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BCN 2011/07 Advance Notice of Amendments to National Instrument 31-103 Registration Requirements and Exemptions, related forms and Companion Policy 31-103CP and Amendments to National Instrument 33-109 Registration Information, related forms and Companion Policy 33-109CP [BCN]

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Published: 2011-04-15

Related Documents

Document
CSA Notice April 15 2011
CSA Notice (Appendix A) April 15,2011
CSA Notice (Appendix B) April 15, 2011
CSA Notice (Appendix C) April 15, 2011

Concurrently Published

Document
31-103 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Lapsed]
31-103 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Lapsed]
31-103 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Advance Notice - Lapsed]
31-103CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Advance Notice - Lapsed]
31-103CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice - Lapsed]
33-109 33-109 Registration Information [NI Amendment Advance Notice - Lapsed]
33-109 33-109 Registration Information [NI Advance Notice - Lapsed]
33-109 33-109 Registration Information [NI Blackline Amendment Advanced Notice - Lapsed]
33-109CP 33-109CP Registration Information [CP Advance Notice - Lapsed]
33-109CP 33-109CP Registration Information [CP Blackline Amendment Advance Notice - Lapsed]
33-109F1 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
33-109F1 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]
33-109F2 33-109F2 Change or Surrender of Individual Categories [F Amendment Advance Notice - Lapsed]
33-109F2 33-109F2 Change or Surrender of Individual Categories [F Blackline Amendment Advance Notice - Lapsed]
33-109F3 33-109F3 Business Locations Other than Head Office [F Amendment Advance Notice - Lapsed]
33-109F3 33-109F3 Business Locations other than Head Office [F Blackline Amendment Advance Notice - Lapsed]
33-109F4 33-109F4 Registration of Individuals and Review of Permitted Individuals [F Amendment Advance Notice - Lapsed]
33-109F4 33-109F4 Registration of Individuals and Review of Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]
33-109F5 33-109F5 Change of Registration Information [F Amendment Advance Notice - Lapsed]
33-109F5 33-109F5 Change of Registration Information [F Blackline Amendment Advance Notice - Lapsed]
33-109F6 33-109F6 Firm Registration [F Amendment Advance Notice - Lapsed]
33-109F6 33-109F6 Firm Registration [F Blackline Amendment Advance Notice - Lapsed]
33-109F7 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
33-109F7 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F Blackline Amendment Advance Notice - Lapsed]

In the attached advance notice, the Canadian Securities Administrators announce the expected adoption, effective July 11, 2011, of amendments to:

  • 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 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
  • Form 31-103F3 Use of Mobility Exemption
  • National Instrument 33-109 Registration Information
  • Companion Policy 33-109CP Registration Information
  • Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals
  • Form 33-109F2 Change or Surrender of Individual Categories
  • Form 33-109F3 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

Questions

You may refer questions to:
Lindy Bremner
Senior Legal Counsel, Capital Markets Regulation
British Columbia Securities Commission
(604) 899-6678
(800) 373-6393 (toll free across Canada)

Mark Wang
Manager, Legal Services
British Columbia Securities Commission
(604) 899-6658
(800) 373-6393 (toll free across Canada)

April 15, 2011

 


Brent Aitken
Vice Chair

 

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