Registration Requirements and Exemptions [Rule 31-103]

Rule Category

3 - Registration, Compliance and Related Matters
PDF icon 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
PDF icon CSA Notice of Amendments to NI 14-101 Definitions and Consequential Amendments
PDF icon 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
PDF icon 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
PDF icon Consequential Amendments relating to Prohibition of Deferred Sales Charges for Investment Funds
PDF icon 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
PDF icon Consequential Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the CP to NI 31-103
PDF icon Amendment to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
PDF icon CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients
PDF icon 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
PDF icon Notice of Amendments to NI 45-106 and NI 31-103 and Changes to 45-106CP and 31-103CP relating to Syndicated Mortgages
PDF icon Reforms to enhance the client-registrant relationship (Client Focused Reforms) Notice of amendments to National Instrument 31-103 and companion policy 31-103CP
PDF icon Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Registrant Obligations.
PDF icon Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Registrant Obligations.
PDF icon Notice of Amendments - Custody-Related Amendments
PDF icon Request for Comments Proposed Amendments to NI 31-103 and Changes to 31-103CP. Comment Period ends Oct. 19/18.
PDF icon Unofficial Consolidation of NI 31-103 and its CP as of December 4, 2017

History

November 30, 2023
PDF icon 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
August 3, 2023
PDF icon Staff Notice 31-363 Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance
June 15, 2023
PDF icon CSA Notice of Amendments to NI 14-101 Definitions and Consequential Amendments
April 20, 2023
PDF icon 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
April 28, 2022
PDF icon 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
January 20, 2022
PDF icon Consequential Amendments relating to Prohibition of Deferred Sales Charges for Investment Funds
January 20, 2022
PDF icon 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
December 16, 2021
PDF icon Consequential Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the CP to NI 31-103
October 6, 2021
PDF icon Amendment to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
July 15, 2021
PDF icon CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients
December 23, 2020
PDF icon 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
August 6, 2020
PDF icon Notice of Amendments to NI 45-106 and NI 31-103 and Changes to 45-106CP and 31-103CP relating to Syndicated Mortgages
March 5, 2020
PDF icon 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.
October 3, 2019
PDF icon Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Registrant Obligations.
October 3, 2019
PDF icon Reforms to enhance the client-registrant relationship (Client Focused Reforms) Notice of amendments to National Instrument 31-103 and companion policy 31-103CP
March 27, 2019
PDF icon Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Registrant Obligations.
March 14, 2019
PDF icon Notice of Amendments - Custody-Related Amendments
October 25, 2018
PDF icon Request for Comment Proposed Custody Amendments to NI 31-103. Comment period ends December 24/18
June 21, 2018
PDF icon Request for Comments Proposed Amendments to NI 31-103 and Changes to 31-103CP. Comment Period ends Oct. 19/18.
March 8, 2018
PDF icon Request for Comment - Proposed Amendments to NI 45-106 and NI 31-103. Comment period ends June 6/18
December 4, 2017
PDF icon Unofficial Consolidation of NI 31-103 and its CP as of December 4, 2017
July 27, 2017
PDF icon Rule 31-103 (Amendment) and Consequential Amendments to Rule 33-109
July 27, 2017
PDF icon Notice of Amendments to NI 31-103, 31-103CP and NI 33-109, 33-109CP
February 1, 2017
PDF icon NI 31-103 Consolidated Version (Feb. 1, 2017)
February 1, 2017
PDF icon NI 31-103CP Companion Policy - Consolidated Version (Feb. 1/17)

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