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

Date de publication: Novembre 7, 2024
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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
   

 

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