3 - Registration Requirements and Related Matters

Results 91 - 120 of 192
Instrument Number
Title
32-503
[repealed and replaced by s. 4.1 of Rule 45-501, which section was subsequently repealed] Registration and Prospectus Exemption for Trades by Financial Intermediaries in Mutual Fund Securities to Corporate Sponsored Plans
32-504
Advisory Registration Exemption
32-505
Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario
32-506
Proposed OSC Rule 32-506 (Under the Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers – Proposed Amendment to OSC Rule 91-502 Trades in Recognized Options under the Securities Act
32-507
Notice of General Order – Ontario Instrument 32-507 (Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers (Interim Class Order)
32-701 and 33-712
Processing of Equity and Fixed Income Trades By Financial Institutions and Mutual Fund Dealers
32-702
Applications for Exemption from the Time Limits on Completion of Courses and Previous Registrations (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-101
[on hold] Administration of Self-Directed RRSPs, RESPs and RRIFs by Dealers
33-102
[repealed] Revised Principles of Regulation - National Instrument 33-102 Registrant Dealings with Clients
33-103
[not proceeding] Distribution Networks
33-104
[not proceeding] Selling Arrangements
33-105
Underwriting Conflicts
33-107
[not proceeding] Proficiency Requirements for Registrants Holding Themselves Out As Providing Financial Planning Advice
33-108
[not proceeding] Permanent Registration
33-109
Registration Information Requirements
33-201
[not proceeding] Networking And Selling Arrangement
33-303, 81-304
Trust Accounts for Mutual Fund Securities
33-304
CSA Distribution Structures Committee Position Paper (Withdrawn by CSA Notice 11-313, February 19, 2010)
33-305
[Withdrawn by CSA Staff Notice 11-341, March 7, 2019] Sale of Insurance Products by Dually Employed Salespersons
33-306
Date of NRD Freeze Period
33-307
List of Canadian Registrant and Non-Registrant Firms that Completed the CSA STP Readiness Assessment Survey (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-308
The CSA STP Readiness Assessment Survey Report (Survey Report) is Now Available on the OSC Website (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-309
The CSA STP Infrastructure Survey Report is Now Available on the OSC Website (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-310
Joint Forum Releases Summary of Comments and Responses on Principles and Practices for the Sale of Products and Services in the Financial Sector
33-311
CSA Staff Notice 33-311 List of Canadian Registrant and Non-Registrant Firms that Completed the CSA STP Readiness Assessment Survey (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-312
The CSA STP Readiness Assessment Survey Report is Now Available on the OSC Website (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-313
International Financial Reporting Standards and Registrants
33-314
International Financial Reporting Standards and Registrants
33-315
Suitability Obligation and Know Your Product
33-316
Status Report on Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
Results 91 - 120 of 192