33-109 - Registration Information [NI - Rescinded]

Concurrently Published:

• 33-109CP - Registration Information [CP - Rescinded]
• 33-109F1 - Notice of Termination [F - Rescinded]
• 33-109F2 - Change or Surrender of Individual Categories [F - Rescinded]
• 33-109F3 - Business Locations Other Than Head Office [F - Rescinded]
• 33-109F4 - Registration Information For An Individual [F - Rescinded]
• 33-109F5 - Change of Registration Information [F - Rescinded]

Table of Contents

PART 1 DEFINITIONS
1.1 Definitions
1.2 Interpretation

PART 2 APPLICATION FOR REGISTRATION
2.1 Dealer, Adviser and Underwriter Registration
2.2 Individual Applicants
2.3 Commodity Futures Act Registrants

PART 3 CHANGES TO REGISTERED FIRM INFORMATION
 3.1 Changes to Form 3 Information
3.2 Changes to Business Locations
3.3 Addition of Permitted individuals
3.4 Changes to Other Registration Information

PART 4 CHANGES TO REGISTERED INDIVIDUAL INFORMATION
4.1 Changes to Form 33-109F4 Information
4.2 Application to Change or Surrender Individual Registration Categories
4.3 Termination of Relationship

PART 5 CHANGES TO PERMITTED INDIVIDUAL INFORMATION
5.1 Changes to Form 33-109F4 Information
5.2 Termination of Relationship

PART 6 DUE DILIGENCE AND RECORD-KEEPING
6.1 Sponsoring Firm Obligations

PART 7 EXEMPTION
7.1 Exemption

PART 8 INCONSISTENT PROVISIONS
8.1 Inconsistent Provisions

FORM 33-109F1 NOTICE OF TERMINATION

FORM 33-109F2 CHANGE OR SURRENDER OF INDIVIDUAL CATEGORIES

FORM 33-109F3 BUSINESS LOCATIONS OTHER THAN HEAD OFFICE

FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL

FORM 33-109F5 CHANGE OF REGISTRATION INFORMATION