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Rescinded Date: | 2009-09-25 |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:
- 33-109CP - Registration Information [CP Amendment Advance Notice - Lapsed]
- 33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
- 33-109F2 - Change or Surrender of Individual Categories [F Amendment Advance Notice - Lapsed]
- 33-109F3 - Business Locations other than Head Office [F Amendment Advance Notice - Lapsed]
- 33-109F4 - Registration of Individuals and Review of Permitted Individuals [F Amendment Advance Notice - Lapsed]
- 33-109F5 - Change of Registration Information [F Amendment Advance Notice - Lapsed]
- 33-109F6 - Firm Registration [F Amendment Advance Notice - Lapsed]
- 33-109F7 - Notice of Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
- BCN 2009/12 - Advance Notice of National Instrument 31-103 Registration Requirements and Exemptions,Companion Policy 31-103CP Registration Requirement and Exemptions,BC Interpretation Note XX, and BC Instrument 33-5xx and its companion policy, and consequential amendments to national and local instruments [BCN - Lapsed]
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