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Nunavut - Securities Regulatory Instruments and Notices

NumberTitle Document Type Date PublishedLink
11-102 Passport System Amendment to MI 11-102 2015-12-08 11-102-MI-Amendment-2015.12.08
 
11-102 Passport System Amendment to MI 11-102 2015-05-05 11-102-MI-Amendment-2015.05.05
 
11-102 Passport System Multilateral Instrument 2015-01-11 11-102-MI-2015.01.11
 
11-102 Passport System Companion Policy 2015-05-05 11-102-CP-2015.05.05
 
11-102 Passport System Changes to 11-102CP 2015-05-05 11-102-CP-Changes-2015.05.05
 
11-103 Failure to File Cease Trade Orders Multilateral Instrument 2016.07.07 11-103-MI-2016.07.07
 
11-201 Electronic Delivery of Documents National Policy 2011-11-18 11-201-NP-2011.11.18
 
11-202 Process for Prospectus Reviews in Multiple Jurisdictions National Policy 2009-09-28 11-202-NP-2009.09.28
 
11-203 Process for Exemptive Relief Applications in Multiple Jurisidictions National Policy 2015-05-05 11-203-NP-2015.05.05
 
11-204 Process for Registration in Multiple Jurisdictions National Policy 2009-09-28 11-204-NP-2009.09.28
 
11-205 Process for Designation of Credit Rating Organizations in Multiple Jurisdictions National Policy 2012-04-20 11-205-NP-2012.04.20
 
11-206 Process for Cease to be a Reporting Issuer Applications National Policy 2016-06-23 11-206-NP-2016.06.23
 
11-207 Failure-to-File Cease Trade Orders and Revocations under Passport National Policy 2016-06-23 11-207-NP-2016.06.23
 
11-309 Withdrawal Notice CSA Notice 2006-03-03 11-309-CSA-N-2006.03.03
 
11-310 Withdrawal Notice CSA Notice 2008.12.05 11-310-CSA-N-2008.12.05
 
11-312 National Numbering System CSA Staff Notice 2015-01-29 11-312-CSA-N-2015.01.29
 
11-313 Withdrawal Notice CSA Notice 2010.02.19 11-313-CSA-N-2010.02.19
 
11-314 Update of CSA Instruments CSA Staff Notice 2011-05-06 11-314-CSA-N-2011.05.06
 
11-317 Withdrawal Notice CSA Notice 2012.06.21 11-317-CSA-N-2012.06.21
 
11-318 Guidance for Cease Trade Order Database Users CSA Staff Notice 2012-08-23 11-318-CSA-N-2012.08.23
 
11-323 Withdrawal Notice CSA Notice 2013.09.12 11-323-CSA-N-2013.09.12
 
11-326 Cyber Security CSA Staff Notice 2013-09-26 11-326-CSA-N-2013.09.26
 
11-329 Withdrawal of Notices and Revocation of Omnibus/Blanket Orders CSA Staff Notice 2015-07-16 11-329-CSA-N-2015.07.16
 
12-202 Revocation of Certain Cease Trade Orders National Policy 2011-01-01 12-202-NP-2011.01.01
 
12-203 Management Cease Trade Orders National Policy 2016.06.23 12-203-NP-2016.06.23
 
12-307 Applications for a Decision that an Issuer is not a Reporting Issuer CSA Staff Notice 2012-07-26 12-307-CSA-N-2012.07.26
 
13-101 System for Electronic Document Analysis and Retrieval (SEDAR) Amendment to NI 13-101 2015-12-08 13-101-NI-Amendment-2015.12.08
 
13-101 System for Electronic Document Analysis and Retrieval (SEDAR) National Instrument 2014-01-13 13-101-NI-2014.01.13
 
13-101 System for Electronic Document Analysis and Retrieval (SEDAR) CSA Multilateral Notice 2015-12-03 13-101-CSA-N-2015.12.03
 
