Instruments & Policies 

  31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations - Consolidated Version  (PDF 1320778 KB)
Type: National Instrument History »
Status: As Amended 28 Feb 2012


Documents Related to 31-103

NumberTitleTypeStatus
31-103 Amendments to NI 31-103 Amendments to Instrument Effective 31 May 2013
31-103F1 Calculation of Excess Working Capital Form Effective 11 Jul 2011
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service Form Effective 11 Jul 2011
31-103F3 Use of Mobility Exemption Form As Amended 11 Jul 2011
31-103CP Companion Policy 31-103CP - Consolidated Version Companion Policy As Amended 28 Sep 2012
Revised Suppression of Terrorism and UN Sanctions Reporting Form Form Published 30 Jul 2010
31-505 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions Blanket Order Effective 27 Mar 2010
31-519 Exemption from Certain Sections of NI 31-103 for Trades in Short-term Debt Instruments Blanket Order Effective 29 Sep 2011
31-520 Exemption from the Registration Requirement in NI 31-103 for International Dealers Blanket Order Effective 23 Sep 2011
31-521 Exemption from the Registration Requirement in NI 31-103 for International Advisers Blanket Order Effective 23 Sep 2011
31-522 Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for IIROC Member Firms Blanket Order Effective 28 Sep 2011
31-523 Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for MFDA Member Firms Blanket Order Effective 28 Sep 2011
31-524 Extension of Transitional Relief from Investment Fund Manager Registration Requirement Prescribed by Sections 16.5 and 16.6 of NI 31-103 Blanket Order Effective 28 Sep 2012
31-525 Extension of Transitional Relief from the Requirement to Provide Dispute Resolution Services Prescribed by Section 13.16 of NI 31-103 Blanket Order Effective 28 Sep 2012
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 NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of February 05, 2010 CSA Notice Published 05 Feb 2010
Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions ASC Notice Published 12 Feb 2010
31-317 Reporting Obligations Related to Terrorist Financing CSA Notice Published 30 Jul 2010
31-323 Guidance Relating to the Registration Obligations of Mortgage Investment Entities CSA Notice Published 25 Feb 2011
31-324 Exempt Market Dealers and Account Statement Requirements in National Instrument 31-103 Registration Requirements and Exemptions CSA Notice Published 22 Jun 2011
31-325 Marketing Practices of Portfolio Managers CSA Notice Published 05 Jul 2011
31-326 Outside Business Activities CSA Notice Published 15 Jul 2011
31-327 Broker-Dealer Registration in the Exempt Market Dealer Category CSA Notice Published 2 Sep 2011
31-329 Omnibus / Blanket Orders Exempting Registrants from Certain Provisions in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Staff Positions CSA Notice Published 28 Sep 2011
31-330 Omnibus / Blanket Orders Extending Certain Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services CSA Notice Published 05 Jul 2012
31-331 Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category CSA Notice Published 12 Jul 2012
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers CSA Notice Published 17 Jan 2013
31-333 Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category CSA Notice Published 07 Feb 2013
33-704 Review of Exempt Market Dealers ASC Notice Published 12 Jan 2012
31-202 Registration Requirement for Investment Fund Managers Multilateral Policy Published 28 Sep 2012


Proposed Amendments Related to 31-103

NumberTitleTypeStatus
31-103 Proposed Amendments to Specified Instruments (arising from proposed amendments to NI 81-102) Proposed Amendments to Instrument Published 27 Mar 2013
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (arising from the implementation of NI 25-101) Proposed Amendments to Instrument Published 26 Jul 2012
31-103CP Proposed Changes to 31-103CP (arising from proposed amendments to NI 81-102) Proposed Changes to Policy Published 27 Mar 2013
31-103 CSA Notice of Proposed Amendments to National Instrument 31-103 Re Dispute Resolution Service CSA Notice Published 15 Nov 2012
31-103 CSA Notice of Amendments to National Instrument 31-103 Re Cost Disclosure, Performance Reporting and Client Statements CSA Notice Published 28 Mar 2013


Consequential Amendments Related to 31-103

No Documents exist.