Regulatory Instruments  by Subject Matter

TABLE OF CONTENTS

PART 3 - REGISTRATION AND RELATED MATTERS
Registration Requirements
31-102	Multilateral Instrument	National Registration Database	March 31, 2003, except for sections 7.1 and 7.2 which come into force on Feb 3, 2003	Requires that certain registration information, including applications for registration by individuals, be submitted to regulators electronically through the NRD.
31-102CP	Companion Policy	Companion Policy to Multilateral Instrument 31-102	March 31, 2003.
31-305	CSA Staff Notice	Registration Streamlining System	September 20, 2002	Explains the Registration Streamlining System for salespersons applying for registration in more than one jurisdiction.
31-306	CSA Staff Notice	National Registration Database to Launch on March 31, 2003	October 11, 2002	Announces that National Registration Database will launch on March 31, 2003.
31-307	CSA Notice 31-307	National Registration Database (NRD) Enrolment and User Fees	February 7, 2003	Sets out information about enrolment and user fees for the NRD.
31-501	Local Instrument	SRO Membership for Securities Dealers and Brokers	March 15, 2001	Requires securities dealers and brokers to apply for membership with the Investment Dealers Association of Canada by May 31, 2001 and to become members by July 2, 2002.
31-502	Local Instrument	SRO Membership for Mutual Fund Dealers	March 15, 2001	Requires mutual fund dealers to apply for membership with the Mutual Fund Dealers Association by May 31, 2001 and to become members by July 2, 2002.
31-701	Saskatchewan Staff Notice	Form 4s Not Required for Certain Non-Trading Officers	April 30, 2001	Declares that firms that do not have their head office in Saskatchewan no longer have to submit Form 4s for their non-trading officers.
31-801	Implementing Order	Implementing the National Registration Database	Feb 12, 2003	Exempts certain registrants from the requirements of Multilateral Instrument 31-102 National Registration Database on certain conditions.
31-804	Implementing Order	Extending Time Periods under MI 31-102 and MI 33-109	Nov 14, 2003	Extends the time periods in which registrants are required to file certain information under the transitional provisions of MI 31-102 and MI 33-109 to December 15, 2003.  Extends certain other deadlines under March 31, 2006.  Also grants an exemption for registered firms and individuals from filing certain forms under MI 31-102 and MI 33-109 where certain changes to an individual's personal information do not affect the individual's suitability for registration or status as a non-registered inidividual.
31-901	General Exemption Order	Advisors to Immigrant Investment Syndicates	April 20, 1990.	Varies certain registration requirements for advisers to immigrant investment syndicates on certain conditions.
31-902	General Exemption Order	Saskatchewan Small Business Security Issuers	July 7, 1998.	Varies certain registration requirements for certain securities issuers.
TOP OF PAGE Registration Exemptions
32-101	National Instrument	Small Security Holder Selling and Purchase Arrangements	In effect nationally December 1, 1997. In Sask January 17, 2000.	Provides an exemption to an issuer and its agents form the adviser and dealer registration requirements in Canadian securities legislation for certain activities relating to arrangements that permit holder of small amounts of securities of the issuer to sell those securities or acquire additional securities.
32-601	Local Policy Statement	Persons Qualified to Advise Under Registration Exemptions	May 15, 1996	Sets out the qualifications of advisers acceptable to the Commission to give advice to purchases of securities under the registration exemptions in clauses 39(1)(m.1) and 39(1)(aa) of the Act.
32-901	General Exemption Order	Direct Purchase Plans	August 21, 2002	Grants an exemption permitting a reporting issuer (other than a mutual fund) and an administrator of the reporting issuer to trade in the issuer's own securities under a direct purchase plan, subject to certain conditions.
TOP OF PAGE Ongoing Requirements Affecting Registrants
33-102	National Instrument	Regulation of Certain Registrant Activity	In effect August 1, 2001	Requires registrants to provide with disclosure about certain products and risks.
33-102CP	Companion Policy	Regulation of Certain Registrant Activity	In effect August 1, 2001	Companion policy to National Instrument 33-102 Regulation of Certain Registrant Activity.