13-102 System Fees for SEDAR and NRD Amendment to MI 13-102 2015-12-08 13-102-MI-Amendment-2015.12.08
 
13-102 System Fees for SEDAR and NRD Multilateral Instrument 2015-05-05 13-102-MI-2015.05.05
 
13-317 Amendments to the SEDAR Filer Manual CSA Staff Notice 2010-12-13 13-317-CSA-N-2010.12.13
 
13-318 Changes to www.SEDAR.com CSA Staff Notice 2013-03-28 13-318-CSA-N-2013.03.28
 
13-319 SEDAR Filer Manual Update CSA Staff Notice 2014-01-09 13-319-CSA-N-2014.01.09
 
13-321 Update on new service provider for the operation of the CSA National Systems and implementation of Related Consequential Amendments to CSA National Systems Rules CSA Staff Notice 2013-11-21 13-321-CSA-N-2013.11.21
 
13-322 Service Transition Cutover Date for Information Management Services and implementation of Related Consequential Amendments to CSA National Systems Rules CSA Staff Notice 2014-01-09 13-322-CSA-N-2014.01.09
 
13-323 Frequently Asked Questions About Making Exempt Market Offering and Disclosure Filings on SEDAR CSA Staff Notice 2016-04-21 13-323-CSA-N-2016.04.21
 
14-101 Definitions National Instrument 2011-05-06 14-101-NI-2011.05.06
 
21-101 Marketplace Operation Amendments to NI 21-101 2015-10-01 21-101-NI-Amendment-2015.10.01
 
21-101 Marketplace Operation National Instrument 2014-12-31 21-101-NI-2014.12.31
 
21-101 Marketplace Operation Changes to 21-101CP 2015-10-01 21-101-CP-Changes-2015.10.01
 
21-101 Marketplace Operation Companion Policy 2014-12-31 21-101-CP-2014.12.31
 
21-101 Marketplace Operation CSA Notice of Approval Amendments to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules 2015-06-25 21-101-CSA-N-2015.06.25
 
21-304 Notice of Request for Filing of Form 21-101F5 Initial Operation Report for Information Processor by Interested Information Processors CSA Notice 2006.07.14 21-304-CSA-N-2006.07.14
 
21-312 Update on Consultation Paper 21-401 Real Time Market Data Fees CSA Notice 2013.11.07 21-312-CSA-N-2013.11.07
 
21-313 Information Processor for Exchange-Traded Securities other than Options CSA Staff Notice 2014-06-27 21-313-CSA-2014.06.27
 
21-317 Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market CSA Staff Notice 2016-04-21 21-317-CSA-N-2016.04.21
 
21-318 Information Processor for Corporate Debt Securities CSA Notice 2016.06.23 21-318-CSA-N-2016.06.23
 
21-401 CSA Staff Consultation Paper - Real Time Market Data Fees CSA Notice 2012.11.08 21-401-CSA-N-2012.11.08
 
23-101 Trading Rules Amendment Instrument to NI 23-101 2015-10-01 23-101-NI-2015.10.01
 
23-101 Trading Rules National Instrument 2012-07-01 23-101-NI-2012.07.01
 
23-101 Trading Rules Changes to 23-101CP 2015-10-01 23-101-CP-Changes-2015.10.01
 
23-101 Trading Rules Companion Policy 2012-07-01 23-101-CP-2012.07.01
 
23-101 Trading Rules CSA Notice of Approval Amendments to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules 2015-06-25 23-101-CSA-N-2015.06.25
 
23-102 Use of Client Brokerage Commissions National Instrument 2015-01-11 23-102-NI-2015.01.11
 
23-102 Use of Client Brokerage Commissions Companion Policy 2010-06-30 23-102-CP-2010.06.30
 
23-103 Electronic Trading National Instrument 2014-03-01 23-103-NI-2014.03.01
 
23-103 Electronic Trading Companion Policy 2015-05-05 23-103-CP-2015.05.05
 
23-303 Update on Concept Paper 23-402 Best execution and soft dollar arrangements CSA Notice 2006.01.11 23-303-CSA-N-2006.01.11
 
23-308 CSA/IIROC Joint Staff Notice - Update on Forum to Discuss CSA/IIROC Joint Consultation Paper 23-404 Joint CSA / IIROC Staff Notice 2010.05.28 23-308-CSA-N-2010.05.28
 
23-309 Frequently Asked Questions About the Order Protection Rule and Intentionally Locked or Crossed Markets - Part 6 of NI 23-101 & 23-101CP CSA Staff Notice 2010-06-25 23-309-CSA-N-2010.06.25
 
23-311 Joint CSA/IIROC Staff Notice - Regulatory Approach to Dark Liquidity in the Canadian Market Joint CSA / IIROC Staff Notice 2011.07.29 23-311-CSA-N-2011.07.29
 
23-314 Frequently Asked Questions About National Instrument 23-103 Electronic Trading CSA Notice 2012.12.20 23-314-CSA-N-2012.12.20
 
23-316 Order Protection Rule: Implementation of the Market Share Threshold and Amendments to Companion Policy 23-101 - Trading Rules CSA Notice 2016.06.20 23-316-CSA-N-2016.06.20
 
23-402 CSA Concept Paper: Best Execution and Soft Dollar Arrangements CSA Notice 2005.02.04 23-402-CSA-N-2005.02.04
 
23-404 Joint CSA/IIROC Consultation Paper: Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada Joint CSA / IIROC Staff Notice 2009.09.30 23-404-CSA-N-2009.09.30
 
24-101 Institutional Trade Matching and Settlement National Instrument 2015-01-11 24-101-NI-2015.01.11
 
24-101 Institutional Trade Matching and Settlement Companion Policy 2010-07-01 24-101-CP-2010.07.01
 
24-102 Clearing Agency Requirements National Instrument 2016.07.07 24-102-NI-2016.07.07
 
24-102 Clearing Agency Requirements Companion Policy 2016.07.07 24-102-CP-2016.07.07
 
24-102 Notice of Approval - NI24-102, 24-102CP and Notice, Request for Comments for Proposed Amendments to 24-102CP CSA Notice of Approval Amendments to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules 2015.12.03 24-102-CSA-N-2015.12.03
 
24-302 Entitlement Payments to The Canadian Depository for Securities Limited (CDS) CSA Staff Notice 2006-03-03 24-302-CSA-N-2006.03.03
 
24-305 Frequently Asked Questions About National Instrument 24-101 Institutional Trade Matching and Settlement CSA Staff Notice 2011.05.06 24-305-CSA-N-2011.05.06
 
24-306 National Instrument 24-101 Institutional Trade Matching and Settlement - Exception Reporting CSA Staff Notice 2008-02-01 24-306-CSA-N-2008.02.01
 
24-312 Preparing for the Implementation of T+2 Settlement CSA Staff Notice 2015-04-02 24-312-CSA-N-2015.04.02
 
24-314 Preparing for the Implementation of T+2 Settlement: Letter to Registered Firms CSA Staff Notice 2016.05.06 24-314-CSA-N-2016.05.26
 
25-101 Designated Rating Organizations National Instrument 2015-05-05 25-101-NI-2015.05.05
 
25-201 Guidance for Proxy Advisory Firms National Policy 2015-04-30 25-201-NP-2015.04.30
 
31-102 National Registration Database National Instrument 2014-01-13 31-102-NI-2014.01.13
 
31-102 National Registration Database Companion Policy 2009-09-28 31-102-CP-2009.09.28
 
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations National Instrument 2015-05-05 31-103-NI-2015.05.05
 
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Companion Policy 2015-05-05 31-103-CP-2015.05.05
 
