---
31-103CP Registration Requirements and Exemptions [CP Blackline Amendment Proposed - Lapsed] 2011-05-13 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed] 2010-06-25 ---
31-103CP Registration Requirements [CP Proposed - Lapsed] 2007-02-20 ---
31-103CP Registration Requirements [CP Proposed - Lapsed] 2008-02-29 ---
31-103CP Registration Requirements and Exemptions [CP Amendment Proposed - Lapsed] 2010-10-15 ---
31-103CP Registration Requirements and Exemptions [CP Amendment Proposed - Lapsed] 2009-10-23 ---
31-103F1 Calculation of Excess Working Capital [F Amendment Proposed - Lapsed] 2012-07-26 ---
31-103F1 Calculation of Excess Working Capital [F Amendment Proposed - Lapsed] 2009-10-23 ---

CSA Related Documents

Document Published Effective
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] 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] 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] 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] 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] 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] 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] 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] 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] 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] 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] 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] 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] 2011-06-22 ---
31-326 Outside Business Activities [CSA Staff Notice - Lapsed] 2011-07-15 ---
31-327 Broker-Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice - Lapsed] 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] 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] 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] 2012-07-05 ---
31-331 Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice - Lapsed] 2012-07-12 ---
31-333 Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice - Lapsed] 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] 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] 2014-02-27 ---