35-101 - Conditional Exemption from registration for United States broker-dealers and agents - Securities | AMF

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National Instrument 35-101: Conditional Exemption from registration for United States broker-dealers and agents (V-1.1, r. 13)

Regulation 35-101 (pdf - 39 KB)This link will open in a new windowUpdated on June 30, 2011
Last Amendment in force on May 22, 2001
Companion Policy 35-101 (pdf - 231 KB)This link will open in a new windowUpdated on November 30, 2009
Last Amendment in force on May 22, 2001

Notice relating to Regulation 35-101

Notice of publication

Avis de publication : Norme canadienne 35-101 : Dispense conditionnelle d'inscription accordée aux courtiers et aux représentants des États-Unis (pdf - 218 KB)This link will open in a new windowUpdated on November 24, 2000 (Available in French only)

History relating to National Instrument 35-101

Date of publication in the Bulletin	Text
June 1, 2001	National Instrument 35-101, Conditional Exemption from Registration for United States Broker-Dealers and Agents (pdf - 205 KB)This link will open in a new windowUpdated on May 5, 2009 In force since May 22, 2001
June 1, 2001	Companion Policy 35-101, Conditional Exemption from Registration for United States Broker-Dealers and Agents (pdf - 192 KB)This link will open in a new windowUpdated on May 5, 2009 In force since May 22, 2001
June 1, 2001	Avis : Annonce d'une nouvelle adoption d'instructions générales (pdf - 202 KB)This link will open in a new windowUpdated on May 5, 2009 (Available in french only)
	National Instrument 35-101, Conditional Exemption from Registration for United States Broker-Dealers and Agents (pdf - 539 KB)This link will open in a new windowUpdated on May 5, 2009 (administrative version) In force from January 1, 2001 to May 21, 2001
	Companion Policy 35-101, Conditional Exemption from Registration for United States Broker-Dealers and Agents (pdf - 227 KB)This link will open in a new windowUpdated on November 30, 2009 (administrative version) In force from January 1, 2001 to May 21, 2001
November 24, 2000	Norme canadienne 35-101, Dispense conditionnelle d'inscription accordée aux courtiers et aux représentants des États-Unis (pdf - 219 KB)This link will open in a new windowUpdated on May 5, 2009 (Available in french only) In force on January 1, 2001
November 24, 2000	Instruction complémentaire 35-101, Dispense conditionnelle d'inscription accordée aux courtiers et aux représentants des États-Unis (pdf - 210 KB)This link will open in a new windowUpdated on May 5, 2009 (Available in french only) In force on January 1, 2001
November 24, 2000	Avis de publication : Norme canadienne 35-101, Dispense conditionnelle d'inscription accordée aux courtiers et aux représentants des États-Unis (pdf - 218 KB)This link will open in a new windowUpdated on November 24, 2000 (Available in french only)
October 17, 1997	Projet de Norme canadienne 35-101, Dispense conditionnelle d'inscription accordée aux courtiers et aux représentants des États-Unis (Available in french only) (Not available in electronic format)