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Notice of Amendments to NI 31-103, NI 33-109, NI 52-107 and Changes to Related Companion Policies 2014-10-16 31-103-CSA-N-2014.10.16
 
31-202 Registration Requirement for Investment Fund Managers Multilateral Policy 2012-09-28 31-202-MP-2012.09.28
 
31-317 Reporting Obligations Related to Terrorist Financing for Registrants, Exempt International Dealers, and Exempt International Advisers CSA Staff Notice 2010-07-30 31-317-CSA-N-2010.07.30
 
31-323 Guidance Relating to the Registration Obligations of Mortgage Investment Entities CSA Staff Notice 2011-02-25 31-323-CSA-N-2011.02.25
 
31-324 Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions CSA Staff Notice 2011-06-22 31-324-CSA-N-2011.06.22
 
31-325 Marketing Practices of Portfolio Managers CSA Staff Notice 2011-07-05 31-325-CSA-N-2011.07.05
 
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers CSA Staff Notice 2013-01-17 31-332-CSA-N-2013.01.17
 
31-334 CSA Review of Relationship Disclosure Practices CSA Staff Notice 2013-07-18 31-334-CSA-N-2013.07.18
 
31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations CSA Staff Notice 2014-01-09 31-336-CSA-N-2014.01.09
 
31-338 Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization CSA Staff Notice 2014-05-01 31-338-CSA-N-2014.05.01
 
31-339 Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of NI 31-103 CSA Staff Notice 2014-05-29 31-339-CSA-N-2014.05.29
 
31-340 OBSI Joint Regulators Committee Annual Report for 2014 CSA Staff Notice 2015-03-19 31-340-CSA-N-2015.03.19
 
31-341 Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Staff Notice 2015-05-21 31-341-CSA-N-2015.05.21
 
31-342 Guidance for Portfolio Managers Regarding Online Advice CSA Staff Notice 2015-09-24 31-342-CSA-N-2015.09.24
 
31-343 Conflicts of interest in distributing securities of related or connected issuers CSA Staff Notice 2015-11-19 31-343-CSA-N-2015.11.19
 
31-344 OBSI Joint Regulators Committee Annual Report for 2015 CSA Staff Notice 2016.04.07 31-344-CSA-N-2016.04.07
 
31-345 Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance CSA Staff Notice 2016-04-14 31-345-CSA-N-2016.04.14
 
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 CSA Staff Notice 2015-03-26 32-301-CSA-N-2015.03.26
 
33-105 Underwriting Conflicts National Instrument 2015-09-08 33-105-NI-2015.09.08
 
33-105 Underwriting Conflicts Amendments to NI 33-105 2015-09-08 33-105-NI-Amendment-2015.09.08
 
33-105 Underwriting Conflicts Companion Policy 2009-09-28 33-105-CP-2009.09.28
 
33-105 Underwriting Conflicts CSA Notice of Amendments to National Instrument 33-105 Underwriting Conflicts 2015-06-25 33-105-CSA-N-2015.06.25
 
33-109 Registration Information National Instrument 2015-01-11 33-109-NI-2015.01.11
 
33-109 Registration Information Companion Policy 2015-01-11 33-109-CP-2015.01.11
 
33-315 Suitability Obligation and Know Your Product CSA Staff Notice 2009-09-02 33-315-CSA-N-2009.09.02
 
33-316 Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisors and Dealers CSA Staff Notice 2013.12.17 33-316-CSA-N-2013.12.17
 
33-317 Next Steps in the CSA's work to Enhance the obligations of Advisors, Dealers and Respresentatives Toward Their Clients CSA Staff Notice 2016-03-31 33-317-CSA-N-2016.03.31
 
33-403 The Standard of Conduct for Advisors and Dealers CSA Consultation Paper 2012.10.25 33-403-CSA-N-2012.10.25
 
