Department of Community Services

Office of the Superintendent of Securities

31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]

National Instrument

National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Status: As amended June 12, 2018

History: In effect from September 28, 2009

Consolidated versions

NI 31-103 unofficial consolidation as of  December 4, 2017

31-103 CP unofficial consolidation as of December 4, 2017

Form 31-103F1 showing changes as of January 11, 2015

Form 31-103F2 showing changes as of January 11, 2015

Form 31-103F3 consolidated as of July 11, 2011

Form 31-103F4 Net Asset Value Adjustments, January 11, 2015

Documents related to NI 31-103

Amendment to NI 31-103 effective June 12, 2018

Amendment to NI 31-103 (DRO) effectve June 12, 2018

Amendment to NI 31-103 effective December 4, 2017

Amendment to 31-103 CP effective December 4, 2017

Amendment to NI 31-103 effective February 1, 2017

Amendment to 31-103 CP effective February 1, 2017

Amendment to NI 31-103 effective May 5, 2015

Amendment to 31-103 CP effective May 5, 2015

Amendment to NI 31-103 effective January 11, 2015

Amendment to 31-103 CP effective January 11, 2015

Amendment to NI 31-103 effective September 22, 2014

Amendment to 31-103 CP effective September 22, 2014

Amendment to NI 31-103 effective May 1, 2014

Amendment to 31-103 CP  effective May 1, 2014

Amendment to NI 31-103 (CRM2), effective July 15,2013

Amendment to 31-103 CP (CRM2), effective July 15, 2013

Amendment to NI 31-103 effective May 31, 2013

Amendment to 31-103 CP effective September 28, 2012

Amendment to NI 31-103 effective February 28, 2012

Amendment to 31-103 CP effective February 28, 2012

Amendment to NI 31-103, effective July 11, 2011

Companion Policy 31-103CP Office Consolidation effective July 11, 2011

Amendment to NI 31-103 (IFRS), effective January 1, 2011

Amendment to Companion Policy (IFRS) Effective January 1, 2011

Companion Policy 31-103CP, Sept. 28, 2009

Form 31-103F1 Calculation of Excess Working Capital, Sept. 28, 2009

Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service, Sept. 28, 2009

Form 31-103F3 Use of Mobility Exemption, Sept. 28, 2009

Form 31-103F4 Net Asset Value Adjustments, January 11, 2015

CSA Notices

CSA Notice of Amendments relating to Resale of Securities, March 29, 2018

CSA Notice of Amendments relating to Designated Rating Organizations, March 29, 2018

CSA Notice of amendments to NI 31-103, 31-103 CP, NI 33-109 and 33-109 CP, July 27, 2017

CSA staff Notice 31-338 Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not Members of a SRO