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Registration Requirements and Exemptions [Rule 31-103]

3 - Registration, Compliance and Related Matters
Title
Notice of Amendments to NI 45-106 and NI 31-103 and Changes to 45-106CP and 31-103CP relating to Syndicated Mortgages
CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Prohibition on the Use of Chargebacks in the Distribution of Investment Fund Securities
Unofficial Consolidation of NI 31-103 and its CP as of December 4, 2017
Request for Comment. Proposed Amendments to NI 31-103 and to 31-103CP and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance. Total Cost Reporting for Investment Funds and Segregated Funds Comment period ends July 27, 2022
Rule 45-106 (Amendment) Prospectus Exemptions, and Consequential Amendments to Rule 31-103 and Amendments to NI 31-103 and Changes to Companion Policy 31-103CP
Request for Comments Proposed Amendments to NI 31-103 and Changes to 31-103CP. Comment Period ends Oct. 19/18.
CSA and CCIR Notice of Publication CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance and Amendments to NI 31-103 and to CP 31-103CP Total Cost Reporting for Investment Funds and Segregated Funds
CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients
Notice of Amendments - Custody-Related Amendments
CSA Notice of Amendments to NI 14-101 Definitions and Consequential Amendments
Amendment to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Registrant Obligations.
CSA Notice and Request for Comment Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service. Proposed Amendments to NI 31-103 and Companion Policy 31-103 CP Comment Period Ends Feb 28, 2024
Consequential Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the CP to NI 31-103
Reforms to enhance the client-registrant relationship (Client Focused Reforms) Notice of amendments to National Instrument 31-103 and companion policy 31-103CP
CSA Notice and Request for Comment Proposed Amendments to NI 31-103, NI 81-101, NI 81-102, and NI 81-105, and Proposed Changes to CP 31-103, CP 81-102, and CP 81-105, The Principal Distributor Model. Comment period ends Feb 27, 2025
Consequential Amendments relating to Prohibition of Deferred Sales Charges for Investment Funds
Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Registrant Obligations.
CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, NI 81-101 Mutual Fund Prospectus Disclosures, NI 81-102 Investment Funds, and NI 81-105 Mutual Fund Sales Practices...
Local Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Local Changes to CP 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Historical

Title
Companion Policy to NI 31-103 - Consolidated Version (Feb. 1/17)
Rule 31-103 (Amendment)
Consequential Amendments to Rule 31-103 resulting from Rule 45-106 (Amendment)
Notice of NI 31-103
Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Requirements
Request for Comment - Proposed Amendments to NI 31-103 and NI 45-106. Comment Period ends June 6/18.
Amendments to Companion Policy 31-103CP effective September 28, 2012
Request for Comment - Proposed Amendments to NI 31-103, NI 31-101CP, NI 33-109 & Related Forms - Comment period ended Oct. 5, 2016
Notice of Amendments - NI 31-103
Consequential Amendments to 31-103 resulting from Rule 81-102 (Amendment)
Request for Comment Proposed Custody Amendments to NI 31-103. Comment period ends December 24/18
Notice of Amendments - NI 31-103
Amendments to Certain National, Multilateral & Local Instruments & Changes to 31-103CP related to Derivative Regulation in AB, NB, NS & SK
Notice of Amendments - NI 31-103
NI 31-103 Unofficial Consolidation and CP as of May 1, 2014
Proposed Amendments to National Instrument 31-103 and changes to Companion Policy 31-103CP to Enhance Protection of Older and Vulnerable Clients. Comment period ends July 20, 2020.
Rule 31-103 (Amendment)
Rule 31-103 (Amendment) and Consequential Amendments to Rule 33-109
Rule 31-103 and Consequential Amendments
Notice of Amendments to NI 31-103, NI 33-109, NI 52-107 and Related Policies and Forms
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