BCN 2010/20 Notice and Request for Comment - Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions, Companion Policy 31-103CP Registration Requirements and Exemptions, National Instrument 33-109 Registration Information, Companion Policy 33-109 Registration Information [BCN]

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Published: 2010-06-25

Related Documents

Document
CSA Notice to BCN 2010/20, June 25, 2010

Concurrently Published

Document
31-103 31-103 Registration Requirements, Exemptions and Ongoing Requirements [NI Amendment Proposed - Lapsed]
31-103 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed - Lapsed]
31-103CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Proposed - Lapsed]
33-109 33-109 Registration Information [NI Amendment Proposed - Lapsed]
33-109 33-109 Registration Information [NI Blackline Amendment Proposed - Lapsed]
33-109F1 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F Blackline Amendment Proposed - Lapsed]
33-109F2 33-109F2 Change or Surrender of Individual Categories [F Blackline Amendment Proposed - Lapsed]
33-109F4 33-109F4 Registration of Individuals and Review of Permitted Individuals [F Blackline Amendment Proposed - Lapsed]
33-109F6 33-109F6 Firm registration [Blackline Amendment Proposed - Lapsed]
33-109F7 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [Blackline Amendment Proposed - Lapsed]
33-109CP 33-109CP Registration Information [CP Blackline Amendment Proposed - Lapsed]
31-315 31-315 Omnibus / blanket orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements and Exemptions [CSA Staff Notice - Lapsed]

The Canadian Securities Administrators (CSA) are publishing for comment proposed amendments to National Instrument 31-103 Registration Requirements and Exemptions, its related forms and companion policy, and National Instrument 33-109 Registration Information and its related forms and companion policy. 

The attached CSA notice describes what we and other members of the CSA are proposing.  The proposed amendments intend to address investor protection, market efficiency and other regulatory concerns.  They reflect what we learned from monitoring the rule’s implementation and from our continuing dialogue with stakeholders.

The CSA notice describes where you should send your comments on the proposed amendments.  We will consider all comments received by September 30, 2010.


June 25, 2010


Brenda M. Leong
Chair


Ref:  National Instrument 31-103 Registration Requirements and Exemptions
Companion Policy 31-103CP Registration Requirements and Exemptions
Form 31-103F1 Calculation of excess working capital
Form 31-103F3 Use of Mobility Exemption
National Instrument 33-109 Registration Information
Companion Policy 33-109 Registration Information
Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals
Form 33-109F2 Change or Surrender of Individual Categories
Form 33-109F4 Registration of Individuals and Review of Permitted Individuals
Form 33-109F6 Firm Registration
Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals


This Notice may refer to other documents. These documents can be found at the BC. Securities Commission public website at www.bcsc.bc.ca in the section Securities Law & Policy: Policies & Instruments.