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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]

31-103PDFRegistration Requirements, Exemptions and Ongoing Registrant Obligations - Consolidated Version National InstrumentAs Amended12/4/2017
31-103F1PDFCalculation of Excess Working Capital - Consolidated Version FormAs Amended12/4/2017
31-103F2PDFSubmission to Jurisdiction and Appointment of Agent for Service - Consolidated VersionFormAs Amended1/11/2015
31-103F3PDFUse of Mobility Exemption - Consolidated VersionFormAs Amended7/11/2011
31-103F4PDFNet Asset Value AdjustmentsFormEffective1/11/2015
PDFRevised Suppression of Terrorism and UN Sanctions Reporting FormFormPublished7/30/2010
31-103CPPDFCompanion Policy to NI 31-103 - Consolidated Version Companion PolicyAs Changed12/4/2017
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Proposed Amendments Related to 31-103

31-103PDFProposed Amendments to NI 31-103 (arising from NI 25-101)Proposed Amendments to InstrumentPublished7/6/2017
31-103 PDFProposed Amendments to NI 31-103 (arising from NI 45-102) Proposed Amendments to InstrumentPublished6/29/2017
NumberDocument TitleRegulatory Instrument TypeStatusDate
31-351PDFIIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with Requirements Regarding the Ombudsman for Banking Services and InvestmentsCSA NoticePublished12/7/2017
33-321PDFCyber Security and Social MediaCSA NoticePublished10/19/2017
33-320 PDFThe Requirement for True and Complete Applications for RegistrationCSA NoticePublished7/13/2017
31-349 PDFChange to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions CSA NoticePublished7/13/2017
PDFRequest for Comment relating to Designated Rating Organizations (includes comment letters received)CSA NoticePublished7/6/2017
PDFRequest for Comment Proposed Amendments to NI 45-102 CSA NoticePublished6/29/2017
31-350PDFGuidance on Small Firms Compliance and Regulatory ObligationsCSA NoticePublished5/18/2017
31-348PDFOBSI Joint Regulators Committee Annual Report for 2016CSA NoticePublished3/23/2017
33-318PDFReview of Practices Firms Use to Compensate and Provide Incentives to their RepresentativeCSA NoticePublished12/15/2016
31-347PDFGuidance for Portfolio Managers for Service Arrangements with IIROC Dealer MembersCSA NoticePublished11/17/2016
31-346PDFRegulatory Concerns Over a Perceived Reduction in Liquidity in Canadian Fixed Income Markets – Guidance as to the Scope of the International Dealer Exemption in NI 31-103CSA NoticePublished9/1/2016
31-345PDFCost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional GuidanceCSA NoticePublished4/14/2016
31-344PDFOBSI Joint Regulators Committee Annual Report for 2015CSA NoticePublished4/7/2016
31-343PDFConflicts of Interest in Distributing Securities of Related or Connected IssuersCSA NoticePublished11/19/2015
31-342PDFGuidance for Portfolio Managers Regarding Online AdviceCSA NoticePublished9/24/2015
11-329PDFWithdrawal of Notices and Revocation of Omnibus/Blanket OrdersCSA NoticePublished7/16/2015
31-531PDFExemptions from Certain CRM2 Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant ObligationsBlanket OrderEffective7/15/2015
45-304PDFNotice of Local Exemptions Related to NI 45-106 and NI 31-103CSA NoticePublished5/21/2015
31-341PDFOmnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant ObligationsCSA NoticePublished5/21/2015
31-530PDFTrades and Advice for US-Resident Clients: Dealer and Adviser Registration ExemptionsBlanket OrderEffective3/26/2015
32-301PDFOmnibus/Blanket Order Exempting Certain U.S. Broker-Dealers and U.S. Advisers from the Requirement to Register in Respect of Trades and Advice for U.S. Resident Clients CSA NoticePublished3/26/2015
