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

13-801 (Amendment)

Amending National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)

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 Instrument 31-103 Registration Requirements,  Exemptions And Ongoing Registrant Obligations

31-524 (Blanket Order)

In the Matter of Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Market Participants (No. 2)

31-525 (Local Rule)

Conditions of Registration - Approved Compensation and Contingency

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