Notices

Decision Information

Proposed National Instrument 31-102 Amendment Instrument

Collection Notices
Date 2006-05-12
File numbers MSC Notice 2006-16
Decision type CSA Staff Notice
Jurisdiction Manitoba Securities Commission
Relations See also - CSA Staff Notice - 2006-05-12 - CSA Staff Notice
Subjects 3 - Registration Requirements and Related Matters
Notes Notice of Proposed Amendments to Multilateral Instrument 33-109 Registration Information, Companion Policy 33-109CP, Multilateral Instrument 31-102 National Registration Database, and Companion Policy 31-102CP
Law The Securities Act; The Commodity Futures Act

Decision Content

NATIONAL INSTRUMENT 31-102 NATIONAL REGISTRATION DATABASE AMENDMENT INSTRUMENT 1. The title of Multilateral Instrument 31-102 National Registration Database is amended by striking out “Multilateral” and substituting “National”. 2. The table of contents of the Instrument is amended by (a) striking out the following: PART 7 TRANSITION 7.1 Definitions 7.2 NRD Enrolment for Transition Firms 7.3 NRD Submissions before NRD Access Date 7.4 Accuracy of Business Location Information 7.5 Individuals Included in the Data Transfer 7.6 Individuals not Included in the Data Transfer 7.7 Changes to Form 4 Information – Registered Individuals 7.8 Changes to Form 4 Information – Non-registered Individuals 7.9 Pending Application to Change Individual’s Registration Category 7.10 Currency of Form 33-109F4 7.11 Termination or Cessation of Relationship PART 8 EFFECTIVE DATE 8.1 Effective Date, and (b) adding the following after “6.1 Exemption”: PART 7 INCONSISTENT PROVISIONS 7.1 Inconsistent Provisions 3. Section 1.1 of the Instrument is amended by striking out the definition of “MI 33-109” and substituting the following: “NI 33-109” means National Instrument 33-109 Registration Information, 4. The definition of “NRD number” in section 1.1 of the Instrument is amended by striking out “non-registered individual” and substituting “permitted individual”. 5. Paragraph 3.1(1)(b) of the Instrument is amended by striking out “non-registered individual” and substituting “permitted individual”. 6. Subsection 5.1(4) of the Instrument is amended by striking out “MULTILATERAL” and substituting “NATIONAL”. 7. Section 6.1 of the Instrument is amended by adding the following subsection after subsection 6.1(2): (3) In Québec, this exemption is granted pursuant to section 263 of the Securities Act (R.S.Q., c. V-1.1).
- 2 -8. Part 7 of this Instrument is repealed and the following is substituted: PART 7 INCONSISTENT PROVISIONS 7.1 Inconsistent Provisions In Québec, the provisions of this Instrument take precedence over any inconsistent provisions of Title V of the Securities Regulation. 9. Part 8 of this Instrument is repealed. 10. This Instrument comes into force on [insert date].
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