Regulatory Instrument Details

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 - 12/04/2017
National Instrument
As Amended
12/04/2017
33-109F1
Form
As Amended
01/11/2015
33-109F2
Form
As Amended
12/04/2017
33-109F3
Form
As Amended
12/04/2017
33-109F4
Form
As Amended
12/04/2017
33-109F5
Form
As Amended
12/04/2017
33-109F6
Firm Registration - Consolidated Version
As Amended - Form - 06/12/2018
Form
As Amended
06/12/2018
33-309F7
Form
As Amended
12/04/2017
33-109CP
Companion Policy to NI 33-109 - Consolidated Version
As Changed - Companion Policy - 12/04/2017
Companion Policy
As Changed
12/04/2017

Proposed Amendments Related to 33-109

No documents found
No documents found
Number
Title
Regulatory Instrument Type
Status
Date
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
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
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
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
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
33-109
Amendments to NI 33-109
Effective - Amendments to Instrument - 07/11/2011
Amendments to Instrument
Effective
07/11/2011
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 - 01/01/2011
Amendments to Instrument
Effective
01/01/2011
33-109CP
Companion Policy to NI 33-109
Effective - Companion Policy - 09/28/2009
Companion Policy
Effective
09/28/2009
33-109F7
Form
Effective
09/28/2009
33-109
Registration Information
Effective - National Instrument - 09/28/2009
National Instrument
Effective
09/28/2009
33-109F1
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
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
CSA Notice
Published
07/17/2009
31-503
Blanket Order
Revoked
05/28/2008
33-109
Amendments to MI 33-109
Effective - Amendments to Instrument - 05/15/2007
Amendments to Instrument
Effective
05/15/2007
33-109CP
Changes to 33-109CP
Effective - Changes to Policy - 05/15/2007
Changes to Policy
Effective
05/15/2007
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
Blanket Order
Revoked
11/14/2003
31-501
Blanket Order
Revoked
07/03/2003
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
33-109F4
Registration Information for an Individual
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