33-404 Proposals to Enhance the Obligations of Advisors, Dealers, and Representatives Toward Their Clients CSA Consultation Paper 2016.04.28 33-404-CSA-N-2016.04.28
 
34-202 Registrants Acting as Corporate Directors Amendment 2009.09.28 34-202-MP-Amendment-2009.09.28
 
34-202 Registrants Acting as Corporate Directors Consolidation 2009.09.28 34-202-MP-Consolidation-2009.09.28
 
34-202 Registrants Acting as Corporate Directors Multilateral Policy 2004.12.13 34-202-MP-2004.12.13
 
35-101 Conditional Exemption From Registration for United States Broker-Dealers and Agents National Instrument 2005-05-16 35-101-NI-2005.05.16
 
35-101 Conditional Exemption From Registration for United States Broker-Dealers and Agents Companion Policy 2005-05-16 35-101-CP-2005.05.16
 
41-101 General Prospectus Requirements Amendments to NI 41-101 2015-12-08 41-101-NI-Amendment-2015.12.08
 
41-101 General Prospectus Requirements Amendments to NI 41-101 2015-11-17 41-101-NI-Amendment-2015.11.17
 
41-101 General Prospectus Requirements Amendments to NI 41-101 2015-06-30 41-101-NI-Amendment-2015.06.30
 
41-101 General Prospectus Requirements National Instrument 2015-05-05 41-101-NI-2015.05.05
 
41-101 General Prospectus Requirements Changes to 41-101CP 2015-12-08 41-101-CP-Changes-2015.12.08
 
41-101 General Prospectus Requirements Changes to 41-101CP 2015-06-30 41-101-CP-Changes-2015.06.30
 
41-101 General Prospectus Requirements Companion Policy 2013-08-13 41-101-CP-2013.08.13
 
41-101 General Prospectus Requirements CSA Notice and Request for Comment CSA Mutual Fund Risk Classification Methodology For Use in Fund Facts and ETF Facts Proposed Amendments to National Instrument 81-102 Investment Funds and Related Consequential Amendments 2015-12-10 41-101-CSA-N-2015.12.10
 
41-101 General Prospectus Requirements CSA Notice of Amendments Relating to Rights Offerings to NI45-106, NI41-101, NI44-101, NI45-102 and Repeal of NI45-101 2015-09-24 41-101-CSA-N-2015.09.24
 
41-101 General Prospectus Requirements CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 41-101-CSA-N-2015.09.03
 
41-101 General Prospectus Requirements CSA Notice and Request For Comment - Amendments to National Instrument 41-101 General Prospectus Requirements and Related Consequential Amendments 2015-06-18 41-101-CSA-N-2015.06.18
 
41-201 Income Trusts and Other Indirect Offerings National Policy 2013-08-13 41-201-NP-2013.08.13
 
41-305 Share Structure Issues Initial Public Offerings CSA Staff Notice 2010-09-24 41-305-CSA-N-2010.09.24
 
41-306 IFRS Transition - Prospectus Issues CSA Staff Notice 2011.09.29 41-306-CSA-N-2011.09.29
 
41-307 Corporate Finance Prospectus Guidance CSA Staff Notice 2012-03-02 41-307-CSA-N-2012.03.02
 
43-101 Standards of Disclosure for Mineral Projects National Instrument 2011-06-30 43-101-NI-2011.06.30
 
43-101 Standards of Disclosure for Mineral Projects Companion Policy 2011-06-30 43-101-CP-2011.06.30
 
43-306 Technical reports filed for prospectus offerings CSA Staff Notice 2006-06-02 43-306-CSA-N-2006.06.02
 
43-307 Mining Technical Reports - Preliminary Economic Assessments CSA Staff Notice 2012-08-16 43-307-CSA-N-2012.08.16
 
43-308 Professional Associations under NI 43-101 Standards of Disclosure for Mineral Projects CSA Staff Notice 2013-02-21 43-308-CSA-N-2013.02.21
 
