While Canada has a national registration and compliance regime under the CSA's National Instrument 31-103, there are other key regulatory documents the registered firms and individuals should be aware of - and they may depend on your jurisdiction of business in Canada.

The applicable legislation, regulations and rules will depend on: 1) the jurisdiction of residence of the investor and 2) the jurisdiction in which the EMD and Dealing Representative is registered - in other words, the jurisdiction in which the "registerable activity" occurs. The websites of the securities regulatory authority in each province and territory can be accessed through links in our "Industry Securities Links" section.

Here are a number of key regulations to be aware of:

• National Instrument 31-103 Registration Requirements and Ongoing Registrant Obligations
  
  
• National Instrument 45-106 Prospectus and Registration Exemptions
  
  
• CSA Staff Notice 31-312 The Exempt Market Dealer Category under NI 31-103
  
  
• CSA Guidance Relating to the Registration Obligations of Mortgage Investment Entities
  
  
• CSA 
• Staff Notice 31-336 
• Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
• CSA Staff Notice 31-324 Exempt Market Dealers and Account Statement Requirements in National Instrument 31-103 Registration Requirements and Exemptions
  
  
• CSA Staff Notice 33-315 Suitability Obligation and Know Your Product
  
  
• CSA Staff Notice 31-323 Guidance Relating to the Registrant Obligations of Mortgage Investment Entities
  
  
• CSA Staff Notice 31-318 Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
  
  
• "Northwest Exemption" (Alberta version) - ASC Notice, Blanket Order 31-505 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions   
• "Northwest Exemption" framework - Appendix D of National Instument 31-103 Registration Requirements and Exemptions. 
  
  
• CSA Staff Notice 31-326 Outside Business Activities of Registrants