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Registration Reform - National Instrument 31-103
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  Self-Regulatory Organizations (SROs)
 

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A Self-Regulatory Organization (SRO) is a non-government entity that represents registrants who are members of the organization and is responsible for regulating the operations, standards of practice, and business conduct of its members and their representatives in order to protect investors and public interest.

The Securities Act provides the New Brunswick Securities Commission with the power to recognize SROs.

There are currently two SROs recognized by the New Brunswick Securities Commission:

Mutual Funds Dealers Association (MFDA)

Instruments Out for Public Comment
None at this time
 


Public Comments Under Review 
None at this time
Title Published Closed  
 


Instrument in Force
Recognition to the Mutual Fund Dealers’ Association of Canada (MFDA) as a Self-Regulatory Organization (SRO) in New Brunswick
28 November 2008 Terms of Recognition  
28 November 2008 Recognition Order  

History
9 November 2006 Request for Comment
23 June 2008 CSA Notice  
23 June 2008 Schedules A & B  
23 June 2008 Consent Order  
25 March 2008 Variation Order  
23 July 2007 Recognition of Self-Regulatory Organization  
23 July 2007 MFDA - Terms and Conditions  
23 July 2007 NBSC’s Notice of Recognition Order  


Investment Industry Regulatory Organization of Canada (IIROC) 

Instruments Out for Public Comment
None at this time
 


Public Comments Under Review 
None at this time
     
     


Instrument in Force
Recognition of Investment Industry Regulatory Organization of Canada (IIROC) as a Self-Regulatory Organization (SRO) in New Brunswick
7 June 2010 Variation and Restatement of Recognition Order  
1 June 2008 Recognition Order
26 May 2008 NBSC Notice  


History
8 February 2008 Joint Rule Review Protocol  
8 February 2008 Memorandum of Understanding
8 February 2008 Recognition Order
8 February 2008 By-Law No. 1
8 February 2008 Application for Recognition
8 February 2008 Request for Comment