Notice of and Request for Comment: Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions, National Instrument 33-109 Registration Information and to Related Policies and Forms
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Amendments to NI 33-109 and Related Instruments - Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting & Updating Filing Deadlines
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Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the Companion Policy to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
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CFA Registration Information Amendments - Dec 16, 2021 - Appendix C
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CFA Registration Information Amendments - Dec 16, 2021 - Appendix D
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CFA Registration Information Amendments - Dec 16, 2021 - Appendix E
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Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 45-106 Prospectus Exemptions, and OSC Rule 45-501 Ontario Prospectus and Registration
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Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
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CSA Staff Notice 31-361 – OBSI Joint Regulators Committee Annual Report for 2020
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OSC Staff Notice 33-752 – Summary Report for Dealers, Advisers and Investment Fund Managers
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Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
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Amendments to Companion Policy 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
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CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Client
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Unofficial Consolidation: Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
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CSA Notice and Request for Comment – Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Prop
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Unofficial Consolidation: National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
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Registration Guide for New SRO Dual Registered Firms
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Unofficial Consolidation: Form 35-101F2 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer
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Unofficial Consolidation: OSC Rule 35-502 Non-Resident Advisers
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Unofficial Consolidation: OSC Rule 35-503 Trades by Certain Members of the Toronto Stock Exchange
Documents d'Instruments, règles et politiques
