Regulatory Instrument Details

Securities Law & Policy

33-109 Registration Information [NI]

33-109
Number
Title
Regulatory Instrument Type
Date Type
Date
33-109
Registration Information - Consolidated Version
As Amended - National Instrument - 06/06/2022
National Instrument
As Amended
06/06/2022
33-109F1
Notice Of End Of Individual Registration Or Permitted Individual Status - Consolidated Version
As Amended - Form - 06/06/2022
Form
As Amended
06/06/2022
33-109F2
Change or Surrender of Individual Categories - Consolidated Version
As Amended - Form - 06/06/2022
Form
As Amended
06/06/2022
33-109F3
Business Locations other than Head Office - Consolidated Version
As Amended - Form - 06/06/2022
Form
As Amended
06/06/2022
33-109F4
Registration of Individuals and Review of Permitted Individuals - Consolidated Version
As Amended - Form - 06/06/2022
Form
As Amended
06/06/2022
33-109F5
Change of Registration Information - Consolidated Version
As Amended - Form - 06/06/2022
Form
As Amended
06/06/2022
33-109F6
Firm Registration - Consolidated Version
As Amended - Form - 09/13/2023
Form
As Amended
09/13/2023
33-309F7
Reinstatement of Registered Individuals and Permitted Individuals - Consolidated Version
As Amended - Form - 06/06/2022
Form
As Amended
06/06/2022
33-109CP
Companion Policy to NI 33-109 - Consolidated Version
As Changed - Companion Policy - 06/06/2022
Companion Policy
As Changed
06/06/2022

Proposed Amendments Related to 33-109

No documents found
Related (2) Historic (50)
Number
Title
Regulatory Instrument Type
Status
Date
11-348
Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets
Published - CSA Notice - 12/05/2024
CSA Notice
Published
12/05/2024
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations - Consolidated Version
As Amended - National Instrument - 09/13/2023
National Instrument
As Amended
09/13/2023
Number
Title
Regulatory Instrument Type
Status
Date
33-109
Amendments to NI 33-109 (arising from NI 14-101)
Effective - Amendments to Instrument - 09/13/2023
Amendments to Instrument
Effective
09/13/2023
33-109CP
Changes to 33-109CP
Effective - Changes to Policy - 06/06/2022
Changes to Policy
Effective
06/06/2022
33-109
Amendments to NI 33-109
Effective - Amendments to Instrument - 06/06/2022
Amendments to Instrument
Effective
06/06/2022
Amendments to NI 33-109, NI 31-103 and Changes to their respective Companion Policies
Published - CSA Notice - 12/16/2021
CSA Notice
Published
12/16/2021
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
33-109
Amendments to NI 33-109 (arising from NI 44-101)
Effective - Amendments to Instrument - 06/12/2018
Amendments to Instrument
Effective
06/12/2018
33-109
Amendments to NI 33-109
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
33-109CP
Changes to 33-109CP
Effective - Changes to Policy - 04/12/2017
Changes to Policy
Effective
04/12/2017
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
33-109
Amendments to 33-109
Effective - Amendments to Instrument - 01/11/2015
Amendments to Instrument
Effective
01/11/2015
33-109CP
Changes to 33-109CP
Effective - Changes to Policy - 01/11/2015
Changes to Policy
Effective
01/11/2015
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
33-109
Amendments to NI 33-109 (arising from NI 81-102)
Effective - Amendments to Instrument - 09/22/2014
Amendments to Instrument
Effective
09/22/2014
33-109
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
33-109
Amendments to NI 33-109 (arising from NI 25-101)
Effective - Amendments to Instrument - 05/31/2013
Amendments to Instrument
Effective
05/31/2013
33-109CP
Changes 33-109CP
Effective - Changes to Policy - 07/11/2011
Changes to Policy
Effective
07/11/2011
33-109
Amendments to NI 33-109
Effective - Amendments to Instrument - 07/11/2011
Amendments to Instrument
Effective
07/11/2011
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
33-109
Amendments to NI 33-109
Effective - Amendments to Instrument - 01/01/2011
Amendments to Instrument
Effective
01/01/2011
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 31-103 CP and NI 33-109 Registration Information
Published - CSA Notice - 10/23/2009
CSA Notice
Published
10/23/2009
33-109F1
Notice of Termination of Registered Individuals and Permitted Individuals
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
33-109F2
Change or Surrender of Individual Categories
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
33-109F3
Business Locations other than Head Office
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
33-109F4
Registration Of Individuals and Review of Permitted Individuals
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
33-109F5
Change of Registration Information
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
33-109F6
Firm Registration
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
33-109CP
Companion Policy to NI 33-109
Effective - Companion Policy - 09/28/2009
Companion Policy
Effective
09/28/2009
33-109F7
Reinstatement of Registered Individuals and Permitted Individuals
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
33-109
Registration Information
Effective - National Instrument - 09/28/2009
National Instrument
Effective
09/28/2009
Notice of NI 33-109 Registration Information and amendments to NI 31-102 National Registration Database
Published - CSA Notice - 07/17/2009
CSA Notice
Published
07/17/2009
31-503
Revoked - Relating to Certain Exemptions Under MI 31-102 and MI 33-109
Revoked - Blanket Order - 05/28/2008
Blanket Order
Revoked
05/28/2008
Notice and Request for Comment NI 33-109 Registration Information, CP 33-109, NI 31-102 National Registration Database and CP 31-102
Published - CSA Notice - 02/29/2008
CSA Notice
Published
02/29/2008
33-109CP
Changes to 33-109CP
Effective - Changes to Policy - 05/15/2007
Changes to Policy
Effective
05/15/2007
33-109
Amendments to MI 33-109
Effective - Amendments to Instrument - 05/15/2007
Amendments to Instrument
Effective
05/15/2007
Notice of Amendments to MI 33-109 Registration Information and MI 31-102 National Registration Database
Published - CSA Notice - 02/23/2007
CSA Notice
Published
02/23/2007
Notice and Request for Comment of Proposed Amendments
Published - CSA Notice - 06/19/2006
CSA Notice
Published
06/19/2006
33-306
Withdrawn - Date of NRD Freeze Period
Withdrawn - CSA Notice - 03/03/2006
CSA Notice
Withdrawn
03/03/2006
31-502
Revoked - Relating to Certain Exemptions under MI 31-102 and MI 33-109
Revoked - Blanket Order - 11/14/2003
Blanket Order
Revoked
11/14/2003
31-501
Revoked - Relating to Certain Exemptions under MI 31-102 and MI 33-109
Revoked - Blanket Order - 07/03/2003
Blanket Order
Revoked
07/03/2003
33-109F4
Registration Information for an Individual
Effective - Form - 02/21/2003
Form
Effective
02/21/2003
33-109F1
Notice of Termination
Effective - Form - 02/21/2003
Form
Effective
02/21/2003
33-109F2
Change of Individual Categories
Effective - Form - 02/21/2003
Form
Effective
02/21/2003
33-109F3
Business Locations other than Head Office
Effective - Form - 02/21/2003
Form
Effective
02/21/2003
33-109
MI 33-109 Registration Information
Effective - Multilateral Instrument - 02/21/2003
Multilateral Instrument
Effective
02/21/2003
33-109CP
Companion Policy to MI 33-109
Effective - Companion Policy - 02/21/2003
Companion Policy
Effective
02/21/2003
33-109F5
Change of Registration Information
Effective - Form - 02/21/2003
Form
Effective
02/21/2003
Notice of MI 33-109 and Appendix
Published - ASC Notice - 11/15/2002
ASC Notice
Published
11/15/2002
Notice of Proposed MI 33-109
Published - ASC Notice - 06/14/2002
ASC Notice
Published
06/14/2002

News Releases Related to 33-109

Title
Date
Canadian securities regulators modernize registration information requirements, clarify outside activity reporting and update filing deadlines
Dec 16, 2021
Canadian securities regulators propose to modernize registration information requirements, clarify outside activity reporting and update filing deadlines
Feb 04, 2021
Canadian Securities Regulators Publish Final Amendments to Custody and Other Requirements for Dealers, Advisers and Investment Fund Managers
Jul 27, 2017
Canadian securities regulators propose changes to custody and other requirements for dealers, advisers and investment fund managers
Jul 07, 2016
Canadian Securities Regulators Publish Responses to Frequently Asked Questions About the New National Registration Regime
Dec 18, 2009