Regulatory Instruments  by Subject Matter

TABLE OF CONTENTS

PART 3 - REGISTRATION AND RELATED MATTERS
Registration Requirements
31-101	National Instrument	National Registration System	In effect April 4, 2005. Amended August 1, 2006.	Provides exemptive relief so that filers under the National Registration System must only comply with the fit and proper and other like requirements  of their principal regulator.
		Form 31-101F1 Election to Use NRS and Determination of Principal Regulator
		Form 31-102F2 Notice of Change
31-201	National Policy	National Registration System	In effect April 4, 2005.	Sets out the procedure to be followed by filers who are submitting applications under the National Registration System (NRS). The NRS is a mutual reliance system for registration of investment dealers, mutual fund dealers and advisers and their sponsored individuals.
		Amendments	In effect August 1, 2006
31-102	Multilateral Instrument	National Registration Database	In effect 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.
		Amendments	Come into force on May 15, 2007
31-102CP	Companion Policy	Companion Policy to Multilateral Instrument 31-102	In effect March 31, 2003.
		Amendment	Comes into force on May 15, 2007
31-501	Local Instrument	SRO Membership for Securities Dealers and Brokers	In effect 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	In effect 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	In effect 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.
31-702	Saskatchewan Staff Notice	Registration Proficiency Requirements	In effect Jan 1, 2006.  Amended August 8, 2006.	Sets out the courses that the Director has designated under sections 37 and 38 of The Securities Regulations.
31-801	Implementing Order	Implementing the National Registration Database	In effect Feb 12, 2003	Exempts certain registrants from the requirements of Multilateral Instrument 31-102 National Registration Database on certain conditions.
31-902	General Exemption Order	Saskatchewan Small Business Security Issuers	In effect July 7, 1998.  Amended June 8, 2002.	Varies certain registration requirements for certain securities issuers.
TOP OF PAGE Registration Exemptions
32-501	Saskatchewan Local Instrument	Local Instrument 32-501 Deposit Agents	In effect January 1, 2006.  Operation suspended by GRO 32-801.	Requires intermediaries who trade in guaranteed investment certificates to be registered.  Also imposes reporting requirements on financial institutions.
		Appendix A - Submission to Jurisdiction
		Appendix B - Undertaking to Provide Information
		Appendix C - Disclosure Statement to New Clients
		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
		Form 32-501F6 - Financial Institution Annual Report
32-702	Saskatchewan Staff Notice	Status of Saskatchewan Local Instrument 32-501 Deposit Agents	In effect October 1, 2006	Updates the implementation of Saskatchewan Local Instrument 32-501 Deposit Agents
32-801	Implementing  Order	Suspension of LI 32-501 Deposit Agents	In effect December 5, 2005.  Amended Feb 13, 2006.  Amended October 1, 2006	Suspends the implementation of LI 32-501 indefinitely.
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.
33-105	National Instrument	Underwriting Conflicts	In effect September 14, 2005	Imposes disclosure of relationships and an independent underwriter requirement in certain situations where there is a relationship between the issuer and the underwriter.
	Companion Policy	Underwriting Conflicts	In effect September 14, 2005	Companion policy to NI 33-105
33-109	Multilateral Instrument	Registration Information	In effect February 21, 2003	Consolidates and harmonizes requirements regarding initial submission of registration information and updating that information
		Amendments	Comes into force May 15, 2007
		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
33-109	Multilateral Instrument	Registration Information	In effect February 21, 2003	Consolidates and harmonizes requirements regarding initial submission of registration information and updating that 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
33-109CP	Companion Policy	Companion Policy to Multilateral Instrument 33-109 Registration Information	In effect February 21, 2003
		Amendment	Comes into force May 15, 2007
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	In effect January 7, 2000.	Clarifies that CSA Distribution Structures Position Paper does not require salespersons to offer the sale of insurance products through a dealer.
