3 - Registration Requirements and Related Matters

Results 61 - 90 of 192
Instrument Number
Title
31-364
OBSI Joint Regulators Committee Annual Report for 2022
31-401
Registration Forms Relating to the National Registration Database
31-402
Registration Forms Relating to the National Registration Database (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-501
[repealed] Registrant Relationships
31-502
[repealed] Proficiency Requirements for Registrants
31-503
[repealed] Limited Market Dealers
31-504
[repealed] Dealer and Advisor Applications for Registration
31-505
Conditions of Registration
31-506
[repealed] SRO Membership - Mutual Funds Dealers
31-507
[repealed] SRO Membership - Securities Dealers and Brokers
31-508
[never adopted] Permanent Registration
31-509
National Registration Database (under the Commodity Futures Act)
31-510
Notice of General Order - Ontario Instrument 31-510 Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants
31-511
Ontario Instrument 31-511 Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-512
Ontario Instrument 31-512 Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-513
Ontario Instrument 31-513 - Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants, No. 2
31-514
Ontario Instrument 31-514 – Transitional Relief Related to the Elimination of the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-702
Designation of Courses Under Rule 31-502 Proficiency Requirements for Registrants (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-705
Common Renewal Date
31-708
National Registration Database (NRD) Filing Deadlines Extended (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-709
National Registration Database (NRD) Filing Deadlines Extended to November 15, 2003
31-710
National Registration Database (NRD) Extention of Certain Filing Deadlines
31-711
Ontario Securities Commission Rule 31-502 - Proficiency Requirements for Registrants and Ontario Securities Commission Rule 31-505 - Conditions of Registration (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-712
Mutual Fund Dealers Business Arrangements
31-714
OSC Staff Supplement to CSA Staff Notice 31-328 Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-715
OSC Staff Notice 31-715, IIROC Notice Number 15-0210 and MFDA Bulletin Number 0658-C - Mystery Shopping for Investment Advice: Insights into advisory practices and the investor experience in Ontario
32-101
[repealed] Small Securityholder Selling and Purchase Arrangements
32-102
Registration Exemptions for Non-Resident Investment Fund Managers
32-501
Direct Purchase Plans
32-502
[repealed and replaced by s. 4.1 of Rule 45-501, which section was subsequently repealed] Registration Exemption for Certain Trades by Financial Intermediaries
Results 61 - 90 of 192