33-109	Multilateral Instrument	Registration Information Form 33-109F1 Notice of Termination Form 33-109F2 Change or Surrender of Individual Categories Form 33-109F3 Business Locations Other Than Head Office Form 33-109F4 Registration Information for an Individual Form 33-109F5 Change of Registration Information	February 21, 2003	Consolidates and harmonizes requirements regarding initial submission of registration information and updating that information
33-109CP	Companion Policy	Companion Policy to Multilateral Instrument 33-109 Registration Information	February 21, 2003
33-303	CSA Staff Notice	Trust Accounts for Mutual Fund Securities	In effect. May 14, 1999.	Assists dealers in complying with section 12 of National Policy 39 Mutual Funds, and sets out staff's views on the minimum internal controls appropriate to ensure dealers meet these requirements.
33-304	CSA Notice	CSA Distribution Structures Committee Position Paper	In effect. August 24, 1999.	Sets out the CSA's policy positions that address the regulatory issues that have arisen due to changes that are occurring in the manner in which securities firms structure their businesses provide securities trading and advising services to the public.
33-305	CSA Staff Notice	Sale of Insurance Products by Dually Employed Salespersons	January 7, 2000.	Clarifies that CSA Distribution Structures Position Paper does not require salespersons to offer the sale of insurance products through a dealer.
33-306	CSA Notice	Date of NRD Freeze Period	February 7, 2003	Announces that March 7, 2003 is the freeze period for the National Registration Database.
33-307	CSA Staff Notice	List of Canadian Registrant and Non-Registrant Firms that Completed the CSA STP Readiness Assessment Survey	July, 2003	Lists the firms that responded to the CSA's Straight-Through Processing Readiness Assessment Survey.
33-308	CSA Staff Notice	The CSA STP Readiness Survey Report is Now Available on the OSC Web site	Sept 19, 2003	Gives notice that the STP Readiness Survey Report is available on the OSC Web site.
33-401	CSA Notice	Canadian Capital Markets Association T + 1 Paper	Request for comment to May 8, 2001	Request for comment on the Canadian Capital Markets Association's paper on shortening the settlement period to one day after the trade (T + 1).
33-502	Local Instrument	Requirements for Sale of Certain Securities	January 17, 2000.  Amended June 16, 2003	Imposes requirements on registrants selling securities under certain statutory exemptions. Requires sellers of scholarship plan securities to provide disclosure of certain details. Imposes additional requirements on sellers of labour-sponsored venture capital fund securities.
33-502CP	Companion Policy	Companion Policy to Saskatchewan Local Instrument 33-502 Requirements for Sale of Certain Securities	January 17, 2000.  Amended June 16, 2003	Reminds sellers of certain exempt securities of existing reporting obligations under The Securities Act, 1988
33-902	General Exemption Order	Exemption from Part 4 of Local Instrument 33-502 Requirements for Sale of Certain Securities	January 18, 2002	Exempts registered investment dealers and their registered trading officers and salespersons from the provisions of Part 4 of Local Instrument 33-502 Requirements for Sale of Certain Securities.
33-503	Local Instrument	Permanent Registration System	January 9, 2002	Implements a permanent registration system in Saskatchewan for dealers and advisors.
33-503CP	Companion Policy	Companion Policy to Saskatchewan Local Instrument 33-503 Permanent Registration	January 9, 2002.  Amended May 9, 2003.	Provides additional guidance regarding filings under Local Instrument 33-503 Permanent Registration System.
33-701	Local Staff Notice	Telemarketing Activities	April 16, 1993.	Sets out staff views on when telemarketers should be registered.
33-702	Local Staff Notice	Transfer of Registration	April 16, 1993.	Sets out what registered individuals must do if they wish to transfer from one company to another.
33-704	Local Staff Notice	Uniform Termination Notice	May 28, 1992.	Specifies the form of notice that individual registrants must give when their employment with a firm ends.
33-705	Local Staff Notice	Dealing with Non-Residents	April 16, 1998.	Provides guidance to registrants living in Saskatchewan who are considering dealing with investors who live elsewhere. Also provides guidance to registrants who do not live in Saskatchewan, but are considering dealing with investors who live in Saskatchewan.
