Securities Law & Instruments

31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations

View History
Final and Approved:
May 21, 2015 CSA Staff Notice 45-304 (Revised) – Notice of Local Exemptions Related to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
May 21, 2015 CSA Staff Notice 31-341 – Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
April 30, 2015 Changes to Companion Policy 11-102CP Passport System, NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions, Companion Policy 23-103CP Electronic Trading and Direct Electronic Access to Marketplaces, Companion Policy 31-103CP Regis
April 30, 2015 Amendments to MI 11-102 Passport System, MI 13-102 System Fees for SEDAR and NRD, NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, MI 32-102 Registration Exemptions for Non-Resident Investment Fund Managers, NI 33-105 Un
January 11, 2015 Unofficial consolidation of NI 31-103 and its CP as of January 11, 2015
January 15, 2015 Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
January 15, 2015 Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
January 9, 2015 Notice of Ministerial Approval: Amendments to National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations And Related Instruments
November 13, 2014 Notice of Correction: OSC Bulletin, Volume 37, Issue 42, Supplement 5 – Final Amendments to NI 31-103, NI 33-109 and Related Instruments, Policies and Forms
October 16, 2014 Final amendments to NI 31-103, NI 33-109, NI 52-107, OSC rule 33-506 and OSC rule 35-502 and related forms
September 18, 2014 Change to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
May 29, 2014 CSA Staff Notice: 31-339 - Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
May 1, 2014 Unofficial Consolidation of NI 31-103 and its CP as of May 1, 2014
March 6, 2014 Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
March 6, 2014 Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
March 6, 2014 Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP
December 19, 2013 Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations – Dispute Resolution Services
June 6, 2013 Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
June 6, 2013 Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
March 28, 2013 CSA Notice Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP (Cost Disclosure, Performance Reporting and Client Statements)
March 14, 2013 CSA Notice of Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations
February 10, 2012 Amending Instrument to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
November 25, 2011 Notice of Amendments: NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Proposals:
July 7, 2016 CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, NI 33-109
Comments Received
December 5, 2013 Proposed Amendments: NI 31-103, NI 33-109, NI 52-107, OSC Rule 33-506 and OSC Rule 35-502 and Related Forms
Comments Received
March 27, 2013 Proposed Amendments (Related to Modernization of Investment Fund Product Regulation (Phase 2))
November 15, 2012 Notice and Request for Comment: Proposed Amendments on NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Comments Received
Related Information:
December 1, 2015 Amended and Restated Memorandum of Understanding concerning oversight of the Ombudsman for Banking Services and Investments among the Canadian Securities Administrators and OBSI
February 27, 2014 CSA Staff Notice: 31-337 - Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014
June 14, 2012 Investor Research Reports and Document Testing
September 28, 2011 CSA Staff Notice: 31-329 - Omnibus/blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions
September 16, 2011 OSC Staff Notice: 31-714 - OSC Staff Supplement to CSA Staff Notice 31-328 Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
June 22, 2011 CSA Staff Notice: 31-324 - Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions (withdrawn by CSA Notice 31-345, April 14, 2016)
December 10, 2010 Final: IFRS-Related Amendments to Securities Rules and Policies
February 5, 2010 CSA Staff Notice: 31-314 - NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of February 5, 2010
December 18, 2009 CSA Staff Notice: 31-313 - NI 31-103 Registration Requirements and Exemptions and related instruments – Frequently Asked Questions as of December 18, 2009
November 27, 2009 CSA Staff Notice: 45-304 - Notice of Local Exemptions Related to NI 45-106 Prospectus and Registration Exemptions and NI 31-103 Registration Requirements and Exemptions
History of 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
July 7, 2016 CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, NI 33-109
Comments Received
December 1, 2015 Amended and Restated Memorandum of Understanding concerning oversight of the Ombudsman for Banking Services and Investments among the Canadian Securities Administrators and OBSI
May 21, 2015 CSA Staff Notice 45-304 (Revised) – Notice of Local Exemptions Related to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
May 21, 2015 CSA Staff Notice 31-341 – Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
April 30, 2015 Changes to Companion Policy 11-102CP Passport System, NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions, Companion Policy 23-103CP Electronic Trading and Direct Electronic Access to Marketplaces, Companion Policy 31-103CP Regis
April 30, 2015 Amendments to MI 11-102 Passport System, MI 13-102 System Fees for SEDAR and NRD, NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, MI 32-102 Registration Exemptions for Non-Resident Investment Fund Managers, NI 33-105 Un
January 11, 2015 Unofficial consolidation of NI 31-103 and its CP as of January 11, 2015
January 15, 2015 Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
January 15, 2015 Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
January 9, 2015 Notice of Ministerial Approval: Amendments to National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations And Related Instruments
November 13, 2014 Notice of Correction: OSC Bulletin, Volume 37, Issue 42, Supplement 5 – Final Amendments to NI 31-103, NI 33-109 and Related Instruments, Policies and Forms
October 16, 2014 Final amendments to NI 31-103, NI 33-109, NI 52-107, OSC rule 33-506 and OSC rule 35-502 and related forms
September 18, 2014 Change to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
May 29, 2014 CSA Staff Notice: 31-339 - Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
May 1, 2014 Unofficial Consolidation of NI 31-103 and its CP as of May 1, 2014
March 6, 2014 Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
March 6, 2014 Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
March 6, 2014 Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP
February 27, 2014 CSA Staff Notice: 31-337 - Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014
December 19, 2013 Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations – Dispute Resolution Services
December 5, 2013 Proposed Amendments: NI 31-103, NI 33-109, NI 52-107, OSC Rule 33-506 and OSC Rule 35-502 and Related Forms
Comments Received
June 6, 2013 Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
June 6, 2013 Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
March 28, 2013 CSA Notice Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP (Cost Disclosure, Performance Reporting and Client Statements)
March 27, 2013 Proposed Amendments (Related to Modernization of Investment Fund Product Regulation (Phase 2))
March 14, 2013 CSA Notice of Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations
November 15, 2012 Notice and Request for Comment: Proposed Amendments on NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Comments Received
June 14, 2012 Proposed Amendments: NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Comments Received
June 14, 2012 Investor Research Reports and Document Testing
February 10, 2012 Amending Instrument to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
February 10, 2012 Notice of Ministerial Approval: Amendments to NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
November 25, 2011 Notice of Amendments: NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
September 28, 2011 CSA Staff Notice: 31-329 - Omnibus/blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions
September 16, 2011 OSC Staff Notice: 31-714 - OSC Staff Supplement to CSA Staff Notice 31-328 Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
September 16, 2011 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
July 8, 2011 Amendments: NI 31-103 Registration Requirements and Exemptions
July 8, 2011 Notice of Ministerial Approval: Amendments to NI 31-103 Registration Requirements and Exemptions and Related Instruments
June 22, 2011 Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and to Companion Policy 31-103CP
Comments Received
June 22, 2011 CSA Staff Notice: 31-324 - Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions (withdrawn by CSA Notice 31-345, April 14, 2016)
May 13, 2011 Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103CP Registration Requirements and Exemptions - Exemptions from certain requirements for SRO Members
Comments Received
April 15, 2011 Amended National Instrument 31-103, National Instrument 33-109 and OSC Rule 33-506
December 10, 2010 Final: IFRS-Related Amendments to Securities Rules and Policies
December 10, 2010 Notice of Ministerial Approval of IFRS-Related Amendments to Securiities Rules and Regulation 1015 under the Securities Act
October 15, 2010 CSA Notice: 31-320 - Additional Request for Comment by the OSC and Autorité des Marchés Financiers on Proposed Exemptions from Investment Fund Manager Registration Requirement for International and Certain Domestic Investment Fund Managers
October 15, 2010 Notice of and Request for Comment: Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions -- Registration of International and Certain Domestic Investment Fund Managers
Comments Received
October 15, 2010 CSA Proposed Amendments to NI 31-103 Registration Requirements and Exemptions. Registration of international and certain domestic investment fund managers
October 1, 2010 Notice of IFRS-Related Amendments to Registration Materials
June 25, 2010 Notice of and Request for Comment: Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions, National Instrument 33-109 Registration Information and to Related Policies and Forms
Comments Received
February 5, 2010 CSA Staff Notice: 31-314 - NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of February 5, 2010
December 18, 2009 CSA Staff Notice: 31-313 - NI 31-103 Registration Requirements and Exemptions and related instruments – Frequently Asked Questions as of December 18, 2009
November 27, 2009 CSA Staff Notice: 45-304 - Notice of Local Exemptions Related to NI 45-106 Prospectus and Registration Exemptions and NI 31-103 Registration Requirements and Exemptions
October 23, 2009 Notice and Request for Comment: Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103 CP Registration Requirements and Exemptions and Proposed Amendments to NI 33-109 Registration Information
September 18, 2009 National Instrument: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
September 18, 2009 Notice of Ministerial Approval: NI 31-103 - Registration Requirements and Exemptions and Consequential Amendments to Related Instruments
August 7, 2009 Notice of Correction: NI 31-103 - Registration Requirements and Exemptions (July 17, 2009, Supplement 2) - Appendix A of CSA Notice
July 17, 2009 Notice of National Instrument: NI 31-103 - Registration Requirements and Exemptions and CSA Notice of Rule, Companion Policy and Consequential Amendments to Related Instruments
July 17, 2009 Notice: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 National Instrument: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 Companion Policy: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 Summary of comments and responses on the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 Summary of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 Concordance of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 Blackline of changes to the 2008 Proposal: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 Alternative approach to regulating exempt market intermediaries in certain jurisdictions: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 CSA Staff Notice: 31-311 - Proposed National Instrument - Transition into the new registration regime: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 Adoption of the Instrument and consequential amendments: NI 31-103 - Registration Requirements and Exemptions
July 17, 2009 Amendment (Related to National Instrument 31-103 effective September 28, 2009)
July 17, 2009 Notice of Amendments
July 17, 2009 Notice of CSA Approval: NI 31-103 - Registration Requirements and Exemptions
June 12, 2009 CSA Staff Notice: 31-311
April 3, 2009 CSA Staff Notice: 31-310 - Proposed NI 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements
April 24, 2008 Notice and Request for Comments: NI 31-103 - Registration Requirements
April 24, 2008 Proposed National Instrument: NI 31-103 - Registration Requirements
February 29, 2008 Proposed NI 31-103 Registration Requirements, Proposed Companion Policy 31-103CP and Proposed Consequential Amendments: NI - 31-103 - Registration Requirements
Comments Received
February 29, 2008 Notice: Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
February 29, 2008 Summary of Comments received by June 30, 2007: NI 31-103 - Registration Requirements
February 23, 2007 Notice of CSA Request for Comments: NI 31-103 - Registration Requirements
Comments Received
February 20, 2007 Proposed National Instrument, Notice and Request for Comments, Companion Policy and related forms: NI 31-103 - Registration Requirements
February 20, 2007 Proposed National Instrument: NI 31-103 - Registration Requirements
February 20, 2007 Proposed Companion Policy: NI 31-103 - Registration Requirements
February 20, 2007 Notice and Request for Comment: NI 31-103 - Registration Requirements