Registration Requirements and Related Matters [31-101 - 35-101]

Securities Law & Policy
Items with a dark grey background, are archived.
Instrument Number
Title
31-102
National Registration Database [NI]
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
31-202
Registration Requirement for Investment Fund Managers [Multilateral Policy]
31-323
Guidance Relating to the Registration Obligations of Mortgage Investment Entities [CSA Notice]
31-325
Marketing Practices of Portfolio Managers [CSA Notice]
31-332
Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers [CSA Notice]
31-334
CSA Review of Relationship Disclosure Practices [CSA Notice]
31-336
Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations [CSA Notice]
31-338
Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization [CSA Notice]
31-342
Guidance for Portfolio Managers Regarding Online Advice [CSA Notice]
31-343
Conflicts of Interest in Distributing Securities of Related or Connected Issuers [CSA Notice]
31-345
Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance [CSA Notice]
31-346
Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers [CSA Notice]
31-347
Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members [CSA Notice]
31-349
Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions [CSA Notice]
31-350
Guidance on Small Firms Compliance and Regulatory Obligations [CSA Notice]
31-351
IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with Requirements Regarding the Ombudsman for Banking Services and Investments [CSA Notice]
31-352
Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations [CSA Notice]
31-354
Suggested Practices for Engaging with Older or Vulnerable Clients [CSA Notice]
31-356
Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision [CSA Notice]
31-357
Blanket Orders/Class Orders re Certain Client Focused Reforms Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [CSA Notice]
31-358
Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments [CSA Notice]
31-360
Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in Respect of Client Focused Reforms [CSA Notice]
31-363
Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance [CSA Notice]
31-364
OBSI Joint Regulators Committee Annual Report for 2022 [CSA Notice]
31-530
Trades and Advice for US-Resident Clients: Dealer and Adviser Registration Exemptions [Blanket Order]
31-532
Temporary Exemptions from Certain Financial Statements and Information Delivery Requirements for Registrants [Blanket Order]
31-533
Temporary Exemption from Client Focused Reforms Conflict of Interest Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [Blanket Order]
31-534
Temporary Exemption from Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [Blanket Order]
31-535
Temporary Exemptions from Certain Financial Statements and Information Delivery Requirements for Registrants No. 2 [Blanket Order]
31-536
Alberta Small Business Finder's Exemption [ASC Blanket Order]
31-537
Transitional Relief under National Instrument 31-103 (EXPIRED) [Blanket Order]
31-701
Account Opening Assistance [ASC Notice]
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 [CSA Notice]
33-105
Underwriting Conflicts [NI]
33-109
Registration Information [NI]
33-315
Suitability Obligation and Know Your Product [CSA Notice]
33-316
Status Report on Consultation under CSA Consultation Paper 33-403 The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients [CSA Notice]
33-317
Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients [CSA Notice]
33-318
Review of Practices Firms Use to Compensate and Provide Incentives to their Representative [CSA Notice]
33-320
The Requirement for True and Complete Applications for Registration [CSA Notice]
33-321
Cyber Security and Social Media [CSA Notice]
33-403
The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients [Consultation Paper]
33-404
Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward their Clients [Consultation Paper]
33-704
Review of Exempt Market Dealers [ASC Notice]
33-705
Exempt Market Dealer Sweep [ASC Notice]
33-706
Policy and Procedures Manual - Reference Resource for Exempt Market Dealers (REVISED) [ASC Notice]
35-101
Conditional Exemption from Registration for United States Broker-Dealers and Agents [NI]