Department of Community Services

Office of the Superintendent of Securities

33-109 Registration Information [NI]

National Instrument 33-109 Registration Information

Status: As amended December 4, 2017

History: In effect from March 17, 2008

Consolidated Versions

NI 33-109 unofficial consolidation as of May 31, 2013

Form 33-109F1 as of January 11, 2015

Form 33-109F2 as of January 11, 2015

Form 33-109F3 as of January 11, 2015

Form 33-109F4 as of January 11, 2015

Form 33-109F5 as of January 11, 2015

Form 33-109F6 as of January 11, 2015

Form 33-109F7 as of January 11, 2015

Documents related to NI 33-109

Amendment to NI 33-109 effective December 4, 2017

Amendment to 33-109 CP effective December 4, 2017

Amendment to NI 33-109 effective January 11, 2015

Amendment to 33-109 CP effective Janaury 11, 2015

Amendment to NI 33-109 effective September 22, 2014

Amendment to NI 33-109 effective May 31, 2013

Amendment to NI 33-109 (IFRS), effective January 1, 2011

Amendment to NI 33-109, effective July 11, 2011

Companion Policy 33-109CP, office consolidation as of July 11, 2011

Companion Policy 33-109CP, September 2009

Form 33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals

Form 33-109F2 - Change or Surrender of Individual Categories

Form 33-109F3 - Business Locations Other Than Head Office

Form 33-109F4 - Registration of Individuals and Review of Permitted Individuals

Form 33-109F5 - Change of Registration Information

Form 33-109F6 - Firm Registration

Form 33-109F7 - Reinstatement of Registered Individuals and Permitted Individuals

CSA Notices

CSA Notice Amendments to NI 31-103, NI 33-109 and the respective companion policies, July 27, 2017

CSA Notice Amendments to NI 33-109, October 16, 2014