Registration Requirements and Exemptions [Rule 31-103]

Rule Category

3 - Registration, Compliance and Related Matters
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

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 Reforms to enhance the client-registrant relationship (Client Focused Reforms) Notice of amendments to National Instrument 31-103 and companion policy 31-103CP
October 3, 2019
PDF icon Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Registrant Obligations.
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)
October 6, 2016
PDF icon Amendments to Certain NIs, MIs & Local Instruments & Changes 31-103CP related to Derivative Regulation in AB, NB, NS & SK
July 7, 2016
PDF icon Request for Comment - Proposed Amendments to NI 31-103, NI 31-101CP, NI 33-109 and Related Forms
February 19, 2015
PDF icon Consequential Amendments to Rule 31-103 resulting from Rule 45-106 (Amendment)
October 22, 2014
PDF icon Rule 31-103 (Amendment)
October 22, 2014
PDF icon Rule 31-103 (Amendment) and Consequential Amendments
October 16, 2014
PDF icon Notice of Amendments to NI 31-103, NI 33-109, NI 52-107 and Related Policies and Forms
June 25, 2014
PDF icon Consequential Amendments to 31-103 resulting from Rule 81-102 (Amendment)
May 1, 2014
PDF icon 31-103 Unofficial Consolidation and CP as of May 1, 2014

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