3 - Registration Requirements and Related Matters

Results 121 - 150 of 192
Instrument Number
Title
33-317
CSA Staff Notice 33-317 Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients
33-318
Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives
33-319
Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
33-320
CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration
33-321
CSA Staff Notice 33-321 Cyber Security and Social Media
33-401
Canadian Capital Markets Association - T + 1 White Paper (Withdrawn by CSA Notice 11-313, February 19, 2010)
33-402
Principles and Practices for the Sale of Products and Services in the Financial Sector (Withdrawn by CSA Notice 11-313, February 19, 2010)
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
33-404
Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients
33-501
[repealed] Surrender of Registration
33-502
[repealed] Exceptions to Conflict Rules in the Sale of Mutual Fund Securities
33-503
[not proceeding] Change of Registration Information, Rescission of Notice and Revocation of Regulations under the Securities Act
33-504
[expired] Compliance with Section 42
33-505 (Commodity Futures Act)
Permanent Registration
33-506
Registration Information Requirements
33-507
Ontario Instrument 33-507 - Exemption from Underwriting Conflicts Disclosure Requirements (Interim Class Order)
33-508
Extension to Ontario Instrument 33-507 Exemption from Underwriting Conflict Disclosure Requirements
33-509
Exemption From Underwriting Conflict Disclosure Requirements
33-601
Guidelines for Policies and Procedures Concerning Inside Information
33-701
Calculation of Regulatory Capital (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-712 and 32-701
Processing of Equity and Fixed Income Trades By Financial Institutions and Mutual Fund Dealers
33-713
Registrant Regulatory Filings
33-718
Networking Applications (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-719
Registration Renewal & Permanent Registration (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-720
2001 National Compliance Review (NCR)
33-721
CSA/OSC STP Readiness Assessment Survey
33-722
Registration Renewal Procedure and Payment of Annual Participation Fees (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-723
Fair Allocation of Investment Opportunities - Compliance Team Desk Review (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
33-724
OSC Compliance Team, Capital Markets Branch Annual Report
33-725
Industry Report on Scholarship Plan Dealers
Results 121 - 150 of 192