Self-Serve Portal

Regulatory Instruments

The Commission uses a number of regulatory instruments to administer the requirements of New Brunswick’s securities laws. Most regulatory instruments are numbered according to the Canadian Securities  Administrators’ numbering system. This section contains rules, instruments, policies, and other documents, both proposed and final.

56 Results

Our filter by topic functionality is provided for convenience only, and does not represent a necessarily complete list all of the rules or regulatory instruments applicable to your particular situation. Refer to our website Terms of Use. If you have questions, please contact the Financial and Consumer Services Commission  for clarification

31-354 - CSA Staff Notice 31-354 Suggested Practices for Engaging with Older or Vulnerable Clients
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-355 - CSA Staff Notice 31-355 OBSI Joint Regulators Committee Annual Report for 2018
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-356 - CSA Staff Notice 31-356 Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-357 - CSA Staff Notice 31-357 - Blanket Orders /Class Orders in Respect of Certain Client Focused Reforms Provisions of NI 31-103
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-358 - CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Requests for Comments
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-359 - CSA Staff Notice 31-359 OBSI Joint Regulators Committee Annual Report for 2019
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-360 - CSA Notice 31-360 - Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of NI 31-103
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-361 - CSA Staff Notice 31-361 – OBSI Joint Regulators Committee Annual Report for 2020
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-362 - CSA Staff Notice 31-362 – OBSI Joint Regulators Committee Annual Report for 2021
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-363 – Joint CSA and CIRO Staff Notice 31-363 – Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-364 – CSA Staff Notice 31-364 – OBSI Joint Regulators Committee Annual Report for 2022
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-502 - Supplementary Registration Requirements
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-518 - Blanket Order 31-518 - Registration Exemption Enabling a Corporation to Receive Directed Sales Commissions or Fees from a Member of the Mutual Fund Dealers Association of Canada
Category: 3 - Registration Requirements and Related Matters
Status: Current
31-930 – Coordinated Blanket Order 31-930 Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus
Category: 3 - Registration Requirements and Related Matters
Status: Current
32-301 - CSA Staff Notice 32-301 Omnibus/Blanket Orders Exempting Certain U.S. Broker-Dealers and U.S. Advisers from the Requirement to Register in Respect of Trades and Advice for U.S. Resident Clients
Category: 3 - Registration Requirements and Related Matters
Status: Current
32-503 - Blanket Order 32-503 Exemption From The Dealer Registration Requirement And The Adviser Registration Requirement In Respect Of Trades And Advice For U.S. Resident Clients
Category: 3 - Registration Requirements and Related Matters
Status: Current
32-701 - Exemptive Relief Applications from Registration Requirements
Category: 3 - Registration Requirements and Related Matters
Status: Current
33-105 - Underwriting Conflicts
Category: 3 - Registration Requirements and Related Matters
Status: Current
33-109 - Registration Information
Category: 3 - Registration Requirements and Related Matters
Status: Current
33-315 - CSA Staff Notice 33-315 Suitability Obligation and Know Your Product
Category: 3 - Registration Requirements and Related Matters
Status: Current
33-316 - CSA Staff Notice 33-316 Status Report on CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
Category: 3 - Registration Requirements and Related Matters
Status: Current
33-317 - CSA Staff Notice 33-317 Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients
Category: 3 - Registration Requirements and Related Matters
Status: Current
33-318 - CSA Staff Notice 33-318 Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives
Category: 3 - Registration Requirements and Related Matters
Status: Current
33-319 - CSA Staff Notice 33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
Category: 3 - Registration Requirements and Related Matters
Status: Current
33-320 - CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration
Category: 3 - Registration Requirements and Related Matters
Status: Current