Find the CSA Instruments and Policies effective in Yukon for Category 3

31–101 National Registration System [National Instrument] Repealed September 28, 2009

31–102 National Registration Database [National Instrument]

NI 31–102 unofficial consolidation as of December 2, 2013

Companion Policy 31–102 CP consolidated version as of September 28, 2009

Documents related to NI 31–102

Amendment to NI 31–102 effective December 2, 2013

National Instrument 31–102 National Registration Database consolidated version as of September 28, 2009

31–103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [National Instrument]

NI 31–103 unofficial consolidation as of June 12, 2019

31–103 CP unofficial consolidation as of December 4, 2017

Form 31–103F1 unofficial consolidation as of June 12, 2018

Form 31–103F2 unofficial consolidation as of January 11, 2015

Form 31–103F3 unofficial consolidation as of July 11, 2011

Form 31–103F4 Net Asset Value Adjustments, January 11, 2015

Documents related to NI 31–103

Amendment to NI 31–103 effective June 12, 2019

Amendment to NI 31–103 effective June 12, 2018

Amendment to NI 31–103 (DRO) effective June 12, 2018

Amendment to NI 31–103 effective December 4, 2017

Amendment to 31–103 CP effective December 4, 2017

Amendment to NI 31–103 effective February 1, 2017

Amendment to 31–103 CP effective February 1, 2017

Amendment to NI 31–103 effective May 5, 2015

Amendment to 31–103 CP effective May 5, 2015

Amendment to NI 31–103 effective January 11, 2015

Amendment to 31–103 CP effective January 11, 2015

Amendment to NI 31–103 effective September 22, 2014

Amendment to 31–103 CP effective September 22, 2014

Amendment to NI 31–103 effective May 1, 2014

Amendment to 31–103 CP effective May 1, 2014

Amendment to NI 31–103 effective July 15, 2013

Amendment to 31–103 CP effective July 15, 2013

Amendment to NI 31–103 effective May 31, 2013

Amendment to 31–103 CP effective September 28, 2012

Amendment to NI 31–103 effective February 28, 2012

Amendment to 31–103 CP effective February 28, 2012

Amendment to NI 31–103 effective July 11, 2011

Companion Policy 31–103 CP office consolidation as of July 11, 2011

Amendment to NI 31–103 effective January 1, 2011

Amendment to Companion Policy effective January 1, 2011

Companion Policy 31–103 CP effective September 28, 2009

National Instrument 31–103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, effective September 28, 2009

Form 31–103F1 Calculation of Excess Working Capital, September 28, 2009

Form 31–103F2 Submission to Jurisdiction and Appointment of Agent for Service, September 28, 2009

Form 31–103F3 Use of Mobility Exemption, September 28, 2009

National Policies

31–202 NP Registration Requirement for Investment Fund Managers, effective September 28, 2012 [National Policy]

33–102 Regulation of Certain Registrant Activities – Repealed September 28, 2009

33–105 Underwriting Conflicts [National Instrument]

NI 33–105 unofficial consolidation as of September 8, 2015

Documents related to NI 33–105

Amendment to NI 33–105 effective September 8, 2015

Amendment to NI 33–105 effective May 5, 2015

Companion Policy 33–105 CP effective March 17, 2008

National Instrument 33–105 Underwriting Conflicts, effective March 17, 2008

33–109 Registration Information [National Instrument]

NI 33–109 unofficial consolidation as of December 4, 2017

33–109 CP unofficial consolidation as of December 4, 2017

Form 33–109F1 unofficial consolidation as of January 11, 2015

Form 33–109F2 unofficial consolidation as of December 4, 2017

Form 33–109F3 unofficial consolidation as of December 4, 2017

Form 33–109F4 unofficial consolidation as of December 4, 2017

Form 33–109F5 unofficial consolidation as of December 4, 2017

Form 33–109F6 unofficial consolidation as of December 4, 2017

Form 33–109F7 unofficial consolidation as of December 4, 2017

Documents related to NI 33–109

Amendment to NI 33–109 effective June 12, 2018

Amendment to NI 33–109 effective December 4, 2017

Amendment to 33–109 CP effective December 4, 2017

Amendment to NI 33–109 effective January 11, 2015

Amendment to 33–109 CP effective January 11, 2015

Amendment to NI 33–109 effective September 22, 2014

Amendment to NI 33–109 effective May 31, 2013

Amendment to NI 33–109 effective August 23, 2012

Amendment to NI 33–109 effective January 1, 2011

Amendment to NI 33–109 effective July 11, 2011

Companion Policy 33–109 CP office consolidation as of July 11, 2011

Companion Policy 33–109 CP effective March 17, 2008

National Instrument 33–109 Registration Information effective March 17, 2008

Form 33–109F1 Notice of Termination of Registered Individuals and Permitted Individuals

Form 33–109F2 Change or Surrender of Individual Categories

Form 33–109F3 Business Locations Other Than Head Office

Form 33–109F4 Registration of Individuals and Review of Permitted Individuals

Form 33–109F5 Change of Registration Information

Form 33–109F6 Firm Registration

Form 33–109F7 Reinstatement of Registered Individuals and Permitted Individuals

35–101 Conditional Exemption from Registration for United States Broker-Dealers and Agents [NI]

National Instrument 35–101 Conditional Exemption From Registration for United States Broker-Dealers and Agents effective March 17, 2008

Documents related to NI 35–101

Companion Policy 35–101 CP effective March 17, 2008

Form 35–101F1 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer.

Form 35–101F2 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer.