Registration News

Oct 15, 2004	Saskatchewan Staff Notice 33-710 Branch Managers
Sept 8, 2004	Saskatchewan Local Instrument 32-501 Deposit Agents Notice and Request for Comment Local Instrument 32-501 Form 32-501F1 Report by Mutual Fund Dealer Pursuant to Clause 4(d) Form 32-501F2 Application for Registration as a Deposit Agent Form 32-501F3 Salespersons and Officials Application for Registration Form 32-501F4 Deposit Agent Annual Report Form 32-501F5 Auditor's Report on Compliance with Local Instrument 32-501 Form 32-501F6 Financial Institution Annual Report
May 1, 2003	GRO 31-802 Extending the Time Periods under MI 31-102 and MI 33-109
Mar 6, 2003	CSA Notice 33-403 Joint Forum Requests Comments on Principles and Practices for the Sale of Products and Services in the Financial Sector Notice Cover Letter Backgrounder Principles and Practices for the Sale of Products and Services in the Financial Sector A Consumer's Guide to Financial Transactions Industry Examples Securities Property and Casualty Insurance Life Insurance Deposit Agent Loan Broker Financial Planning
Feb 12, 2003	National Instrument 31-102 National Registration Database and 33-109 Registration Information come into force
Feb 12, 2003	GRO 31-801 Implementing the National Registration Database
Feb 7, 2003	CSA Notice 31-307 National Registration Database (NRD) Enrolment and User Fees
Feb 7, 2003	Multilateral Staff Notice 33-306 Date of NRD freeze period

Jan 30, 2003	Implementation of National Registration Database
Oct 17, 2002	New Web site with information about National Registration Database
Oct 11, 2002	CSA Staff Notice 31-306 National Registration Database to Launch on March 31, 2003
Oct 11, 2002	Local Policy 35-601 Registration of Non-Resident Individuals Rescinded and Replaced with Staff Notice 35-701
Sept 23, 2002	CSA Staff Notice 31-305 Registration Streamlining System
Jan 25, 2002	Multilateral Instrument 33-109 Registration Information Requirements published for comment
Jan 24, 2002	Multilateral Instrument 31-102 National Registration Database (NRD) published for comment
Jan 18, 2002	General Ruling/Order 33-902 Exemption from Part 4 of Local Instrument 33-502 Requirements for Sale of Certain Securities
Jan 9, 2002	Commission Regulations adopting Local Instrument 33-503 Permanent Registration System effective January 9, 2002
Dec 13, 2001	Non-resident Policy Statement 35-601 Registration of Non-Resident Individuals Amended
Dec 12, 2001	General Ruling/Order 34-901 Proficiency Requirements for Salespersons Trading Only in Exchange Options
Nov 16, 2001	National Registration Database could generate $85 million in benefits over five years
Nov 14, 2001	Suppression of Terrorism Regulations - Revised Monthly Report
Nov 9, 2001	New Underwriter Registration Exemption
Nov 8, 2001	Non-resident Registrant General Exemption Order Amended
Oct 12, 2001	Suppression of Terrorism Letter to Registrants New Monthly Reporting Form United Nations Suppression of Terrorism Regulations
Aug 10, 2001	Local Instrument 33-503 Permanent Registration System published for comment. Notice Local Instrument Companion Policy
Aug 10, 2001	General Ruling/Order 33-901 Suitability Requirements
Aug 1, 2001	Staff Notice 33-707 Implementation of Permanent Registration in 2001
July 6, 2001	National Instrument 45-101 Rights Offerings adopted effective July 25, 2001
July 6, 2001	National Instrument 33-102 Regulation of Certain Registrant Activity adopted effective August 1, 2001
Apr 30, 2001	Update on Financial Planner Proficiency Requirements
Apr 30, 2001	Staff Notice 31-701 Form 4s Not Required for Certain Non-Trading Officers
Apr 30, 2001	Notice re Permanent Registration
Mar 21, 2001	New Requirements for Registrants Holding Themselves Out as Financial Planners
Mar 16, 2001	Notice of proposed Multilateral Instrument 33-108 Permanent Registration published for comment
Mar 15, 2001	Mutual Fund Dealers, Brokers and Securities Dealers Required to Join a Self-Regulatory Organization.
Feb 1, 2001	Leah Fichter Appointed Deputy Director, Registration