Many of the Yukon's securities rules are made on a harmonized basis with the other securities regulators in Canada. If a rule is adopted in all 13 Canadian provinces and territories it's called a National Instrument. If a rule is not adopted in all jurisdictions it's called a Multilateral Instrument.
Registration Requirements and Related Matters [31-101-35-101]
31–101 National Registration System [National Instrument] Repealed September 28, 2009.
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.
NI 31–103 unofficial consolidation as of September 13, 2023.
31–103 CP unofficial consolidation as of June 6, 2022.
Form 31–103F1 unofficial consolidation as of September 13, 2023.
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 January 1, 2026.
Amendment to 31-103 CP effective January 1, 2026.
Amendment to NI 31-103 effective September 13, 2023.
Amendment to NI 31-103 effective June 6, 2022.
Amendment to 31-103 CP effective June 6, 2022.
Amendment to NI 31-103 effective January 5, 2022.
Amendment to NI 31-103 effective December 31, 2021.
Amendment to 31-103 CP effective December 31, 2021.
Amendment to NI 31-103 effective March 1, 2021.
Amendment to 31-103 CP effective March 1, 2021.
Amendment to NI 31-103 effective December 31, 2019.
Amendment to 31-103 CP effective December 31, 2019.
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.
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.
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.
NI 33–109 unofficial consolidation as of June 6, 2022.
33–109 CP unofficial consolidation as of June 6, 2022.
Form 33–109F1 unofficial consolidation as of June 6, 2022.
Form 33–109F2 unofficial consolidation as of June 6, 2022.
Form 33–109F3 unofficial consolidation as of June 6, 2022.
Form 33–109F4 unofficial consolidation as of June 6, 2022.
Form 33–109F5 unofficial consolidation as of June 6, 2022.
Form 33–109F6 unofficial consolidation as of September 13, 2023.
Form 33–109F7 unofficial consolidation as of June 6, 2022.
Documents related to NI 33–109
Amendment to NI 33-109 effective September 13, 2023.
Amendment to NI 33-109 effective June 6, 2022.
Amendment to 33-109 CP effective June 6, 2022.
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.
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.