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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 December 4, 2017

History: In effect from September 28, 2009

Description: registration requirements for firms and individuals who sell securities and exchange contracts, offer investments advice, or manage investment funds.

Consolidated versions

NI 31-103 unofficial consolidation as of  February 1, 2017

31-103 CP unofficial consolidation as of February 1, 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 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

Staff Notices

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

CSA Notice Amendments to National Instrument 31-103 and National Instrument 33-109, Oct 16, 2014