31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

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View History

Document Published Effective Format
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI] 2016-07-15 2016-07-15
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP] 2015-05-05 2015-05-05

Forms

Document Published Effective Format
31-103F1 Calculation of Excess Working Capital [F] 2015-01-11 2015-01-11
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F] 2015-01-11 2015-01-11
31-103F3 Use of Mobility Exemption [F] 2015-01-11 2015-01-11
31-103F4 Net Asset Value Adjustments [F] 2015-01-11 2015-01-11

CSA Related Documents

Document Published Effective Format
31-344 OBSI Joint Regulators Committee Annual Report for 2015 [CSA Staff Notice] 2016-04-07 ---
31-343 Conflicts of Interest in Distributing Securities of Related or Connected Issuers [CSA Staff Notice] 2015-11-19 ---
11-329 Withdrawal of Notices and Revocation of Omnibus/Blanket Orders [CSA Staff Notice] 2015-07-16 ---
31-340 OBSI Joint Regulators Committee Annual Report for 2014 [CSA Staff Notice] 2015-03-19 ---
31-338 Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization [CSA Staff Notice] 2014-05-01 ---
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Advance Notices

Document Published Effective Format
31-103 Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information, and Companion Policy 33-109CP Registration Information [CSA Notice] 2017-07-27 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice] 2017-07-27 2017-12-04
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice] 2017-07-27 2017-12-04
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice] 2017-07-27 2017-12-04

Proposed Amendments

Document Published Comments Close Format
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed] 2017-07-06 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed] 2017-06-29 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed] 2016-07-07 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed] 2016-07-07 ---
31-103 CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations,Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information And Related Forms [CSA Notice] 2016-07-07 ---
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