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This document provides the regulations and conditions under which broker-dealers and agents from the United States can operate without being registered in Canadian jurisdictions. It defines key terms
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How to fill out NATIONAL INSTRUMENT 35-101

01
Obtain a copy of the NATIONAL INSTRUMENT 35-101 form from the appropriate regulatory authority's website.
02
Read the accompanying instructions carefully to understand the requirements associated with the form.
03
Fill out the identifying information section, including your name, address, and contact details.
04
Complete the sections regarding the type of securities or trading activities you are engaged in.
05
Provide accurate details of any previous regulatory proceedings or compliance issues, if applicable.
06
Review the definitions and compliance obligations outlined in the instrument to ensure all information is correctly provided.
07
Sign and date the form, certifying that the information provided is true and complete.
08
Submit the filled form according to the submission guidelines provided by the regulatory authority.
09
Keep a copy of the submitted form for your records.

Who needs NATIONAL INSTRUMENT 35-101?

01
Individuals or entities that are involved in the trading of securities within the scope of Canadian securities regulations.
02
Securities industry participants such as dealers, advisers, and other market participants who are subject to the requirements of the National Instrument.
03
Compliance officers and legal advisors who assist organizations in meeting their regulatory obligations.
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NATIONAL INSTRUMENT 35-101 is a regulatory framework governing the registration requirements for dealers and advisors in Canada, designed to enhance investor protection and ensure proper conduct in the securities market.
Individuals and firms that engage in trading or advising in securities must file under NATIONAL INSTRUMENT 35-101, including registered dealers and advisors operating or soliciting clients in Canada.
To fill out NATIONAL INSTRUMENT 35-101, applicants must complete the required forms, provide necessary supporting documents, disclose their business practices, and submit the application to the relevant securities regulatory authority.
The purpose of NATIONAL INSTRUMENT 35-101 is to set registration requirements for securities professionals to promote market integrity, protect investors, and establish standards for the conduct of professionals in the financial industry.
Information required includes the identity and background of registrants, their business practices, financial disclosures, compliance history, and any other relevant information that helps assess their suitability for registration.
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Relevant keywords

broker-dealer agent securities exemption registration foreign security NASD Canada USA Securities Act

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