33-109 – Registration Information (National Instrument)

33-109 – Registration Information (National Instrument)

• Registration Information

  Effective Date: February 21, 2003. Consolidated to January 11, 2015.

  Consolidates and harmonizes requirements regarding initial submission of registration information and updating that information.

  33_109_ni_january_11_2015.pdf
• Amendments to National Instrument 33-109

  Effective Date: September 13,  2023. If this Instrument is filed with the Registrar of Regulations after September 13, 2023, this Instrument comes into force on the day on which it is filed with the Registrar of Regulations.

  33_109_amendments_july_15_2023.pdf
• The Securities Commission (Adoption of National Instruments) (NI 33-109 and NI 31-103) Amendment Regulations, 2022

  Effective Date: June 6, 2022. In Saskatchewan: June 6, 2022.

  33_2022_sr_filed_33_109_ni_and_31_103_ni_ar_05_03_22.pdf
• Amendments to National Instrument 33-109

  Effective Date: June 6, 2022. In Saskatchewan: June 6, 2022.

  33_109_ni_amendments_december_16_2021.pdf
• Amendments to National Instrument 33-109

  Effective Date: June 6, 2022. In Saskatchewan: June 6, 2022.

  33_109_ni_february_4_2021.pdf
• Amendments to National Instrument 33-109

  Effective Date: June 6, 2022. In Saskatchewan: June 6, 2022.

  33_109_ni_july_27_2017_pdf.pdf
• Companion Policy 33-109CP

  Effective Date: February 21, 2003. Consolidated to January 11, 2015.

  33_109_cp_january_11_2015.pdf

• Changes to Companion Policy 33-109CP

  Effective Date: Subject to the effective date of amendments to National Instrument 33-109 Registration Information – June 6, 2022.

  33_109_cp_changes_december_16_2021.pdf
• Changes to Companion Policy 33-109CP

  Effective Date: Subject to the effective date of the amendments to National Instrument 33-109 Registration Information. 

  33_109_cp_february_4_2021.pdf
• Changes to Companion Policy 33-109CP

  Effective Date:  December 4, 2017 subject to Ministerial approval.

  33_109_cp_july_27_2017_pdf.pdf
• Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals

  Effective Date: September 28, 2009. Consolidated to January 11, 2015.

  33_109_f1_january_11_2015.pdf
• Form 33-109F2 Change or Surrender of Individual Categories

  Effective Date: September 28, 2009.  Consolidated to January 11, 2015.

  33_109_f2_january_11_2015.pdf
• Form 33-109F3 Business Locations Other Than Head Office

  Effective Date: September 28, 2009. Consolidated to January 11, 2015.

  33_109_f3_january_11_2015.pdf
• Form 33-109F4 Registration of Individuals and Review of Permitted Individuals

  Effective Date: September 28, 2009.  Consolidated to January 11, 2015.

  33_109_f4_january_11_2015.pdf
• Form 33-109F5 Change of Registration Information

  Effective Date: September 28, 2009.  Consolidated to January 11, 2015.

  33_109_f5_january_11_2015.pdf
• Form 33-109F6 Firm Registration

  Effective Date: September 28, 2009.  Consolidated to January 11, 2015.

  33_109_f6_january_11_2015.pdf
• Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals

  Effective Date: September 28, 2009.  Consolidated to January 11, 2015.

  33_109_f7_january_11_2015.pdf