Section 1.1 definitions of "firm filer" and "NDR number" BEFORE amended by BC Reg 226/2009, effective September 28, 2009.
"firm filer" means a person or company that is required under securities legislation to make an NRD submission in accordance with this Instrument and that is registered as, or has applied for registration as, a dealer, adviser, or underwriter;
"NRD number" means the unique number first generated by NRD to identify an NRD filer, a permitted individual, or a business location;
Section 1.1 definition of "NRD administrator" BEFORE amended by BC Reg 210/2013, effective December 2, 2013.
"NRD administrator" means CDS INC. or a successor appointed by the securities regulatory authority to operate NRD;
Section 2.1, item 4 BEFORE amended by BC Reg 226/2009, effective September 28, 2009.
4. Form 33-109F4 or a change to any information previously submitted in respect of Form 33-109F4.
Section 2.1, items 5 and 6 were added by BC Reg 226/2009, effective September 28, 2009.
Section 3.1 (1) (b) BEFORE amended by BC Reg 226/2009, effective September 28, 2009.
(b) using the NRD number of the NRD filer, permitted individual, or business location, and
Section 3.2 (d), (e) and (f) BEFORE amended by BC Reg 226/2009, effective September 28, 2009.
(d) notify the NRD administrator of the appointment of a chief AFR within 5 business days of the appointment;
(e) notify the NRD administrator of any change in the name of the firm's chief AFR within 5 business days of the change; and
(f) submit any change in the name of an AFR, other than the firm's chief AFR, in NRD format within 5 business days of the change.
Section 3.2 (g) was added by BC Reg 226/2009, effective September 28, 2009.
Section 4.2 (1) and (2) BEFORE amended by BC Reg 226/2009, effective September 28, 2009.
(1) If a firm filer is required to pay an annual registration fee, the firm filer must pay the required fee by electronic pre-authorized debit through NRD.
(2) A payment under subsection (1) must be made from the firm filer's NRD account.
Section 4.5(e) BEFORE amended by BC Reg 210/2013, effective December 2, 2013.
(e) pays the following fees by submitting a cheque, payable to CDS INC. in Canadian funds, to the firm's principal regulator within 14 days of the date the payment is due:
(i) NRD user fees required in respect of an NRD submission;
(ii) annual NRD user fees, and
Section 5.1 BEFORE re-enacted by BC Reg 226/2009, effective September 28, 2009.
Temporary Hardship Exemption
5.1 (1) If unanticipated technical difficulties prevent an NRD filer from making a submission in NRD format within the time required under securities legislation, the NRD filer is exempt from the requirement to make the submission within the required time period, if the NRD filer makes the submission in paper format or NRD format no later than 5 business days after the day on which the information was required to be submitted.
(2) Form 33-109F5 is the paper format for submitting a notice of a change to Form 33-109F4 information.
(3) If unanticipated technical difficulties prevent an individual filer from submitting an application in NRD format, the individual filer may submit the application in paper format.
(4) If an NRD filer makes a paper format submission under this section, the NRD filer must include the following legend in capital letters at the top of the first page of the submission:
IN ACCORDANCE WITH SECTION 5.1 OF NATIONAL INSTRUMENT 31-102 NATIONAL REGISTRATION DATABASE (NRD), THIS [SPECIFY DOCUMENT] IS BEING SUBMITTED IN PAPER FORMAT UNDER A TEMPORARY HARDSHIP EXEMPTION.
(5) If an NRD filer makes a paper format submission under this section, the NRD filer must resubmit the information in NRD format as soon as practicable and in any event within 10 business days after the unanticipated technical difficulties have been resolved.
[am. B.C. Reg. 118/2007, Sch. A, s. 6.]