43-309 Review of Website Investor Presentations by Mining Issuers CSA Staff Notice 2015-04-09 43-309-CSA-N-2015.04.11
 
44-101 Short Form Prospectus Distributions Amendments to NI 44-101 2015-12-08 44-101-NI-Amendment-2015.12.08
 
44-101 Short Form Prospectus Distributions Amendments to NI 44-101 2015-11-17 44-101-NI-Amendment-2015.11.17
 
44-101 Short Form Prospectus Distributions National Instrument 2014-04-11 44-101-NI-2014.04.11
 
44-101 Short Form Prospectus Distributions Companion Policy 2013-08-13 44-101-CP-2013.08.13
 
44-101 Short Form Prospectus Distributions CSA Notice of Amendments Relating to Rights Offerings to NI45-106, NI41-101, NI44-101, NI45-102 and Repeal of NI45-101 2015-09-24 44-101-CSA-N-2015.09.24
 
44-101 Short Form Prospectus Distributions CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 44-101-CSA-N-2015.09.03
 
44-102 Shelf Distributions National Instrument 2014-01-14 44-102-NI-2014.01.14
 
44-102 Shelf Distributions Companion Policy 2013-08-13 44-102-CP-2013.08.13
 
44-103 Post-receipt Pricing National Instrument 2013-08-13 44-103-NI-2013.08.13
 
44-103 Post-receipt Pricing Companion Policy 2013-08-13 44-103-CP-2013.08.08
 
44-304 Linked notes distributed under shelf prospectus system CSA Staff Notice 2007-07-20 44-304-CSA-N-2007.07.20
 
44-305 2015 Update - Structured Notes Distributed Under the Shelf Prospectus System CSA Staff Notice 2015-01-22 44-305-CSA-N-2015.01.22
 
45-102 Resale of Securities Amendment to NI 45-102 2015-12-08 45-102-NI-Amendment-2015.12.08
 
45-102 Resale of Securities National Instrument 2015-05-05 45-102-NI-2015.05.05
 
45-102 Resale of Securities Companion Policy 2015-05-05 45-102-CP-2015.05.05
 
45-102 Resale of Securities CSA Notice of Amendments Relating to Rights Offerings to NI45-106, NI41-101, NI44-101, NI45-102 and Repeal of NI45-101 2015-09-24 45-102-CSA-N-2015.09.24
 
45-106 Prospectus Exemptions Amendment Instrument to NI 45-106 2015-12-08 45-106-NI-Amendment-2015.12.08
 
45-106 Prospectus Exemptions Amendments to NI 45-106 2015-11-17 45-106-NI-Amendment-2015.11.17
 
45-106 Prospectus Exemptions National Instrument 2015-05-05 45-106-NI-2015.05.05
 
45-106 Prospectus Exemptions Changes to CP 45-106 2015-12-08 45-106-CP-Changes-2015.12.08
 
45-106 Prospectus Exemptions Companion Policy 2015-05-05 45-106-CP-2015.05.05
 
45-106 Prospectus Exemptions CSA Notice of Amendments Relating to Rights Offerings to NI45-106, NI41-101, NI44-101, NI45-102 and Repeal of NI45-101 2015-09-24 45-106-CSA-N-2015.09.24
 
45-106 Prospectus Exemptions CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 45-106-CSA-N-2015.09.03
 
45-106 Prospectus Exemptions CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution 2015-08-13 45-106-CSA-N-2015.08.13
 
45-107 Listing Representation and Statutory Rights of Action Disclosure Exemptions Multilateral Instrument 2015-09-08 45-107-MI-2015.09.08
 
45-107 Listing Representation and Statutory Rights of Action Disclosure Exemptions Multilateral CSA Notice Multilateral Instrument 45-107 Listing Representation and Statutory Rights of Action Disclosure Exemptions 2015-06-25 45-107-CSA-N-2015.06.25
 
