Securities Law

33-109 - Registration Information [NI Blackline Amendment Proposed - Lapsed]

Published Date: 2010-06-25
Rescinded Date: 2011-04-15

Concurrently Published:

Table of Contents


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 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 7Exemption

 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