33-706	Local Staff Notice	Processing of Equity and Fixed Income Trades by Financial Institutions and Mutual Fund Dealers	February 7, 2000.	Sets out staffs' views on processing of equity and fixed income trades by financial institutions and mutual fund dealers.
33-709	Saskatchewan Staff Notice	Annual Delivery of Registration Fees and Documents	Nov 24, 2003	Describes the process for the annual filing of documents and payment of fees.
33-710	Saskatchewan Staff Notice	Branch Managers	Oct 15, 2004	Sets out the application of the branch manager requirement.
33-901	General Exemption Order	Suitability Requirements	July 12, 2001	Exempts members of the Investment Dealers Association of Canada from the suitability requirements if they comply with certain IDA requirements.
33-902	General Exemption Order	Exemption from Part 4 of Local Instrument 33-502 Requirements for Sale of Certain Securities	Jan 18, 2002	Exempts registered investment dealers and their registered trading officers and salespersons from the provisions of Part 4 of Local Instrument 33-502 Requirements for Sale of Certain Securities.
33-903	General Exemption Order	Permanent Registration System	December 9, 2002	Extends a firm's grace period when it fails to file annual fees by December 15 of any year.  If a firm does not file required fees on December 15, then the firm's registration is suspended on January 15 of the following year, instead of on December 31 of the same year as now provided in Local Instrument 33-503 Permanent Registration System.
33-904	General Exemption Order	Permanent Registration System and the National Registration Database	Nov 24, 2003	Extends the time for payment of fees by firms which participate on the NRD from Dec 15 to Dec 31 of each year.  Grants certain other exemptions.
TOP OF PAGE Fitness for Registration
34-201	National Policy	Breach of Requirements of Other Jurisdictions	October 16, 1998.	Gives notice to registrants and applicants for registration that a breach of the securities laws of another jurisdiction may be considered to affect the registrant's or applicant's fitness for registration.
34-202	Multilateral Policy	Registrants Acting as Corporate Directors	October 16, 1998.	Expresses the views of the CSA as to the potential for conflicts of interest arising if a registrant acts as a director of or advisor to a reporting issuer.
34-601	Local Policy Statement	Procedure Upon Bankruptcy of Individual Registrants	February 3, 1994.	Sets out the procedure registrants or applicants must follow when they are in bankruptcy proceedings.
34-701	Local Staff Notice	Registration of Individuals as Investment Counsel	September 27, 1989.	Sets out alternate registration requirements for junior investment counsel acting under the supervision of a senior investment counsel.
34-702	Local Staff Notice	Rewriting Proficiency Examinations	January 20, 1994.	Sets out staffs' views on when proficiency courses must be rewritten.
34-901	General Exemption Order	Proficiency Requirements for Salespersons Trading Only in Certain Options	December 12, 2001	Exempts individuals who have been approved by the Investment Dealers Association of Canada as an Options Representative - Restricted from the requirement to complete the Canadian Securities Course and Conduct and Practices Course. Certain conditions apply to the exemption.
TOP OF PAGE Non-Resident Registrants
35-101	National Instrument	Conditional Exemption From Registration for United States Broker-dealers and Agents	In effect in Saskatchewan March 9, 2001	Provides U.S. broker-dealers and their agents with a conditional exemption from the applicable registration and prospectus requirements under Canadian securities legislation.
35-301	CSA Staff Notice	Conditional Exemption from Registration for United States Broker-Dealers and Agents	August 16, 1999.	States that the CSA expect to will proceed with proposed National Instrument 35-101 Conditional Exemption from Registration for United States Broker-Dealers and Agents when final rules by the SEC and certain state regulators are in place to provide reciprocal relief.
35-701	Saskatchewan Staff Notice	Registration of Non-Resident Individuals	October 11, 2002	Sets out the conditions of registration that the Director will apply to  individuals who do not live in Saskatchewan and are applying  for registration.
35-901	General Exemption Order	Non-Resident Registrants	May 1, 2000. Amended August 28, 2001, November 8, 2001 and August 19, 2003.	Exempts investment dealers, brokers, exchange contract dealers and mutual fund dealers from the requirement to maintain a business office and books and records in Saskatchewan on certain conditions. Also exempts domestic advisers and international advisers from the same requirements on certain conditions.

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