45-304 Notice of Local Exemptions Related to National Instrument 45-106 Prospectus and Registration Exemptions and National Instrument 31-103 Registration Requirements and Exemptions CSA Staff Notice 2015-05-21 45-304-CSA-N-2015.05.21
 
45-307 Regulatory Developments Regarding Securitization CSA Staff Notice 2010.06.18 45-307-CSA-N-2010.06.18
 
45-308 Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus and Registration Exemptions - Revised CSA Staff Notice 2015-06-25 45-308-CSA-N-2015.06.25
 
45-309 Guidance for Preparing and Filing an Offering Memorandum under National Instrument 45-106 Prospectus and Registration Exemptions Multilateral CSA Staff Notice 2012-04-26 45-309-CSA-N-MI-2012.04.26
 
45-311 Exemptions from Certain Financial Statement-Related Requirements in the Offering Memorandum Exemption to Facilitate Access to Capital by Small Businesses Multilateral CSA Staff Notice 2012-12-20 45-311-CSA-N-MI-2012.12.20
 
45-313 Prospectus Exemption for Distributions to Existing Security Holders Multilateral CSA Staff Notice 2014-03-13 45-313-CSA-N-MI-2014.03.13
 
45-314 Updated List of Current CSA Exempt Market Initiatives CSA Staff Notice 2016.01.28 45-314-CSA-N-2016.01.28
 
46-201 Escrow for Initial Public Offerings Amendment to NP 46-201 2015-11-17 46-201-NP-Amendment-2015.11.17
 
46-201 Escrow for Initial Public Offerings National Policy 2010-01-25 46-201-NP-2010.01.25
 
46-201 Escrow for Initial Public Offerings CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 46-201-CSA-N-2015.09.03
 
46-303 Principal Protected Notes CSA Staff Notice 2006-07-07 46-303-CSA-N-2006.07.07
 
46-304 Update on Principal Protected Notes CSA Staff Notice 2007-07-27 46-304-CSA-N-2007.07.27
 
46-305 Second Update on Principal Protected Notes CSA Staff Notice 2008-08-29 46-305-CSA-N-2008.08.29
 
46-306 Third Update on Principal Protected Notes CSA Staff Notice 2012-08-30 46-306-CSA-N-2012.08.30
 
47-201 Trading Securities Using the Internet and Other Electronic Means Changes to NP 47-201 2013-08-13 47-201-NP-Changes-2013.08.13
 
47-201 Trading Securities Using the Internet and Other Electronic Means National Policy 2010-01-25 47-201-NP-2010.01.25
 
51-101 Standards of Disclosure for Oil and Gas Activities National Instrument 2015-07-02 51-101-NI-2015.07.02
 
51-101 Standards of Disclosure for Oil and Gas Activities Amendments to NI 51-101 2015-07-02 51-101-NI-Amendment-2015.07.02
 
51-101 Standards of Disclosure for Oil and Gas Activities Companion Policy 2015-07-02 51-101-CP-2015.07.02
 
51-101 Standards of Disclosure for Oil and Gas Activities Companion Policy 2010-12-30 51-101-CP-2010.12.30
 
51-101 Standards of Disclosure for Oil and Gas Activities CSA Staff Notice 51-345 Disclosure of Abandonment and Reclamation Costs in National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities 2015-11-05 51-101-CSA-N-2015.11.05
 
51-101 Standards of Disclosure for Oil and Gas Activities CSA Notice of Amendments to NI 51-101 and Changes to 51-101CP 2014.11.27 51-101-CSA-N-2014.11.27
 
51-102 Continuous Disclosure Obligations Amendments to NC 51-102 2015-11-17 51-102-NI-Amendment-2015.11.17
 
51-102 Continuous Disclosure Obligations Amendments to NI 51-102 2015-06-30 51-102-NI-Amendment-2015.06.30
 
51-102 Continuous Disclosure Obligations National Instrument 2015-05-05 51-102-NI-2015.05.05
 
