Securities Law

33-109 - Registration Information [NI Amendment Advance Notice - Lapsed]

Published Date: 2009-07-17
Effective Date: 2009-09-28
Rescinded Date: 2009-09-25
Document(s):

Concurrently Published:

Schedule A

National Instrument 33-109
Registration Information
 

Table of Contents

PART       TITLE
PART 1 - DEFINITIONS AND INTERPRETATION
     1.1      Definitions
     1.2      Interpretation
PART 2 - APPLICATION FOR REGISTRATION AND REVIEW OF PERMITTED INDIVIDUALS
     2.1      Firm Registration
     2.2      Individual Registration
     2.3      Reinstatement
     2.4      Application to Change or Surrender Individual Registration Categories
     2.5      Permitted Individuals
     2.6      Commodity Futures Act Registrants
PART 3 - CHANGES TO REGISTERED FIRM INFORMATION
     3.1      Notice of Change to a Firm’s Information
     3.2      Changes to Business Locations
PART 4 - CHANGES TO REGISTERED INDIVIDUAL AND PERMITTED INDIVIDUAL INFORMATION
     4.1      Notice of Change to an Individual’s Information
     4.2      Termination of Employment, Partnership or Agency Relationship
PART 5 - DUE DILIGENCE AND RECORD-KEEPING
     5.1      Sponsoring Firm Obligations
PART 6 - TRANSITION
     6.1      All Registered Firms to File Form 33-109F6 - September 30, 2010
     6.2      Notice of Change for Firms Registered before September 28, 2009
     6.3      National Registration Database Transition Period
     6.4      Transition - Reinstatement under Subsections 2.3(2) and 2.5(2)
PART 7 - EXEMPTION
     7.1      Exemption
PART 8 - REPEAL AND EFFECTIVE DATE
     8.1      Repeal
     8.2      Effective Date

Form 33-109F1       Notice of Termination of Registered Individuals and Permitted Individuals
Form 33-109F2       Change or Surrender of Individual Categories
Form 33-109F3       Business Locations other than Head Office
Form 33-109F4       Registration of Individuals and Review of Permitted Individuals
Form 33-109F5       Change of Registration Information
Form 33-109F6      Firm Registration
Form 33-109F7      Reinstatement of Registered Individuals and Permitted Individuals