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November 9, 2017

NRD Release 3.4.3 – NRD updated to reflect amendments to National Instrument NI 33-109 Forms

On Monday December 4, 2017, Release 3.4.3 will be implemented on NRD to reflect the amendments to National Instrument 33-109 Registration Information and its related forms, which will come into force on December 4, 2017.  The text changes on NRD are summarized as follows:
 


Text Changes

Individual Submissions

“General Instruction” is amended by replacing “Item 13.3(c)” with “Item 13.3(a)”.

33-109F7 Reinstatement of Registration

“Confirm Permanent Record” is amended by replacing “Item 13.3(c)” with “Item 13.3(a)”.

33-109F7 Reinstatement of Registration

“General Instructions” is amended by replacing “regulator(s) or in Québec,” with “regulator(s) or, in Québec,”.

33-109F7 Initial Registration
33-109F4 Reactivation of Registration

“Item 6 Schedule C Individual categories” is amended by replacing “Other Permitted Individual (as defined in NI33-109 section 1.1(c))” with “Permitted Individual as described in paragraph (c) of the definition of “permitted individual” in section 1.1 of National Instrument 33-109 Registration Information”.

33-109F7 Reinstatement of Registration 
33-109F4 Initial Registration
33-109F4 Registration with an additional sponsoring firm
33-109F4 Registration in an additional jurisdiction
33-109F4 Reactivation of Registration
33-109F2 – Change or Surrender of Individual Categories
33-109F1 Notice of Termination

“Item 21 - Warning” is amended by replacing “commodity futures legislation” with “commodity futures legislation,”.

33-109F7 Reinstatement of Registration
33-109F4 Initial Registration
33-109F4 Registration with an additional sponsoring firm
33-109F4 Registration in an additional jurisdiction
33-109F4 Reactivation of Registration