Securities Law

31-402 - Registration Forms Relating to the National Registration Database [CSA Staff Notice - Rescinded]

Published Date: 2001-07-06
Effective Date: 2001-07-06
Rescinded Date: 2013-02-21


Registration Forms Relating to the National Registration Database

On August 4, 2000, the Canadian Securities Administrators (the “CSA”) published CSA Staff Notice 31-401 Registration Forms Relating to the National Registration Database requesting comments on three forms relating to the application for registration of dealer firms, adviser firms and individuals. The CSA received five comment letters in respect of the forms. Appendix A to this Notice lists the commentators, summarizes the comments received and provides the responses of CSA staff.

As a result of the comments received and as development of the National Registration Database (“NRD”) continues, CSA staff continue to modify the proposed registration forms. To facilitate the development of the NRD, CSA staff are again requesting comments on proposed Form 31-102F3 Application for Registration of a Dealer, Underwriter or Adviser and proposed Form 31-102F4Application for Registration of an Individual. Rules and instruments associated with the implementation of NRD will be published for comment at a later date. Form 31-102F3 and Form 31-102F4 will be republished for comment at that time.

Commentators should note that in the initial version of the NRD, only Form 31-102F4 will be electronically filed. Also, although the Commission des valeurs Mobilières du Québec (the “CVMQ”) is not a participant in the NRD, the CVMQ will adopt Form 31-102F3 and Form 31-102F4 concurrent with their adoption by the other provincial and territorial securities regulatory authorities.

This Notice, Appendix A to this Notice, Form 31-102F3 and Form 31-102F4 are available at


Interested parties are invited to make written submissions with respect to the Forms. Submissions received by August 3, 2001 will be considered. In light of the deadlines imposed on the CSA for development of the system, this deadline will be strictly observed.

Submissions should be addressed to all of the Canadian securities regulatory authorities listed below and sent, in duplicate, in care of the Ontario Securities Commission, as indicated below:

British Columbia Securities Commission
Alberta Securities Commission
Saskatchewan Securities Commission
The Manitoba Securities Commission
Ontario Securities Commission
Office of the Administrator, New Brunswick
Registrar of Securities, Prince Edward Island
Nova Scotia Securities Commission
Securities Commission of Newfoundland
Registrar of Securities, Northwest Territories
Registrar of Securities, Yukon
Registrar of Securities, Nunavut

c/o John Stevenson, Secretary
Ontario Securities Commission
20 Queen Street West
Suite 800, Box 55
Toronto, Ontario M5H 3S8

Submissions should also be addressed to the Commission des valeurs mobilières du Québec as follows:

Claude St. Pierre, Secrétaire
Commission des valeurs mobilières du Québec
800 Victoria Square
Stock Exchange Tower
P.O. Box 246, 22nd Floor
Montréal, Québec H4Z 1G3

A diskette (or an e-mail attachment) containing the submission (in DS or Windows format, preferably WordPerfect) should also be submitted.

Comment letters submitted in response to requests for comment are placed on the public file in certain jurisdictions and form part of the public record, unless confidentiality is requested. Comment letters will be circulated among the securities regulatory authorities, whether or not confidentiality is requested. Although comment letters requesting confidentiality will not be placed on the public file, freedom of information legislation in certain jurisdictions may require the securities regulatory authorities in those jurisdictions to make comment letters available. Persons submitting comment letters should therefore be aware that the press and members of the public may be able to obtain access to any comment letters.

Questions may be referred to any of:

Dirk de Lint
Legal Counsel
NRD Project Group
Ontario Securities Commission
(416) 593-8090

Melinda Ando
Legal Counsel
Alberta Securities Commission
(403) 297-7274

Robert Hudson
Manager, Registration & Market Regulation
Capital Markets Regulation Division
British Columbia Securities Commission
(604) 899-6691 or (800) 373-6393 (in B.C.)

July 6, 2001