Registration Requirements and Related Matters [31-101-35-101]
31–101 National Registration System [National Instrument] Repealed September 28, 2009
31–102 National Registration Database [National Instrument]
NI 31–102 unofficial consolidation as of December 2, 2013
Companion Policy 31–102 CP consolidated version as of September 28, 2009
Documents related to NI 31–102
Amendment to NI 31–102 effective December 2, 2013
National Instrument 31–102 National Registration Database consolidated version as of September 28, 2009
31–103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [National Instrument]
NI 31–103 unofficial consolidation as of September 13, 2023
31–103 CP unofficial consolidation as of June 6, 2022
Form 31–103F1 unofficial consolidation as of September 13, 2023
Form 31–103F2 unofficial consolidation as of January 11, 2015
Form 31–103F3 unofficial consolidation as of July 11, 2011
Form 31–103F4 Net Asset Value Adjustments, January 11, 2015
Documents related to NI 31–103
Amendment to NI 31-103 effective January 1, 2026
Amendment to 31-103 CP effective January 1, 2026
Amendment to NI 31-103 effective September 13, 2023
Amendment to NI 31-103 effective June 6, 2022
Amendment to 31-103 CP effective June 6, 2022
Amendment to NI 31-103 effective January 5, 2022
Amendment to NI 31-103 effective December 31, 2021
Amendment to 31-103 CP effective December 31, 2021
Amendment to NI 31-103 effective March 1, 2021
Amendment to 31-103 CP effective March 1, 2021
Amendment to NI 31-103 effective December 31, 2019
Amendment to 31-103 CP effective December 31, 2019
Amendment to NI 31–103 effective June 12, 2019
Amendment to NI 31–103 effective June 12, 2018
Amendment to NI 31–103 (DRO) effective June 12, 2018
Amendment to NI 31–103 effective December 4, 2017
Amendment to 31–103 CP effective December 4, 2017
Amendment to NI 31–103 effective February 1, 2017
Amendment to 31–103 CP effective February 1, 2017
Amendment to NI 31–103 effective May 5, 2015
Amendment to 31–103 CP effective May 5, 2015
Amendment to NI 31–103 effective January 11, 2015
Amendment to 31–103 CP effective January 11, 2015
Amendment to NI 31–103 effective September 22, 2014
Amendment to 31–103 CP effective September 22, 2014
Amendment to NI 31–103 effective May 1, 2014
Amendment to 31–103 CP effective May 1, 2014
Amendment to NI 31–103 effective July 15, 2013
Amendment to 31–103 CP effective July 15, 2013
Amendment to NI 31–103 effective May 31, 2013
Amendment to 31–103 CP effective September 28, 2012
Amendment to NI 31–103 effective February 28, 2012
Amendment to 31–103 CP effective February 28, 2012
Amendment to NI 31–103 effective July 11, 2011
Companion Policy 31–103 CP office consolidation as of July 11, 2011
Amendment to NI 31–103 effective January 1, 2011
Amendment to Companion Policy effective January 1, 2011
Companion Policy 31–103 CP effective September 28, 2009
National Instrument 31–103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, effective September 28, 2009
Form 31–103F1 Calculation of Excess Working Capital, September 28, 2009
Form 31–103F2 Submission to Jurisdiction and Appointment of Agent for Service, September 28, 2009
Form 31–103F3 Use of Mobility Exemption, September 28, 2009
National Policies
31–202 NP Registration Requirement for Investment Fund Managers, effective September 28, 2012 [National Policy]
33–102 Regulation of Certain Registrant Activities – Repealed September 28, 2009
33–105 Underwriting Conflicts [National Instrument]
NI 33–105 unofficial consolidation as of September 8, 2015
Documents related to NI 33–105
Amendment to NI 33–105 effective September 8, 2015
Amendment to NI 33–105 effective May 5, 2015
Companion Policy 33–105 CP effective March 17, 2008
National Instrument 33–105 Underwriting Conflicts, effective March 17, 2008
33–109 Registration Information [National Instrument]
NI 33–109 unofficial consolidation as of June 6, 2022
33–109 CP unofficial consolidation as of June 6, 2022
Form 33–109F1 unofficial consolidation as of June 6, 2022
Form 33–109F2 unofficial consolidation as of June 6, 2022
Form 33–109F3 unofficial consolidation as of June 6, 2022
Form 33–109F4 unofficial consolidation as of June 6, 2022
Form 33–109F5 unofficial consolidation as of June 6, 2022
Form 33–109F6 unofficial consolidation as of September 13, 2023
Form 33–109F7 unofficial consolidation as of June 6, 2022
Documents related to NI 33–109
Amendment to NI 33-109 effective September 13, 2023
Amendment to NI 33-109 effective June 6, 2022
Amendment to 33-109 CP effective June 6, 2022
Amendment to NI 33–109 effective June 12, 2018
Amendment to NI 33–109 effective December 4, 2017
Amendment to 33–109 CP effective December 4, 2017
Amendment to NI 33–109 effective January 11, 2015
Amendment to 33–109 CP effective January 11, 2015
Amendment to NI 33–109 effective September 22, 2014
Amendment to NI 33–109 effective May 31, 2013
Amendment to NI 33–109 effective August 23, 2012
Amendment to NI 33–109 effective January 1, 2011
Amendment to NI 33–109 effective July 11, 2011
Companion Policy 33–109 CP office consolidation as of July 11, 2011
Companion Policy 33–109 CP effective March 17, 2008
National Instrument 33–109 Registration Information effective March 17, 2008
Form 33–109F1 Notice of Termination of Registered Individuals and Permitted Individuals
Form 33–109F2 Change or Surrender of Individual Categories
Form 33–109F3 Business Locations Other Than Head Office
Form 33–109F4 Registration of Individuals and Review of Permitted Individuals
Form 33–109F5 Change of Registration Information
Form 33–109F6 Firm Registration
Form 33–109F7 Reinstatement of Registered Individuals and Permitted Individuals
35–101 Conditional Exemption from Registration for United States Broker-Dealers and Agents [NI]
National Instrument 35–101 Conditional Exemption From Registration for United States Broker-Dealers and Agents effective March 17, 2008
Documents related to NI 35–101
Companion Policy 35–101 CP effective March 17, 2008
Form 35–101F1 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer.
Form 35–101F2 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer.