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]

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BCN 2009-12, July 17, 2009
Published: 2009-07-17
Rescinded / Lapsed: 2012-07-13

Related Documents

Document
CSA Notice to BCN 2009-12 and 31-103, July 17, 2009
CSA Notice Appendix A to BCN 2009-12 and 31-103, July 17, 2009
CSA Notice Appendix B to BCN 2009-12 and 31-103, July 17, 2009
CSA Notice Appendix C to BCN 2009-12 and 31-103, July 17, 2009
CSA Notice Appendix D to BCN 2009-12 and 31-103, July 17, 2009
CSA Notice Appendix E to BCN 2009-12 and 31-103, July 17, 2009
CSA Notice Appendix F to BCN 2009-12 and 31-103, July 17, 2009
CSA Notice Appendix G to BCN 2009-12 and 31-103, July 17, 2009
CSA Notice to BCN 2009-12 and 33-109, July 17, 2009
Appendix A to BCN 2009-12, July 17, 2009
Appendix B to BCN 2009-12, July 17, 2009
Appendix J to BCN 2009-12, July 17, 2009
Appendix K to BCN 2009-12, July 17, 2009
BCN 2009-12 Appendix P
BCN 2009-12 Appendix Q

Concurrently Published

Document
31-103 31-103 Registration Requirements and Exemptions [NI Advance Notice - Lapsed]
31-103F1 31-103F1 Calculation of Excess Working Capital [F Advance Notice - Lapsed]
31-103F2 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F Advance Notice - Lapsed]
31-103F3 31-103F3 Use of Mobility Exemption [F Advance Notice - Lapsed]
31-103CP 31-103CP Registration Requirements and Exemptions [CP Advance Notice - Lapsed]
33-109 33-109 Registration Information [NI Amendment Advance Notice - Lapsed]
33-109F1 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
33-109F2 33-109F2 Change or Surrender of Individual Categories [F Amendment Advance Notice - Lapsed]
33-109F3 33-109F3 Business Locations other than Head Office [F Amendment Advance Notice - Lapsed]
33-109F4 33-109F4 Registration of Individuals and Review of Permitted Individuals [F Amendment Advance Notice - Lapsed]
33-109F5 33-109F5 Change of Registration Information [F Amendment Advance Notice - Lapsed]
33-109F6 33-109F6 Firm Registration [F Amendment Advance Notice - Lapsed]
33-109F7 33-109F7 Notice of Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
33-109CP 33-109CP Registration Information [CP Amendment Advance Notice - Lapsed]
31-102 31-102 National Registration Database [NI Amendment Advance Notice - Lapsed]
31-102CP 31-102CP National Registration Database [CP Blackline Amendment Advance Notice - Lapsed]
22-502 22-502 Registration by the Investment Industry Regulatory Organization of Canada [BCI Amendment Advance Notice - Lapsed]
31-601 31-601 Registration Requirements [BCP Amendment Advance Notice - Lapsed]
32-503 32-503 Registration Exemption for Approved Persons of the Mutual Funds Dealers Association of Canada [BCI Amendment Advance Notice - Lapsed]
33-506 33-506 Exemption from cold calling restrictions for registered dealers [BCI Amendment Advance Notice - Lapsed]
33-512 33-512 Exemption for Foreign Advisers from the NRD Account Requirements [BCI Amendment Advance Notice - Lapsed]
33-513 33-513 Exemption from financial statement, capital and bonding requirements for MFDA Members [BCI Amendment Advance Notice - Lapsed]
33-514 33-514 Exemption from capital, bonding and financial reporting requirements for certain portfolio managers and investment counsel [BCI Amendment Advance Notice - Lapsed]
33-515 33-515 Exemption from financial statement, capital and bonding requirements for IDA members [BCI Amendment Advance Notice - Lapsed]
45-501 45-501 Mortgages [BCI Amendment Advance Notice - Lapsed]
45-512 45-512 Real Estate Securities [BCI Amendment Advance Notice - Lapsed]
45-514 45-514 The Employee Investment Act [BCI Amendment Advance Notice - Lapsed]

Introduction
The Canadian Securities Administrators have approved National Instrument 31-103 Registration Requirements and Exemptions, Companion Policy 31-103CP Registration Requirements and Exemptions (together, the national rule), and consequential amendments to national and multilateral instruments. Subject to Ministerial approval requirements, the National Rule will come into force on September 28, 2009 (the implementation date).

In addition, the British Columbia Securities Commission has approved BC Instrument 33-5xx and its companion policy, consequential amendments to local instruments and a related interpretation notice (BCIN). 

We published the national rule for comment on February 20, 2007. We published it again on February 29, 2008, along with proposed national, multilateral and local consequential amendments.

Please refer to CSA Notice Notice of National Instrument 31-103 Registration Requirements dated July 17, 2009, which gives an overview of the national rule and national and multilateral consequential amendments. Appendix B to the CSA Notice describes the significant changes to those documents since the second publication. This notice describes BC Instrument 33-5xx the local consequential amendments (including significant changes to those amendments since the second publication) and the related BCIN.