Instruments & Policies 

  31-103 Registration Requirements and Exemptions  (PDF 805801 KB)
Type: National Instrument History »
Status: Effective 28 Sep 2009


Documents Related to 31-103

NumberTitleTypeStatus
31-103F1 Calculation of Excess Working Capital Form Effective 28 Sep 2009
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service Form Effective 28 Sept 2009
31-103F3 Use of Mobility Exemption Form Effective 28 Sept 2009
31-103CP Companion Policy to NI 31-103 Companion Policy Effective 28 Sept 2009
CSA Notice of NI 31-103 Registration Requirements and Exemptions CSA Notice Published 17 Jul 2009
31-504 Dealer Registration Requirement – Scope of Application ASC Rule Effective 28 Sept 2009
31-505 Blanket Order 31-505 - Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions Blanket Order Effective 27 Mar 2010
31-506 Blanket Order 31-506 - Exemption from Certain Sections of National Instrument 31-103 Registration Requirements and Exemptions in Connection with Transition and Grandfathering Matters Blanket Order Effective 26 Feb 2010
31-507 Blanket Order 31-507 - Exemption from Sections 3.6, 3.10 and 3.14 of National Instrument 31-103 Registration Requirements and Exemptions for Chief Compliance Officers of Portfolio Managers Adding a Category Blanket Order Effective 26 Feb 2010
31-508 Blanket Order 31-508 - Exemption from Sections 3.5 and 3.9 of National Instrument 31-103 Registration Requirements and Exemptions for Portfolio Managers Adding a Category Blanket Order Effective 26 Feb 2010
31-509 Blanket Order 31-509 - Exemption from Section 3.3 of National Instrument 31-103 Registration Requirements and Exemptions for Representatives of Scholarship Plan Dealers Blanket Order Effective 26 Feb 2010
31-510 Blanket Order 31-510 - Exemption from Section 14.5 of National Instrument 31-103 Registration Requirements and Exemptions for Canadian Firms Blanket Order Effective 26 Feb 2010
31-511 Blanket Order 31-511 - Exemption from Section 13.2(2)(b) of National Instrument 31-103 Registration Requirements and Exemptions for Mutual Fund Dealers Blanket Order Effective 26 Feb 2010
31-512 Blanket Order 31-512 – Exemption from the Registration Requirement in National Instrument 31-103 Registration Requirements and Exemptions for Trades in Short-term Debt Instruments Blanket Order Effective 27 Mar 2010
31-513 Blanket Order 31-513 – Temporary Relief for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers Blanket Order Effective 20 Aug 2010
31-311 CSA Staff Notice 31-311 Proposed National Instrument 31-103 Registration Requirements And Exemptions -Transition into the New Registration Regime CSA Notice Published 12 Jun 2009
31-312 CSA Staff Notice 31-312 The Exempt Market Dealer Category Under NI 31-103 Registration Requirements and Exemptions CSA Notice Published 07 Aug 2009
31-313 CSA Staff Notice 31-313 - NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of December 18, 2009 CSA Notice Published 18 Dec 2009
31-314 CSA Staff Notice 31-314 - NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of February 05, 2010 CSA Notice Published 05 Feb 2010
ASC Notice - Blanket Order 31-505 - Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions ASC Notice Published 12 Feb 2010
31-315 CSA Notice 31-315 - Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions CSA Notice Published 26 Feb 2010
31-316 CSA Notice 31-316 – Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments CSA Notice Published 26 Mar 2010
31-317 Revised CSA Notice 31-317 – Reporting Obligations Related to Terrorist Financing CSA Notice Published 30 Jul 2010
Revised Suppression of Terrorism and UN Sanctions Reporting Form Form Published 30 Jul 2010
31-318 CSA Notice 31-318 – Omnibus / Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers CSA Notice Published 20 Aug 2010


Proposed Amendments Related to 31-103



Consequential Amendments Related to 31-103

No Documents exist.