Securities Law

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

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Rescinded Date: 2009-09-25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

Concurrently Published:

Schedule B

 

British Columbia Securities Commission

 

Companion Policy 33-109CP

 

Registration Information

 

The British Columbia Securities Commission, considering that to do so would not be prejudicial to the public interest, orders that effective September 28, 2009, Companion Policy 33-109CP entitled Registration Information dated May 15, 2007 is revoked and the attached Companion Policy 33-109CP Registration Information is made.

 

 

  

 

  , 2009

  

 

 

Brent W. Aitken

Acting Chair

 

 

 

(This part for administrative purposes only and is not part of the Order)

 

Authority under which Order is made:

Act and sections:-         Securities Act, section 171

Other (specify):-

 

Companion Policy 33-109
Registration Information

Table of Contents

PART      TITLE
PART 1 - GENERAL 
     1.1      Purpose 
     1.2      Overview of the forms 
     1.3      Notice requirements 
     1.4      Contact information
PART 2 - FORMS USED BY INDIVIDUALS 
     2.1      National Registration Database (NRD) 
     2.2      Form 33-109F4 
     2.3      Form 33-109F2 
     2.4      Form 33-109F5 for individuals 
     2.5      Form 33-109F7 for reinstatement 
     2.6      Ongoing fitness for registration
PART 3 - FORMS USED BY FIRMS 
     3.1      Form 33-109F6 
     3.2      Form 33-109F5 
     3.3      Form 33-109F3 
     3.4      Discretionary exemption for bulk transfers 
     3.5      Form 33-109F1
PART 4 - DUE DILIGENCE BY FIRMS 
     4.1      Obligations of former sponsoring firm 
     4.2      Obligations of new sponsoring firm
PART 5 - COMMODITY FUTURES ACT SUBMISSIONS 
     5.1      Ontario 
     5.2      Manitoba

Appendix A - Summary of Notice Requirements under National Instrument 33-109
Appendix B - Contact Information for the Regulators and IIROC
Appendix C - Discretionary Exemption for Bulk Transfers of Locations and Individuals