Regulatory Instrument Details
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
31-103
Number
Title
Regulatory Instrument Type
Date Type
Date
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations - Consolidated Version
As Amended - National Instrument - 03/01/2021
National Instrument
As Amended
03/01/2021
31-103F1
Calculation of Excess Working Capital - Consolidated Version
As Amended - Form - 06/12/2018
Form
As Amended
06/12/2018
31-103F2
Submission to Jurisdiction and Appointment of Agent for Service - Consolidated Version
As Amended - Form - 01/11/2015
Form
As Amended
01/11/2015
31-103F3
Use of Mobility Exemption - Consolidated Version
As Amended - Form - 07/11/2011
Form
As Amended
07/11/2011
31-103CP
Companion Policy to NI 31-103 - Consolidated Version
As Changed - Companion Policy - 03/01/2021
Companion Policy
As Changed
03/01/2021
Sections 11.9 and 11.10 Template for Notices
Published - Miscellaneous - 02/18/2021
Miscellaneous
Published
02/18/2021
Proposed Amendments Related to 31-103
Number
Title
Regulatory Instrument Type
Date Type
Date
31-103
Proposed Amendment to NI-31-103 (arising from NI 33-109)
Published - Proposed Amendments to Instrument - 02/04/2021
Proposed Amendments to Instrument
Published
02/04/2021
31-103CP
Proposed Changes to 31-103CP (arising from NI 33-109)
Published - Proposed Changes to Policy - 02/04/2021
Proposed Changes to Policy
Published
02/04/2021
CSA Notice and Request for Comments Proposed Amendments NI 31-103 to Enhance Protection of Older and Vulnerable Clients (includes comment letters received)
Published - CSA Notice - 03/05/2020
CSA Notice
Published
03/05/2020
Number
Title
Regulatory Instrument Type
Status
Date
45-328
Update on Amendments relating to Syndicated Mortgages: NI 31-103 and NI 45-106
Published - CSA Notice - 02/25/2021
CSA Notice
Published
02/25/2021
Request for Comment Proposed Amendments to NI 33-109 and Proposed Amendments to NI 31-103
Published - CSA Notice - 02/04/2021
CSA Notice
Published
02/04/2021
31-359
OBSI Joint Regulators Committee Annual Report for 2019
Published - CSA Notice - 08/27/2020
CSA Notice
Published
08/27/2020
11-342
Notice of Local Amendments and Changes in Certain Jurisdictions
Published - CSA Notice - 08/06/2020
CSA Notice
Published
08/06/2020
31-358
Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments
Published - CSA Notice - 07/03/2020
CSA Notice
Published
07/03/2020
31-535
Temporary Exemptions from Certain Financial Statements and Information Delivery Requirements for Registrants No. 2
Effective - Blanket Order - 05/28/2020
Blanket Order
Effective
05/28/2020
31-533
Temporary Exemption from Client Focused Reforms Conflict of Interest Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Published - Blanket Order - 04/16/2020
Blanket Order
Published
04/16/2020
31-357
Blanket Orders/Class Orders re Certain Client Focused Reforms Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Published - CSA Notice - 04/16/2020
CSA Notice
Published
04/16/2020
31-534
Temporary Exemption from Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Published - Blanket Order - 04/16/2020
Blanket Order
Published
04/16/2020
31-532
Temporary Exemptions from Certain Financial Statements and Info Delivery Requirements for Registrants
Effective - Blanket Order - 03/23/2020
Blanket Order
Effective
03/23/2020
45-326
Update on Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages
Published - CSA Notice - 12/11/2019
CSA Notice
Published
12/11/2019
31-356
Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision
Published - CSA Notice - 08/22/2019
CSA Notice
Published
08/22/2019
31-355
OBSI Joint Regulators Committee Annual Report for 2018
Published - CSA Notice - 08/15/2019
CSA Notice
Published
08/15/2019
31-354
Suggested Practices for Engaging with Older or Vulnerable Clients
Published - CSA Notice - 06/21/2019
CSA Notice
Published
06/21/2019
33-706
Policy and Procedures Manual - Reference Resource for Exempt Market Dealers
Published - ASC Notice - 06/12/2019
