Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (V-1.1, r. 10)

Notice related to Regulation 31-103

CSA Staff Notice

Notice of publication

History relating to Regulation 31-103

Date of publication in the Bulletin

Text

July 6, 2017 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 20 KB)This link will open in a new window (Designated Rating Organizations)
End of consultation: October 4, 2017
June 29, 2017 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 14 KB)This link will open in a new window (concordant to Regulation 45-102)
End of consultation: September 27, 2017

July 7, 2016

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 106 KB)This link will open in a new window
End of consultation: October 5, 2016

July 7, 2016

Draft Policy Statement to Regulation 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 658 KB)This link will open in a new window (blacklined version)
End of consultation: October 5, 2016

July 7, 2016

Notice and Request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations and concordants (pdf - 103 KB)This link will open in a new window  

 

Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new window (official consolidated version)
In force from July 15, 2015 to July 14, 2016

 

Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new window (official consolidated version)
In force from January 11, 2015 to July 14, 2015

January 8, 2015

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 87 KB)This link will open in a new window
In force on January 11, 2015

January 8, 2015

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 787 KB)This link will open in a new window
In force on January 11, 2015

October 16, 2014

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 101 KB)This link will open in a new window

October 16, 2014

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 948 KB)This link will open in a new window (blacklined version)

October 16, 2014

Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations; Regulation to amend Regulation 33-109 respecting Registration Information; Regulation to amend Regulation 52-107 respecting Acceptable Accounting Principles and Auditing Standards and Related Policy Statements (pdf - 129 KB)This link will open in a new window

 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new window (official consolidated version)
In force from July 15, 2014 to January 10, 2015

 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new window (official consolidated version)
In force from May 1, 2014 to July 14, 2014

 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new window (administrative consolidated version)
In force from May 1, 2014 to January 10, 2015

April 24, 2014

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 51 KB)This link will open in a new window (Dispute Resolution Services)
In force on May 1, 2014

April 24, 2014

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 53 KB)This link will open in a new window (Dispute Resolution Services)
In force on May 1, 2014

December 19, 2013

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 26 KB)This link will open in a new window (Dispute Resolution Services)

December 19, 2013

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 47 KB)This link will open in a new window (Dispute Resolution Services)

December 19, 2013

CSA Notice: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations and Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 113 KB)This link will open in a new window (Dispute Resolution Services)

December 5, 2013

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 100 KB)This link will open in a new window
End of consultation: March 5, 2014

December 5, 2013

Draft Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 947 KB)This link will open in a new window (blacklined version)
End of consultation: March 5, 2014

December 5, 2013

Notice and Request for comment on Proposed Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations and concordant regulations (pdf - 120 KB)This link will open in a new window

 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new window (consolidated version)
In force from July 15, 2013 to April 30, 2014

 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 1 MB)This link will open in a new window (consolidated version)
In force from July 15, 2013 to April 30, 2014

July 11, 2013

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 115 KB)This link will open in a new window (Cost Disclosure, Performance Reporting and Client Statements)
In force on July 15, 2013

July 11, 2013

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 132 KB)This link will open in a new window (Cost Disclosure, Performance Reporting and Client Statements)
In force on July 15, 2013

 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 1 MB)This link will open in a new window (consolidated version)
In force from May 31, 2013 to July 14, 2013

May 30, 2013

Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 139 KB)This link will open in a new window (concordant to Regulation 25-101)
In force on May 31, 2013

March 28, 2013

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 100 KB)This link will open in a new window

March 28, 2013

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 131 KB)This link will open in a new window

March 28, 2013

Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Cost Disclosure, Performance Reporting and Client Statements (pdf - 146 KB)This link will open in a new window

March 14, 2013

Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 23 KB)This link will open in a new window (concordant to Regulation 25-101)

March 14, 2013

Notice and Request for comments: Draft Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules related to Regulation 25-101 respecting Designated Rating Organizations (pdf - 60 KB)This link will open in a new window

 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 1 MB)This link will open in a new window (consolidated version)
In force from September 28, 2012 to July 14, 2013

September 27, 2012

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 11 KB)This link will open in a new window (concordant to Regulation 32-102)
In force on September 28, 2012

July 26, 2012

Draft Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 20 MB)This link will open in a new window (concordant to Regulation 25-101)

July 26, 2012

Notice and Request for comments: Draft Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules related to Regulation 25-101 respecting Designated Rating Organizations (pdf - 20 MB)This link will open in a new window

July 5, 2012

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 11 KB)This link will open in a new window (concordant to Regulation 32-102)

June 14, 2012

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 5 MB)This link will open in a new window

June 14, 2012

Draft Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 5 MB)This link will open in a new window

June 14, 2012

Notice and Request for comment: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Cost Disclosure, Performance Reporting and Client Statements (pdf - 5 MB)This link will open in a new window

 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new window (consolidated version)
In force from February 28, 2012 to May 30, 2013

 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 321 KB)This link will open in a new window (consolidated version)
In force since February 28, 2012

February 24, 2012

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 5 MB)This link will open in a new window
In force on February 28, 2012

February 24, 2012

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 5 MB)This link will open in a new window
In force on February 28, 2012

February 10, 2012

Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 6 MB)This link will open in a new window (concordant to Regulation 32-102)

November 25, 2011

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new window

November 25, 2011

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new window

November 25, 2011

Notice of Amendments : Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new window

 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new window (official consolidated version)
In force from July 11, 2011 to February 27, 2012

 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 543 KB)This link will open in a new window (consolidated version)
In force from July 11, 2011 to February 27, 2012

July 8, 2011

Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new window
In force on July 11, 2011

July 8, 2011

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 7 MB)This link will open in a new window
In force on July 11, 2011

June 24, 2011

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new window

June 24, 2011

Draft amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new window

June 24, 2011

Notice of and request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and draft amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions - Cost Disclosure and Performance Reporting (pdf - 7 MB)This link will open in a new window

May 13, 2011

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 11 MB)This link will open in a new window

May 13, 2011

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 11 MB)This link will open in a new window

May 13, 2011

Notice and request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and dreft amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions - Exemption from certain requirements for SRO Members (pdf - 11 MB)This link will open in a new window

April 15, 2011

Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 8 MB)This link will open in a new window

April 15, 2011

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 8 MB)This link will open in a new window 

 

April 15, 2011

Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 8 MB)This link will open in a new window

 

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 836 KB)This link will open in a new window (consolidated administrative version)
In force from January 1, 2011 to July 10, 2011

 

Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 2 MB)This link will open in a new window (consolidated administrative version)
In force from January 1, 2011 to July 10, 2011

December 17, 2010

Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 18 MB)This link will open in a new window (concordant to Regulation 52-107)
In force on January 1, 2011

December 17, 2010

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 18 MB)This link will open in a new window (concordant to Regulation 52-107)
In force on January 1, 2011

October 15, 2010

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 5 MB)This link will open in a new window

October 15, 2010

Draft Amendements to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 5 MB)This link will open in a new window

October 15, 2010

Notice of and request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and draft amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions - Registration of International and Certain Domestic Investment Fund Managers (pdf - 5 MB)This link will open in a new window

October 1, 2010

Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 12 MB)This link will open in a new window (concordant to Regulation 52-107)

October 1, 2010

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 12 MB)This link will open in a new window (concordant to Regulation 52-107)

October 1, 2010

Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements and
Exemptions; Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Regulation to amend Regulation 33-109 respecting Registration Information (pdf - 12 MB)This link will open in a new window

July 9, 2010

Erratum: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 13 KB)This link will open in a new window

June 25, 2010

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 3 MB)This link will open in a new window

 

 

June 25, 2010

Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 3 MB)This link will open in a new window

 

 

June 25, 2010

Notice of and request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and draft amendments to Policy Statement to Regulation 31-103 respecting
Requirements and Exemptions (pdf - 3 MB)This link will open in a new window

March 12, 2010

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 3 MB)This link will open in a new window (concordant to Regulation 52-107)

March 12, 2010

Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 3 MB)This link will open in a new window (concordant to Regulation 52-107)

October 23, 2009

Autorité des marchés financiers and New Brunswick Securities Commission Staff Notice on Proposed Changes to: Regulation 31-103 respecting Registration Requirements and Exemptions; Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Regulation 33-109 respecting Registration Information (pdf - 2 MB)This link will open in a new window

 

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 588 KB)This link will open in a new window (administrative version)
In force from September 28, 2009 to December 31, 2010

 

Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 765 KB)This link will open in a new window (administrative version)
In force from September 28, 2009 to December 31, 2010

September 25, 2009

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new window
In force on September 28, 2009

September 25, 2009

Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new window
In force on September 28, 2009

July 17, 2009

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 6 MB)This link will open in a new window

July 17, 2009

Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 6 MB)This link will open in a new window

July 17, 2009

Notice: Regulation 31-103 respecting Registration Requirements and Exemptions; Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Consequential Amendments (pdf - 6 MB)This link will open in a new window

February 29, 2008

Draft Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new window

February 29, 2008

Draft Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new window

February 29, 2008

Notice and Request for Comment: Proposed Regulation 31-103 respecting Registration Requirements;
Proposed Policy Statement to Regulation 31-103 respecting Registration Requirements and Proposed Consequential Amendments (pdf - 7 MB)This link will open in a new window

February 23, 2007

Draft Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 4 MB)This link will open in a new window

February 23, 2007

Draft Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 4 MB)This link will open in a new window

February 23, 2007

Notice and Request for Comment: Draft Regulation 31-103 respecting Registration Requirements; Draft Policy Statement to Regulation 31-103 respecting Registration Requirements and Draft amendments to Regulation 33-109 respecting Registration Information (pdf - 4 MB)This link will open in a new window