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CATEGORY 3: Registration Requirements and Related Matters

31-202
Proposed Multilateral Policy 31-202 Registration Requirement for Investment Fund Managers 

31-202
Proposed Multilateral Policy 31-202 Registration Requirement for Investement Fund Managers Continuation...(Annex A - Annex B - Annex C) 

31-501 (Repeal)
Prince Edward Island Rule 31-501 - Transitional Registration Requirements

31-502 (Blanket Order) (Revoked)
Registration Requirements and Exemptions in connection with transition and grandfathering matters

31-503 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Chief Compliance Officers of Portfolio Managers Adding a Category

31-504 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Canadian Firms

31-505 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Mutual Fund Dealers

31-506 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Representatives of Scholarship Plan Dealers

31-507 (Blanket Order) (Revoked)
Registration Requirements and Exemptions for Portfolio Managers Adding a Category

31-508 (Blanket Order)
Exemption from the Registration Requirement for Trades in Short-Term Debt Instruments

31-509 (Blanket Order)
Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for IIROC member firms

31-510 (Blanket Order)
Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for MFDA member firms

31-511 (Blanket Order)
Exemption from the Registration Requirement for Trades in Short-Term Debt Instruments

31-512 (Blanket Order)
Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for IIROC member firms

31-513 (Blanket Order)
Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for MFDA member firms

31-514 (Blanket Order)
Exemption from the Registration Requirement in NI 31-103 for International Dealers

31-515 (Blanket Order)
Exemption from the Registration Requirement in NI 31-103 for International Advisors

31-516 (Blanket Order)
Exemption from the Requirement to Register as an Investment Fund Manager

31-517 (Blanket Order)
Exemption from the Requirement to Provide Dispute Resolution Services Prescribed by Section 13.16 of NI 31-103

31-518 (Blanket Order)
IIROC 2014 CRM2 Amendments

31-519 (Blanket Order)
MFDA 2014 CRM2 Amendments

31-801
Prince Edward Island Rule 31-801 - Requirements Under the National Registration System

31-801 (Repeal)
Prince Edward Island Rule 31-801 - Requirements Under the National Registration System

31-802
Prince Edward Island Rule 31-802 - National Registration Database

31-802 (Amendment)
Prince Edward Island Rule 31-802 - National Registration Database

31-802 (Amendment)
Prince Edward Island Rule 31-802 - National Registration Database

31-803
Prince Edward Island Rule 31-803 - Registration Requirements and Exemptions

31-803 (Amendment)
Prince Edward Island Rule 31-803 - Registration Requirements and Exemptions (New Title - Registration Requirements and Exemptions and Ongoing Registrant Obligations

31-803 (Amendment)
Prince Edward Island Rule 31-803 - Registration Requirements, Exemptions and Ongoing Registrant Obligations

33-501
Prince Edward Island Rule 33-501 - Permanent Registration

33-501 (Repeal)
Prince Edward Island Rule 33-501 - Permanent Registration

33-502
Prince Edward Island Rule 33-502 - Disclosure of Sales Charges

33-503 (Blanket Order)
In the Matter of Calls to Residences by Registrants - Cold Calling

33-504 (Blanket Order)
In the Matter of Registration Exemption Enabling a Corporation of an Individual Registrant of a Mutual Fund Dealer or Investment Dealer to Receive Directed Sales Commissions or Fees

33-802
Prince Edward Island Rule 33-802 - Regulation of Certain Registrant Activities

33-802 (Repeal)
Prince Edward Island Rule 33-802 - Regulation of Certain Registrant Activities

33-805
Prince Edward Island Rule 33-805 - Underwriting Conflicts

33-805 (Amendment)
Prince Edward Island Rule 33-805 - Underwriting Conflicts

33-805 (Amendment)
Prince Edward Island Rule 33-805 - Underwriting Conflicts

33-809
Prince Edward Island Rule 33-809 - Registration Information

33-809 (Amendment)
Prince Edward Island Rule 33-809 - Registration Information

33-809 (Amendment)
Prince Edward Island Rule 33-809 - Registration Information

35-801
Prince Edward Island Rule 35-801 - Conditional Exemption from Registration for United States Broker-Dealers and Agents

 

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