Key Regulatory Documents

The applicable province and territorial securities legislation, regulations and rules for any person or firm will generally depend on the jurisdiction of residence of the investor and dealer or adviser and the jurisdiction in which the registerable activity occurs. The websites of the securities regulatory authority in each province and territory can be accessed through links in our "Staying Informed" section.

• National Instrument 31-103 Registration Requirements and Exemptions Companion Policy to NI 31-103
• Staff Notice 31-312 Exempt Market Dealers - Transition Staff Notice 31-311
• Northwest Registration Exemption for Intermediaries "Alternative Approach to Regulating Exempt Market Intermediaries in Certain Jurisdictions"
• Alberta Securites Commission Blanket Order 31-505
• CSA Staff Notice 31-313 - NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of December 18, 2009
• CSA Staff Notice 31-314 - NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of February 5, 2010