33-307	CSA Staff Notice	List of Canadian Registrant and Non-Registrant Firms that Completed the CSA STP Readiness Assessment Survey	In effect 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	In effect Sept 19, 2003	Gives notice that the STP Readiness Survey Report is available on the OSC Web site.
33-312	CSA Staff Notice	The CSA STP Readiness Assessment Survey Report is Now Available on the OSC Web site	In effect Nov 5, 2004	Gives notice that the STP Readiness Survey Report is available on the OSC Web site.
33-313	CSA Staff Notice	International Financial Reporting Standards and Registrants	In effect September 12, 2008	Reminds registrants that the changeover to International Financing Reporting Standards announced by the Canadian Accounting Standards Board applies to certain registrants.
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	Saskatchewan Instrument	Requirements for Sale of Certain Securities	In effect January 17, 2000.  Amended June 16, 2003.  Amended December 31, 2004.  Amended September 19, 2005.	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	In effect January 17, 2000.  Amended June 16, 2003	Reminds sellers of certain exempt securities of existing reporting obligations under The Securities Act, 1988
33-503	Saskatchewan Instrument	Permanent Registration System	In effect January 9, 2002.  Amended December 31, 2004.	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	In effect 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	In effect April 16, 1993.	Sets out staff views on when telemarketers should be registered.
33-702	Local Staff Notice	Transfer of Registration	In effect 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	In effect May 28, 1992.	Specifies the form of notice that individual registrants must give when their employment with a firm ends.
33-705	Saskatchewan Staff Notice	Dealing with Non-Residents	In effect Apr 16, 1998. Amended June 15, 2007	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	In effect 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	In effect November 24, 2003	Describes the process for the annual filing of documents and payment of fees.
33-710	Saskatchewan Staff Notice	Branch Managers	In effect October 15, 2004	Sets out the application of the branch manager requirement.
33-711	Saskatchewan Staff Notice	Adviser and Deposit Agent Examinations	In effect June 1, 2005	Gives notice of examination programs for advisers and deposit agents.
33-712	Saskatchewan Staff Notice	Surety Bond Not Required for Mutual Fund Dealers That Participate in the MFDA Investor Protection Corporation	In effect November 25, 2005	Gives notice that mutual fund dealers that participate in the MFDA Investor Protection Corporation are not required to maintain a surety bond.
33-901	General Exemption Order	Suitability Requirements	In effect July 12, 2001	Exempts members of the Investment Dealers Association of Canada from the suitability requirements if they comply with certain IDA requirements.
33-905	General Exemption Order	Exemption from Certain Provisions of Section 15 of Local Instrument 32-502 Requirements for Sale of Certain Securities	In effect February 23, 2005	Exempts managers doing a suitability review of a labour-sponsored venture fund security required by section 15 of Local Instrument 32-502 from the requirement to complete the Partners', Directors' and Officers' Examination if they have completed the Branch Managers' Course.
TOP OF PAGE Fitness for Registration
34-201	National Policy	Breach of Requirements of Other Jurisdictions	In effect 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	In effect 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	Saskatchewan Policy Statement	Procedure When Individual Registrants Become in Financial Difficulty	In effect Feb 3, 1994.  Amended November 10, 2004. Amended October 6, 2005.	Sets out the procedure registrants or applicants must follow when they are in financial difficulty.
34-701	Saskatchewan Staff Notice	Registration of Individuals as Investment Counsel	In effect Sept 27, 1989. Amended November 16, 2007.	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	In effect January 20, 1994.	Sets out staffs' views on when proficiency courses must be rewritten.
TOP OF PAGE Non-Resident Registrants
35-101	National Instrument	Conditional Exemption From Registration for United States Broker-dealers and Agents	In effect 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	In effect 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	In effect 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	In effect May 1, 2000.  Amended August 28, 2001, November 8, 2001,  August 19, 2003 and Feb 23, 2005	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.

TOP OF PAGE