31-340PDFOBSI Joint Regulators Committee Annual Report for 2014CSA NoticePublished3/19/2015
31-339PDFOmnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant ObligationsCSA NoticePublished5/29/2014
31-528PDFRelief from Certain CRM2 Requirements Prescribed by NI 31-103 for IIROC MembersBlanket OrderEffective5/29/2014
31-529PDFRelief from Certain CRM2 Requirements Prescribed by NI 31-103 for MFDA MembersBlanket OrderEffective5/29/2014
NumberDocument TitleRegulatory Instrument TypeStatusDate
31-103CPPDFChanges to 31-103CPChanges to PolicyEffective12/4/2017
31-103PDFAmendments to NI 31-103Amendments to InstrumentEffective12/4/2017
31-103PDFAmendments to NI 31-103 (Alberta only)Amendments to InstrumentEffective12/4/2017
PDFAmendments to NI 31-103 and NI 33-109 and related Policies and FormsCSA NoticePublished7/27/2017
31-103PDFAmendments to NI 31-103 (arising from NI 14-101)Amendments to InstrumentEffective2/1/2017
31-103CPPDFChanges to 31-103CP (arising from NI 14-101)Changes to PolicyEffective2/1/2017
31-103PDFAmendments to NI 31-103Amendments to InstrumentEffective12/1/2016
PDFAmendments to NI 31-103ASC NoticePublished10/13/2016
PDFRequest for Comment Proposed Amendments to NI 31-103, 31-103CP, NI 33-109 and Related FormsCSA NoticePublished7/7/2016
31-324PDFExempt Market Dealers and Account Statement Requirements in NI 31-103 Registration Requirements and ExemptionsCSA NoticeWithdrawn4/14/2016
31-337PDFCost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional GuidanceCSA NoticeWithdrawn4/14/2016
31-313PDFWithdrawn - NI 31-103 Registration Requirements and Exemptions and Related Instruments - FAQs as of Dec 18, 2009CSA NoticeWithdrawn7/16/2015
31-314PDFWithdrawn - NI 31-103 Registration Requirements and Exemptions and Related Instruments - FAQs as of February 05, 2010 CSA NoticeWithdrawn7/16/2015
31-326PDFWithdrawn - Outside Business ActivitiesCSA NoticeWithdrawn7/16/2015
31-327PDFWithdrawn - Broker-Dealer Registration in the Exempt Market Dealer CategoryCSA NoticeWithdrawn7/16/2015
31-328PDFWithdrawn - Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant ObligationsCSA NoticeWithdrawn7/16/2015
31-329PDFWithdrawn - Omnibus / Blanket Orders Exempting Registrants from Certain Provisions in NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Staff Positions CSA NoticeWithdrawn7/16/2015
31-520PDFRevoked - Exemption from the Registration Requirement in NI 31-103 for International Dealers Blanket OrderRevoked7/16/2015
31-521PDFRevoked - Exemption from the Registration Requirement in NI 31-103 for International Advisers Blanket OrderRevoked7/16/2015
31-524PDFRevoked - Extension of Transitional Relief from Investment Fund Manager Registration Requirement Prescribed by Sections 16.5 and 16.6 of NI 31-103Blanket OrderRevoked7/16/2015
31-330PDFWithdrawn - Omnibus / Blanket Orders Extending Certain Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution ServicesCSA NoticeWithdrawn7/16/2015
31-331PDFWithdrawn - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer CategoryCSA NoticeWithdrawn7/16/2015
31-315PDFWithdrawn - Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements and ExemptionsCSA NoticeWithdrawn7/16/2015
31-333PDFWithdrawn - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category CSA NoticeWithdrawn7/16/2015
31-335PDFWithdrawn - Extension of Interim Relief for Members of IIROC from the Requirement in Section 14.2(1) of NI 31-103 in Respect of the Provision of Relationship Disclosure Information to Existing ClientsCSA NoticeWithdrawn7/16/2015