Securities Law and Policy Category 3: Registration Requirements and Related Matters

31-501 (Repeal)
Prince Edward Island Rule 31-501 - Transitional Registration Requirements

31-502 (Blanket Order) (Revoked)
Registration Requirements and Exemptions in connection with transition and grandfathering matters

31-503 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Chief Compliance Officers of Portfolio Managers Adding a Category

31-504 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Canadian Firms

31-505 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Mutual Fund Dealers

31-506 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Representatives of Scholarship Plan Dealers

31-507 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Portfolio Managers Adding a Category

31-508 (Blanket Order)
Exemption from the Registration Requirement for Trades in Short-Term Debt Instruments

31-509 (Blanket Order)
Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for IIROC member firms

31-510 (Blanket Order)
Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for MFDA member firms

31-511 (Blanket Order)
Exemption from the Registration Requirement for Trades in Short-Term Debt Instruments

31-512 (Blanket Order)
Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for IIROC member firms

31-513 (Blanket Order)
Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for MFDA member firms

31-514 (Blanket Order)
Exemption from the Registration Requirement in NI 31-103 for International Dealers

31-515 (Blanket Order)
Exemption from the Registration Requirement in NI 31-103 for International Advisors

31-516 (Blanket Order)
Exemption from the Requirement to Register as an Investment Fund Manager

31-517 (Blanket Order)
Exemption from the Requirement to Provide Dispute Resolution Services Prescribed by Section 13.16 of NI 31-103

31-518 (Blanket Order)
IIROC 2014 CRM2 Amendments

31-519 (Blanket Order)
MFDA 2014 CRM2 Amendments

31-520 (Blanket Order)
Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

31-521 (Blanket Order)
In the Matter of Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Market Participants

31-522 (Blanket Order)
In The Matter of Relief In Respect of Client Focused Reforms

31-523 (Blanket Order)

In The Matter of Relief In Respect of Client Focused Reforms Conflict of Interest Provisions of National Instument 31-103 Registration Requirements,  Exemptions And Ongoing Registrant Obligations

31-801, 31-801 (Repeal)
Prince Edward Island Rule 31-801 - Requirements Under the National Registration System

31-802, 31-802 (Amendment), 31-802 (Amendment)
Prince Edward Island Rule 31-802 - National Registration Database

31-803, 31-803 (Amendment - New Title: Registration Requirements and Exemptions and Ongoing Registrant Obligations), 31-803 (Amendment), 31-803 (Amendment)
Prince Edward Island Rule 31-803 - Registration Requirements and Exemptions

32-501 (Blanket Order)
Prince Edward Island Rule 32-501 - Exemption from the dealer registration requirement and the adviser registration requirement in respect of trades and advice for U.S. resident clients

33-501, 33-501 (Repeal)
Prince Edward Island Rule 33-501 - Permanent Registration

33-502
Prince Edward Island Rule 33-502 - Disclosure of Sales Charges

33-503 (Blanket Order)
In the Matter of Calls to Residences by Registrants - Cold Calling

33-504 (Blanket Order)
In the Matter of Registration Exemption Enabling a Corporation of an Individual Registrant of a Mutual Fund Dealer or Investment Dealer to Receive Directed Sales Commissions or Fees

33-802, 33-802 (Repeal)
Prince Edward Island Rule 33-802 - Regulation of Certain Registrant Activities

33-805, 33-805 (Amendment), 33-805 (Amendment), 33-805 (Amendment)
Prince Edward Island Rule 33-805 - Underwriting Conflicts

33-809, 33-809 (Amendment), 33-809 (Amendment), 33-809 (Amendment)
Prince Edward Island Rule 33-809 - Registration Information

35-801
Prince Edward Island Rule 35-801 - Conditional Exemption from Registration for United States Broker-Dealers and Agents

 

Published date: 
May 26, 2020
Justice and Public Safety

General Inquiries

Consumer, Corporate and Insurance Division
1st Floor, Shaw Building (North Entrance)
105 Rochford Street
PO Box 2000
Charlottetown, PE   C1A 7N8

Phone: 902-368-4550
Fax: 902-368-5283

ccs@gov.pe.ca