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3 - Registration Requirements & Related Matters
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1 - Procedure & Related Matters
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31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Current
Historical
Document
Published
Effective
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2022-06-06
2022-06-06
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2022-06-01
2022-06-01
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2022-01-07
2022-01-05
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2021-12-31
2021-12-31
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2021-07-02
2021-07-02
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2021-06-30
2021-06-30
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2021-03-11
2021-03-01
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2019-06-12
2019-06-12
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
PDF
Download
2018-06-12
2018-06-12
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2017-12-04
2017-12-04
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2016-07-15
2016-07-15
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
PDF
Download
2015-07-15
2015-07-15
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2015-07-10
2015-07-11
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2015-05-05
2015-05-05
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2015-04-20
2015-04-20
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2015-01-11
2015-01-11
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2014-09-22
2014-09-22
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
2014-05-01
2014-05-01
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendments Advance Notice - Lapsed]
PDF
Download
2013-03-28
2013-07-15
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendments Advance Notice - Lapsed]
PDF
Download
2013-03-28
2013-07-15
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
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]
PDF
Download
2013-03-28
2013-07-15
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
Word
Download
PDF
Download
2013-05-31
2013-05-31
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2013-03-14
2013-05-31
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2011-11-25
2012-02-28
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
Word
Download
PDF
Download
2012-02-28
2012-02-28
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed]
PDF
Download
2011-04-15
2011-07-11
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Advance Notice - Lapsed]
PDF
Download
2011-04-15
2011-07-11
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2011-04-15
2011-07-11
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
PDF
Download
Word
Download
2011-07-08
2011-07-11
31-103
Registration Requirements and Exemptions [NI Amendment Advance Notice - Lapsed]
PDF
Download
2010-10-01
2011-01-01
31-103
Registration Requirements and Exemptions [NI - Rescinded] - For financial years beginning on or after January 1, 2011
PDF
Download
2010-12-30
2011-01-01
31-103
Registration Requirements and Exemptions [NI Advance Notice - Lapsed]
PDF
Download
2009-07-17
2009-09-28
31-103
Registration Requirements and Exemptions [NI - Lapsed] - For financial years beginning before January 1, 2011
PDF
Download
Word
Download
2009-09-25
2009-09-28
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2022-06-01
2022-06-01
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2021-12-31
2021-12-31
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2021-06-30
2021-06-30
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2021-03-11
2021-03-01
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2017-12-04
2017-12-04
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2015-05-05
2015-05-05
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2015-01-11
2015-01-11
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2014-09-22
2014-09-22
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2014-05-01
2014-05-01
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2013-07-18
2013-07-15
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendments Advance Notice - Lapsed]
PDF
Download
2013-03-28
2013-07-15
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendments Advance Notice - Lapsed]
PDF
Download
2013-03-28
2013-07-15
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2012-09-28
2012-09-28
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2012-02-28
2012-02-28
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed]
PDF
Download
2011-11-25
2012-02-28
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
PDF
Download
2011-07-08
2011-07-11
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Advance Notice - Lapsed]
PDF
Download
2011-04-15
2011-07-11
31-103CP
Registration Requirements and Exemptions [CP Amendment Advance Notice - Lapsed]
PDF
Download
2010-10-01
2011-01-01
31-103CP
Registration Requirements and Exemptions [CP - Rescinded] - For financial years beginning on or after January 1, 2011
PDF
Download
2010-12-30
2011-01-01
31-103CP
Registration Requirements and Exemptions [CP Advance Notice - Lapsed]
PDF
Download
2009-07-17
2009-09-28
31-103CP
Registration Requirements and Exemptions [CP - Rescinded] - For financial years beginning before January 1, 2011
PDF
Download
2009-09-25
2009-09-28
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed]
PDF
Download
2012-07-05
---
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed]
PDF
Download
2011-04-15
---
Show all
Advance Notices
Document
Published
Effective
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2023-06-15
2023-09-13
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2022-01-20
2022-06-01
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2021-10-07
2022-01-05
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2020-08-06
2021-03-01
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI and F Amendment Advance Notice - Lapsed]
PDF
Download
2018-03-29
2018-06-12
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2018-03-29
2018-06-12
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2017-07-27
2017-12-04
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed]
PDF
Download
2017-07-27
2017-12-04
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed]
PDF
Download
2014-10-16
2015-01-11
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2014-10-16
2015-01-11
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2013-12-19
2014-05-01
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
PDF
Download
2019-10-03
---
31-103
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms) [CSA Notice - Rescinded]
PDF
Download
2019-10-03
---
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed]
PDF
Download
2019-10-03
---
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]
PDF
Download
2017-07-27
---
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed]
PDF
Download
2022-01-20
2022-06-01
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed]
PDF
Download
2020-08-06
2021-03-01
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed]
PDF
Download
2017-07-27
2017-12-04
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed]
PDF
Download
2014-10-16
2015-01-11
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed]
PDF
Download
2014-06-19
2014-09-22
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Lapsed]
PDF
Download
2013-12-19
2014-05-01
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed]
PDF
Download
2019-10-03
---
Show all
Forms
Document
Published
Effective
31-103F1
Calculation of Excess Working Capital [F - Rescinded]
PDF
Download
Word
Download
2018-06-12
2018-06-12
31-103F1
Calculation of Excess Working Capital [F - Rescinded]
PDF
Download
Word
Download
2015-01-11
2015-01-11
31-103F1
Calculation of Excess Working Capital [F - Rescinded]
Word
Download
PDF
Download
2014-09-22
2014-09-22
31-103F1
Calculation of Excess Working Capital [F - Rescinded]
PDF
Download
Word
Download
2013-05-31
2013-05-31
31-103F1
Calculation of Excess Working Capital [F - Rescinded]
PDF
Download
Word
Download
2011-07-08
2011-07-11
31-103F1
Calculation of Excess Working Capital [F Amendment Advance Notice - Lapsed]
PDF
Download
2010-10-01
2011-01-01
31-103F1
Calculation of Excess Working Capital [F - Rescinded] - For financial years beginning on or after January 1, 2011
PDF
Download
Word
Download
2010-12-30
2011-01-01
31-103F1
Calculation of Excess Working Capital [F - Lapsed] - For financial years beginning before January 1, 2011
PDF
Download
Word
Download
2009-09-25
2009-09-28
31-103F1
Calculation of Excess Working Capital [F Advance Notice - Lapsed]
PDF
Download
Word
Download
2009-07-17
2009-09-28
31-103F2
Submission to Jurisdiction and Appointment of Agent for Service [F - Rescinded]
PDF
Download
Word
Download
2011-07-08
2011-07-11
31-103F2
Submission to Jurisdiction and Appointment of Agent for Service [F Advance Notice - Lapsed]
PDF
Download
Word
Download
2009-07-17
2009-09-28
31-103F2
Submission to Jurisdiction and Appointment of Agent for Service [F - Rescinded]
PDF
Download
Word
Download
2009-09-25
2009-09-28
31-103F3
Use of Mobility Exemption [F - Rescinded]
PDF
Download
Word
Download
2011-07-08
2011-07-11
31-103F3
Use of Mobility Exemption [F - Rescinded]
PDF
Download
Word
Download
2009-09-25
2009-09-28
31-103F3
Use of Mobility Exemption [F Advance Notice - Lapsed]
PDF
Download
Word
Download
2009-07-17
2009-09-28
Show all
Proposed Amendments
Document
Published
Effective
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
PDF
Download
2021-04-22
---
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed - Lapsed]
PDF
Download
2019-03-15
---
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
PDF
Download
2019-03-15
---
31-103
Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
PDF
Download
2018-09-13
---
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
PDF
Download
2018-03-08
---
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
PDF
Download
2017-07-06
---
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
PDF
Download
2017-06-29
---
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed]
PDF
Download
2016-07-07
---
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed]
PDF
Download
2016-07-07
---
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
PDF
Download
2016-07-07
---
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]
PDF
Download
2016-07-07
---
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed]
PDF
Download
2013-12-05
---
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed]
PDF
Download
2013-12-05
---
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
PDF
Download
2013-12-05
---
31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed - Lapsed]
PDF
Download
2013-03-27
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31-103F2
Submission to Jurisdiction and Appointment of Agent for Service [F Amendment Proposed - Lapsed]
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2010-10-15
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Proposed Instruments or Policies
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Published
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31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
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2012-06-14
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31-103
Registration Requirements, Exemptions and Ongoing Requirements [NI Amendment Proposed - Lapsed]
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2010-06-25
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31-103
Registration Requirements [NI Proposed - Lapsed]
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2007-02-20
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31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed]
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2012-11-15
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31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed]
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2012-06-14
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31-103
Registration Requirements [NI Proposed - Lapsed]
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2008-02-29
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31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed]
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2011-06-22
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31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed]
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2010-06-25
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31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
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2012-11-15
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31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
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2012-07-26
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31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed - Lapsed]
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2011-06-22
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31-103
Registration Requirements and Exemptions [NI Amendment Proposed - Lapsed]
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2010-10-15
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31-103
Registration Requirements and Exemptions [NI Amendment Proposed - Lapsed]
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2009-10-23
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31-103
Registration Requirements and Exemptions [NI Blackline Amendment Proposed - Lapsed]
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2011-05-13
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31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed - Lapsed]
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2012-11-15
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31-103CP
Registration Requirements and Exemptions [CP Amendment Proposed - Lapsed]
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2010-10-15
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31-103CP
Registration Requirements [CP Proposed - Lapsed]
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2008-02-29
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31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed]
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2012-06-14
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31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed]
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2011-06-22
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31-103CP
Registration Requirements and Exemptions [CP Amendment Proposed - Lapsed]
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2009-10-23
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31-103CP
Registration Requirements and Exemptions [CP Blackline Amendment Proposed - Lapsed]
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2011-05-13
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31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed - Lapsed]
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2012-02-10
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31-103CP
Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed]
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2010-06-25
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31-103CP
Registration Requirements [CP Proposed - Lapsed]
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2007-02-20
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31-103F1
Calculation of Excess Working Capital [F Amendment Proposed - Lapsed]
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2012-07-26
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31-103F1
Calculation of Excess Working Capital [F Amendment Proposed - Lapsed]
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2009-10-23
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CSA Related Documents
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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]
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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
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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
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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
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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
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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
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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
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31-326
Outside Business Activities [CSA Staff Notice - Lapsed]
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2011-07-15
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31-327
Broker-Dealer Registration in the Exempt Market Dealer Category [CSA Staff Notice - Lapsed]
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2011-09-02
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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
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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
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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
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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
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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
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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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