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

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CSA Instruments and Policies
31-102	National Instrument - National Registration Database as of January 13, 2014
31-102 CP	Companion Policy - National Registration Database as of September 28, 2009
31-103	National Instrument - Registration Requirements, Exemptions and Ongoing Registrant Obligations as of September 13, 2023
31-103 CP	Companion Policy - Registration Requirements, Exemptions and Ongoing Registrant Obligations as of June 06, 2022
31-202 MP	Multilateral Policy - Registration Requirement for Investment Fund Managers as of September 28, 2012
33-105	National Intrument - Underwriting Conflicts as of September 08, 2015
33-105 CP	Companion Policy - Underwriting Conflicts as of September 28, 2009
33-109	National Instrument - Registration Information as of September 13, 2023
33-109 CP	Companion Policy - Registration Information as of June 06, 2022
35-101	National Instrument - Conditional Exemption from Registration for United States Broker-Dealers and Agents as of January 01, 2001
35-101 CP	Companion Policy - Conditional Exemption from Registration for United States Broker-Dealers and Agents as of January 01, 2001

Local Rules and Blanket Orders
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
31-930 (CSA Coordinated Blanket Order)	Exemption to Allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities Under a Prospectus
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

Date de publication :

le 7 Novembre 2024

Renseignements généraux

Division des services financiers et aux consommateurs
Ministère de la Justice et de la Sécurité publique
Immeuble Shaw (nord), 1er étage
105, rue Rochford
C.P. 2000
Charlottetown (Île-du-Prince-Édouard) C1A 7N8

Téléphone: (902) 368-4550
Télécopieur: (902) 368-5283

ccs@gov.pe.ca

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

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