Office of the Superintendent of Securities
Registration
On September 28, 2009, a new Canada-wide registration regime came into force for firms and individuals who sell securities, offer investment advice or manage investment funds. National Instrument 31-103 Registration Requirements and Exemptions, and related rules and amendments, aim to harmonize, streamline and modernize registration requirements across Canada.
Firms and individuals must use the new forms under National Instrument 33-109 Registration Information to apply for registration and make changes to their registration under the Securities Act.
NI 31-103 and 33-109 are available here.
