3 - Registration and related matters

Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations and concordants (pdf - 278 KB)This link will open in a new windowUpdated on 27 July 2017

Notice of publication : Regulation to amend Regulation 33-105 respecting Underwriting Conflicts (pdf - 421 KB)This link will open in a new window

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 windowUpdated on 16 October 2014

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 (pdf - 113 KB)This link will open in a new windowUpdated on 19 December 2013 - Dispute Resolution Services

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 (pdf - 146 KB)This link will open in a new windowUpdated on 28 March 2013 - Cost Disclosure, Performance Reporting and Client Statements

Notice of publication : Regulation 32-102 respecting Registration Exemptions for Non-Resident Investment Fund Managers and Policy Statement to Regulation 32-102 respecting Registration Exemptions for Non-Resident Investment Fund Managers (pdf - 81 KB)This link will open in a new windowUpdated on 5 July 2012

Notice of Amendments : 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, Exemptions and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new windowUpdated on 25 November 2011

Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Regulation to amend Regulation 33-109 respecting Registration Information and Policy Statement to Regulation 33-109 respecting Registration Information  (pdf - 8 MB)This link will open in a new windowUpdated on 15 April 2011

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 windowUpdated on 1st October 2010

Notice of publication : Regulation 31-103 respecting Registration Requirements and Exemptions and Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Consequential Amendments (pdf - 6 MB)This link will open in a new windowUpdated on 17 July 2009

Notice of publication : Replacement of Regulation 33-109 respecting Registration Information; Replacement of Policy Statement to Regulation 33-109 respecting Registration Information; Regulation to amend Regulation 31-102 respecting National Registration Database; Amendments to Policy Statement to Regulation 31-102 respecting National Registration Database (pdf - 6 MB)This link will open in a new windowUpdated on 17 July 2009

Amendment to Multilateral Instrument 33-109 Registration Information and Companion Policy 33-109CP; Amendments to Multilateral Instrument 31-102 National Registration Database and Companion Policy 31-102CP (pdf - 4 MB)This link will open in a new windowUpdated on 23 February 2007

Notice of publication : Regulation to amend Regulation 31-101 respecting National Registration System and Amendments to Policy Statement 31-201 respecting National Registration System (pdf - 319 KB)This link will open in a new windowUpdated on 12 May 2006

Règlement 31-101 sur le régime d'inscription canadien, Annexe 31-101A1, Annexe 31-101A2 et Instruction générale 31-201 relative au régime d'inscription canadien (pdf - 967 KB)This link will open in a new windowUpdated on 7 January 2005 (Available in french only)

Norme canadienne 33-105, Conflits d'intérêts chez les placeurs (pdf - 8 KB)This link will open in a new windowUpdated on 14 February 2003 (Available in french only)

Norme canadienne 33-102 : Réglementation de certaines activités de la personne inscrite (pdf - 225 KB)This link will open in a new windowUpdated on 11 May 2001(Available in french only)

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 24 November 2000 (Available in french only)