ASC Notice
Published
06/12/2019
Continuation of ASC Blanket Order 31-505 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
Published - ASC Notice - 03/11/2019
ASC Notice
Published
03/11/2019
11-338
CSA Market Disruption Coordination Plan
Published - CSA Notice - 10/18/2018
CSA Notice
Published
10/18/2018
Request for Comment Proposed Revocation of Blanket Order 31-505 (includes comment letters received)
Published - ASC Notice - 08/15/2018
ASC Notice
Published
08/15/2018
81-330
Status Report on Consultation on Embedded Commissions and Next Steps
Published - CSA Notice - 06/21/2018
CSA Notice
Published
06/21/2018
31-353
OBSI Joint Regulators Committee Annual Report for 2017
Published - CSA Notice - 03/29/2018
CSA Notice
Published
03/29/2018
31-352
Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations
Published - CSA Notice - 02/22/2018
CSA Notice
Published
02/22/2018
31-701
Account Opening Assistance
Published - ASC Notice - 12/19/2017
ASC Notice
Published
12/19/2017
31-351
IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with Requirements Regarding the Ombudsman for Banking Services and Investments
Published - CSA Notice - 12/07/2017
CSA Notice
Published
12/07/2017
33-321
Cyber Security and Social Media
Published - CSA Notice - 10/19/2017
CSA Notice
Published
10/19/2017
33-320
The Requirement for True and Complete Applications for Registration
Published - CSA Notice - 07/13/2017
CSA Notice
Published
07/13/2017
31-349
Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
Published - CSA Notice - 07/13/2017
CSA Notice
Published
07/13/2017
31-350
Guidance on Small Firms Compliance and Regulatory Obligations
Published - CSA Notice - 05/18/2017
CSA Notice
Published
05/18/2017
31-348
OBSI Joint Regulators Committee Annual Report for 2016
Published - CSA Notice - 03/23/2017
CSA Notice
Published
03/23/2017
33-318
Review of Practices Firms Use to Compensate and Provide Incentives to their Representative
Published - CSA Notice - 12/15/2016
CSA Notice
Published
12/15/2016
31-347
Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
Published - CSA Notice - 11/17/2016
CSA Notice
Published
11/17/2016
31-346
Regulatory Concerns Over a Perceived Reduction in Liquidity in Canadian Fixed Income Markets – Guidance as to the Scope of the International Dealer Exemption in NI 31-103
Published - CSA Notice - 09/01/2016
CSA Notice
Published
09/01/2016
33-404
Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward their Clients (includes links to comment letters)
Published - Consultation Paper - 04/28/2016
Consultation Paper
Published
04/28/2016
31-345
Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance
Published - CSA Notice - 04/14/2016
CSA Notice
Published
04/14/2016
31-343
Conflicts of Interest in Distributing Securities of Related or Connected Issuers
Published - CSA Notice - 11/19/2015
CSA Notice
Published
11/19/2015
31-342
Guidance for Portfolio Managers Regarding Online Advice
Published - CSA Notice - 09/24/2015
CSA Notice
Published
09/24/2015
11-329
Withdrawal of Notices and Revocation of Omnibus/Blanket Orders
Published - CSA Notice - 07/16/2015
CSA Notice
Published
07/16/2015
31-531
Exemptions from Certain CRM2 Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Effective - Blanket Order - 07/15/2015
Blanket Order
Effective
07/15/2015
45-304
Notice of Local Exemptions Related to NI 45-106 and NI 31-103
Published - CSA Notice - 05/21/2015
CSA Notice
Published
05/21/2015
32-301
Omnibus/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
Published - CSA Notice - 03/26/2015
CSA Notice
Published
03/26/2015
31-530
Trades and Advice for US-Resident Clients: Dealer and Adviser Registration Exemptions
Effective - Blanket Order - 03/26/2015
Blanket Order
Effective
03/26/2015
31-340
OBSI Joint Regulators Committee Annual Report for 2014
Published - CSA Notice - 03/19/2015
CSA Notice
Published
03/19/2015
31-338
Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization
Published - CSA Notice - 05/01/2014
CSA Notice
Published
05/01/2014
31-336
Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
Published - CSA Notice - 01/09/2014
CSA Notice
Published
01/09/2014
31-334
CSA Review of Relationship Disclosure Practices
Published - CSA Notice - 07/18/2013
CSA Notice
Published
07/18/2013
31-332
Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
Published - CSA Notice - 01/17/2013
CSA Notice
Published
01/17/2013
31-202
Registration Requirement for Investment Fund Managers
Effective - Multilateral Policy - 09/28/2012
Multilateral Policy
Effective
09/28/2012
33-704
Review of Exempt Market Dealers
Published - ASC Notice - 01/12/2012
ASC Notice
Published
01/12/2012
31-325
Marketing Practices of Portfolio Managers
Published - CSA Notice - 07/05/2011
CSA Notice
Published
07/05/2011
31-323
Guidance Relating to the Registration Obligations of Mortgage Investment Entities
Published - CSA Notice - 02/25/2011
CSA Notice
Published
02/25/2011
31-505
Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
Effective - Blanket Order - 03/27/2010
Blanket Order
Effective
03/27/2010
Blanket Order 31-505 - Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
Published - ASC Notice - 02/12/2010
ASC Notice
Published
02/12/2010
33-315
Suitability Obligation and Know Your Product
Published - CSA Notice - 09/02/2009
CSA Notice
Published
09/02/2009
Number
Title
Regulatory Instrument Type
Status
Date
31-103CP
Changes to 31-103CP (arising from NI 45-106)
Effective - Changes to Policy - 03/01/2021
Changes to Policy
Effective
03/01/2021
31-103
Amendments to NI 31-103 (arising from NI 45-106)
Effective - Amendments to Instrument - 03/01/2021
Amendments to Instrument
Effective
03/01/2021
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 12/31/2019
Amendments to Instrument
Effective
12/31/2019
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 12/31/2019
Changes to Policy
Effective
12/31/2019
Amendments to NI 31-103 and Changes to 31-103CP
Published - CSA Notice - 10/03/2019
CSA Notice
Published
10/03/2019
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 06/12/2019
Amendments to Instrument
Effective
06/12/2019
31-339
Withdrawn - Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Withdrawn - CSA Notice - 03/07/2019
CSA Notice
Withdrawn
03/07/2019
Proposed Amendments to NI 31-103
Published - CSA Notice - 10/25/2018
CSA Notice
Published
10/25/2018
Request for Comment Proposed Amendments to NI 31-103 re Client Focused Reforms (includes links to comment letters received)
Published - CSA Notice - 06/21/2018
CSA Notice
Published
06/21/2018
31-103
Amendments to NI 31-103 (arising from NI 44-101)
Effective - Amendments to Instrument - 06/12/2018
Amendments to Instrument
Effective
06/12/2018
31-103
Amendments to NI 31-103 (arising from NI 45-102)
Effective - Amendments to Instrument - 06/12/2018
Amendments to Instrument
Effective
06/12/2018
31-529
Expired - Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for MFDA Members
Expired - Blanket Order - 12/04/2017
Blanket Order
Expired
12/04/2017
31-528
Expired - Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for IIROC Members
Expired - Blanket Order - 12/04/2017
Blanket Order
Expired
12/04/2017
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 12/04/2017
Changes to Policy
Effective
12/04/2017
31-103
Amendments to NI 31-103 (Alberta only)
Effective - Amendments to Instrument - 12/04/2017
Amendments to Instrument
Effective
12/04/2017
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 12/04/2017
Amendments to Instrument
Effective
12/04/2017
Amendments to NI 31-103 and NI 33-109 and related Policies and Forms
Published - CSA Notice - 07/27/2017
CSA Notice
Published
07/27/2017
31-103
Amendments to NI 31-103 (arising from NI 14-101)
Effective - Amendments to Instrument - 02/01/2017
Amendments to Instrument
Effective
02/01/2017
31-103CP
Changes to 31-103CP (arising from NI 14-101)
Effective - Changes to Policy - 02/01/2017
Changes to Policy
Effective
02/01/2017
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 12/01/2016
Amendments to Instrument
Effective
12/01/2016
Request for Comment Proposed Amendments to NI 31-103, 31-103CP, NI 33-109 and Related Forms
Published - CSA Notice - 07/07/2016
CSA Notice
Published
07/07/2016
31-324
Exempt Market Dealers and Account Statement Requirements in NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 04/14/2016
CSA Notice
Withdrawn
04/14/2016
31-337
Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance
Withdrawn - CSA Notice - 04/14/2016
CSA Notice
Withdrawn
04/14/2016
31-520
Revoked - Exemption from the Registration Requirement in NI 31-103 for International Dealers
Revoked - Blanket Order - 07/16/2015
Blanket Order
Revoked
07/16/2015
31-521
Revoked - Exemption from the Registration Requirement in NI 31-103 for International Advisers
Revoked - Blanket Order - 07/16/2015
Blanket Order
Revoked
07/16/2015
31-327
Withdrawn - Broker-Dealer Registration in the Exempt Market Dealer Category
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-328
Withdrawn - Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-313
Withdrawn - NI 31-103 Registration Requirements and Exemptions and Related Instruments - FAQs as of Dec 18, 2009
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-314
Withdrawn - NI 31-103 Registration Requirements and Exemptions and Related Instruments - FAQs as of February 05, 2010
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-315
Withdrawn - Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-524
Revoked - Extension of Transitional Relief from Investment Fund Manager Registration Requirement Prescribed by Sections 16.5 and 16.6 of NI 31-103
Revoked - Blanket Order - 07/16/2015
Blanket Order
Revoked
07/16/2015
31-326
Withdrawn - Outside Business Activities
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-333
Withdrawn - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-329
Withdrawn - Omnibus / Blanket Orders Exempting Registrants from Certain Provisions in NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Staff Positions
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-331
Withdrawn - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-330
Withdrawn - Omnibus / Blanket Orders Extending Certain Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-335
Withdrawn - 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 Clients
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-103CP
Changes to 31-103CP (arising from amendments to NI 45-106 relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)
Effective - Changes to Policy - 05/05/2015
Changes to Policy
Effective
05/05/2015
31-103
Amendments to NI 31-103 (arising from amendments to NI 45-106 relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)
Effective - Amendments to Instrument - 05/05/2015
Amendments to Instrument
Effective
05/05/2015
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 01/11/2015
Amendments to Instrument
Effective
01/11/2015
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 01/11/2015
Changes to Policy
Effective
01/11/2015
31-526
Expired - Exemption from the Registration Requirement for Trades in Short-term Debt Instruments
Expired - Blanket Order - 12/31/2014
Blanket Order
Expired
12/31/2014
31-103
Amendments to NI 31-103 (arising from Derivatives related amendments to the Securities Act)
Effective - Amendments to Instrument - 10/31/2014
Amendments to Instrument
Effective
10/31/2014
Amendments to NI 31-103, NI 33-109, NI 52-107 and Related Policies and Forms
Published - CSA Notice - 10/16/2014
CSA Notice
Published
10/16/2014
31-103
Amendments to NI 31-103 (arising from NI 81-102)
Effective - Amendments to Instrument - 09/22/2014
Amendments to Instrument
Effective
09/22/2014
31-103CP
Changes to 31-103CP (arising from NI 81-102)
Effective - Changes to Policy - 09/22/2014
Changes to Policy
Effective
09/22/2014
31-103
Changes to 31-103CP
Effective - Changes to Policy - 05/01/2014
Changes to Policy
Effective
05/01/2014
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 05/01/2014
Amendments to Instrument
Effective
05/01/2014
31-527
Expired -Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for IIROC Member Firms
Expired - Blanket Order - 03/26/2014
Blanket Order
Expired
03/26/2014
31-522
Expired - Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for IIROC Member Firms
Expired - Blanket Order - 12/31/2013
Blanket Order
Expired
12/31/2013
31-523
Expired - Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for MFDA Member Firms
Expired - Blanket Order - 12/31/2013
Blanket Order
Expired
12/31/2013
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP
Published - CSA Notice - 12/19/2013
CSA Notice
Published
12/19/2013
31-103
Proposed Amendments to NI 31-103, NI 33-109 and NI 52-107 and Related Policies and Forms
Published - CSA Notice - 12/05/2013
CSA Notice
Published
12/05/2013
31-322
Withdrawn - Extension of Omnibus / Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-316
Withdrawn - Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-318
Withdrawn - Omnibus / Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-319
Withdrawn - Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
33-314
Withdrawn - International Financial Reporting Standards and Registrants
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-312
Withdrawn - The Exempt Market Dealer Category Under NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
33-313
Withdrawn - International Financial Reporting Standards and Registrants
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 07/15/2013
Amendments to Instrument
Effective
07/15/2013
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 07/15/2013
Changes to Policy
Effective
07/15/2013
31-519
Revoked - Exemption from Certain Sections of NI 31-103 for Trades in Short-term Debt Instruments
Revoked - Blanket Order - 05/31/2013
Blanket Order
Revoked
05/31/2013
31-103
Amendments to NI 31-103 (arising from NI 25-101)
Effective - Amendments to Instrument - 05/31/2013
Amendments to Instrument
Effective
05/31/2013
CSA Notice of Amendments to National Instrument 31-103 Re Cost Disclosure, Performance Reporting and Client Statements
Published - CSA Notice - 03/28/2013
CSA Notice
Published
03/28/2013
CSA Notice of Proposed Amendments to NI 31-103 Re Dispute Resolution Service
Published - CSA Notice - 11/15/2012
CSA Notice
Published
11/15/2012
31-525
Expired - Extension of Transitional Relief from the Requirement to Provide Dispute Resolution Services Prescribed by Section 13.16 of NI 31-103
Expired - Blanket Order - 09/28/2012
Blanket Order
Expired
09/28/2012
31-103CP
Changes to 31-103CP (arising from MP 31-202)
Effective - Changes to Policy - 09/28/2012
Changes to Policy
Effective
09/28/2012
31-321
Withdrawn - Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 06/21/2012
CSA Notice
Withdrawn
06/21/2012
CSA Notice of Proposed Amendments to NI 31-103 Re Cost Disclosure, Performance Reporting and Client Statements
Published - CSA Notice - 06/14/2012
CSA Notice
Published
06/14/2012
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 02/28/2012
Amendments to Instrument
Effective
02/28/2012
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 02/28/2012
Changes to Policy
Effective
02/28/2012
Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Published - CSA Notice - 11/25/2011
CSA Notice
Published
11/25/2011
31-514
Expired - 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
Expired - Blanket Order - 09/28/2011
Blanket Order
Expired
09/28/2011
31-515
Expired - 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
Expired - Blanket Order - 09/28/2011
Blanket Order
Expired
09/28/2011
31-512
Expired - Exemption from the Registration Requirement in NI 31-103 Registration Requirements and Exemptions for Trades in Short-term Debt Instruments
Expired - Blanket Order - 09/28/2011
Blanket Order
Expired
09/28/2011
35-501
Revoked - Trades by certain dealers in securities listed on TSX Venture (previously Canadian Venture Exchange Inc.)
Revoked - Blanket Order - 09/22/2011
Blanket Order
Revoked
09/22/2011
31-508
Revoked - Exemption from Sections 3.5 and 3.9 of NI 31-103 Registration Requirements and Exemptions for Portfolio Managers Adding a Category
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-510
Revoked - Exemption from Section 14.5 of NI 31-103 Registration Requirements and Exemptions for Canadian Firms
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-506
Revoked - Exemption from Certain Sections of National Instrument 31-103 Registration Requirements and Exemptions in Connection with Transition and Grandfathering Matters
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-507
Revoked - Exemption from Sections 3.6, 3.10 and 3.14 of NI 31-103 Registration Requirements and Exemptions for Chief Compliance Officers of Portfolio Managers Adding a Category
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-509
Revoked - Exemption from Section 3.3 of NI 31-103 Registration Requirements and Exemptions for Representatives of Scholarship Plan Dealers
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-103F1
Calculation of Excess Working Capital
Effective - Form - 07/11/2011
Form
Effective
07/11/2011
31-517
Revoked - Exemption from the Requirement that Mutual Fund Dealers Identify Individuals with 10% Interests in Corporate Clients (Section 13.2(3)(b)(i) of NI 31-103)
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-516
Revoked - Exemption from Requirement to Establish Whether a Client is an Insider (Section 13.2(2)(b) of NI 31-103)
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
2011 ABASC 221
Revocation of Certain Registration-Related Blanket Orders
Effective - Revocation Order - 07/11/2011
Revocation Order
Effective
07/11/2011
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 07/11/2011
Amendments to Instrument
Effective
07/11/2011
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 07/11/2011
Changes to Policy
Effective
07/11/2011
Notice of and Request for Comment on Proposed Amendments to NI 31-103 Related to Cost Disclosure and Performance Reporting
Published - CSA Notice - 06/22/2011
CSA Notice
Published
06/22/2011
Notice of and Request for Comment on Proposed Amendments to NI 31-103 Related to Exemptions from Certain Requirements for SRO Members
Published - CSA Notice - 05/13/2011
CSA Notice
Published
05/13/2011
Notice of Amendments to NI 31-103 Registration Requirements and Exemptions and NI 33-109 Registration Information
Published - CSA Notice - 04/15/2011
CSA Notice
Published
04/15/2011
31-518
Expired - Temporary Relief for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
Expired - Blanket Order - 03/31/2011
Blanket Order
Expired
03/31/2011
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 01/01/2011
Amendments to Instrument
Effective
01/01/2011
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 01/01/2011
Changes to Policy
Effective
01/01/2011
31-513
Expired - Temporary Relief for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
Expired - Blanket Order - 12/31/2010
Blanket Order
Expired
12/31/2010
31-511
Revoked - Exemption from Section 13.2(2)(b) of NI 31-103 Registration Requirements and Exemptions for Mutual Fund Dealers
Revoked - Blanket Order - 11/05/2010
Blanket Order
Revoked
11/05/2010
Notice of and Request for Comment on Proposed Amendments to NI 31-103 Registration Requirements and Exemptions – Registration of International and Certain Domestic Investment Fund Managers
Published - CSA Notice - 10/15/2010
CSA Notice
Published
10/15/2010
Notice of Amendments to NI 31-103 Registration Requirements and Exemptions and 31-103CP Registration Requirements and Exemptions AND Amendments to NI 33-109 Registration Information
Published - CSA Notice - 10/01/2010
CSA Notice
Published
10/01/2010
Notice of and Request for Comment on Proposed Amendments to NI 31-103 Registration Requirements and Exemptions, NI 33-109 Registration Information and to Related Policies and Forms
Published - CSA Notice - 06/25/2010
CSA Notice
Published
06/25/2010
Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and 31-103CP and NI 33-109 Registration Information
Published - CSA Notice - 10/23/2009
CSA Notice
Published
10/23/2009
31-103
Registration Requirements and Exemptions
Effective - National Instrument - 09/28/2009
National Instrument
Effective
09/28/2009
31-103F2
Submission to Jurisdiction and Appointment of Agent for Service
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
31-103F1
Calculation of Excess Working Capital
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
32-501
Revoked - Transitional exemption for certain firms registered by the Alberta Securities Commission as securities dealers
Revoked - Blanket Order - 09/28/2009
Blanket Order
Revoked
09/28/2009
31-103CP
Companion Policy to NI 31-103
Effective - Companion Policy - 09/28/2009
Companion Policy
Effective
09/28/2009
CSA Notice of NI 31-103 Registration Requirements and Exemptions
Published - CSA Notice - 07/17/2009
CSA Notice
Published
07/17/2009
Notice and Request for Comment - Proposed NI 31-103 Registration Requirements, Proposed Companion Policy 31-103CP and Proposed Consequential Amendments
Published - CSA Notice - 02/29/2008
CSA Notice
Published
02/29/2008
CSA Notice and Request for Comment on Proposed NI 31-103 Registration Requirements, 31-103CP and Amendments to NI 33-109 Registration Information
Published - CSA Notice - 02/20/2007
CSA Notice
Published
02/20/2007
News Releases Related to 31-103
Title
Date
Aug 27, 2020
Apr 16, 2020
Mar 15, 2019
Mar 28, 2013
Jun 14, 2012
Mar 28, 2007