51-102 Continuous Disclosure Obligations Changes to 51-102CP 2015-06-30 51-102-CP-Changes-2015.06.30
 
51-102 Continuous Disclosure Obligations Companion Policy 2015-02-19 51-102-CP-2015.02.19
 
51-102 Continuous Disclosure Obligations CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 51-102-CSA-N-2015.09.03
 
51-102 Continuous Disclosure Obligations CSA Notice of Amendments to NI 51-102, NI 41-101 and NI 52-110 2015-04-09 51-102-CSA-N-2015.04.09
 
51-105 Issuers Quoted in the U.S. Over-the-Counter Markets Amendments to MI 51-105 2015-11-17 51-105-MI-2015.11.17
 
51-105 Issuers Quoted in the U.S. Over-the-Counter Markets Multilateral Instrument 2012-07-31 51-105-MI-2012.07.31
 
51-105 Issuers Quoted in the U.S. Over-the-Counter Markets Companion Policy 2015-05-05 51-105-CP-2015.05.05
 
51-105 Issuers Quoted in the U.S. Over-the-Counter Markets CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 51-105-CSA-N-2015.09.03
 
51-201 Disclosure Standards National Policy 2013-05-31 51-201-NP-2013.05.31
 
51-309 Standards of Disclosure for Oil and Gas Activities-Acceptance of Certain Foreign Professional Boards as a "Professional Organization" CSA Staff Notice 2007-03-09 51-309-CSA-N-2007.03.09
 
51-311 Frequently asked questions regarding National Instrument 51-102 Continuous Disclosure Obligations CSA Staff Notice 2007-05-04 51-311-CSA-N-2007.05.04
 
51-312 Harmonized Continuous Disclosure Review Program CSA Staff Notice 2009-07-24 51-312-CSA-N-2009.07.24
 
51-316 Continuous Disclosure Review of Smaller Issuers CSA Staff Notice 2005-12-14 51-316-CSA-N-2005.12.14
 
51-320 Options Backdating CSA Staff Notice 2006-09-08 51-320-CSA-N-2006.09.08
 
51-322 Reporting Issuer Defaults CSA Staff Notice 2006-12-15 51-322-CSA-N-2006.12.15
 
51-323 XBRL filing program and request for volunteers CSA Staff Notice 2007-01-19 51-323-CSA-N-2007.01.19
 
51-324 Glossary to NI 51-101 Standards of Disclosure for Oil and Gas Activities CSA Staff Notice 2010-12-30 51-324-CSA-N-2010.12.30
 
51-324 Glossary to NI 51-101 Standards of Disclosure for Oil and Gas Activities CSA Staff Notice 2007-12-28 51-324-CSA-N-2007.12.28
 
51-327 Guidance on Oil and Gas Disclosure - Revised CSA Staff Notice 2011-12-29 51-327-CSA-N-2011.12.29
 
51-330 Guidance Regarding the Application of Forward-looking Information Requirements under National Instrument 51-102 Continuous Disclosure Obligations CSA Staff Notice 2009-11-20 51-330-CSA-N-2009.11.20
 
51-333 Environmental Reporting Guidance CSA Staff Notice 2010-10-27 51-333-CSA-N-2010.10.27
 
51-336 Issuers Using Mass Advertising CSA Staff Notice 2011-09-13 51-336-CSA-N-2011.09.13
 
51-338 Continuous Disclosure and Prospectus Requirements Relating to Documents Prepared Under the U.S. Securities and Exchange Act of 1934 CSA Staff Notice 2013-03-07 51-338-CSA-N-2013.03.07
 
51-342 Staff Review of Issuers Entering Into Medical Marijuana Business Opportunities CSA Staff Notice 2015-02-23 51-342-CSA-N-2015.02.23
 
51-343 Venture Issuers with Securities Listed on the Bolsa de Santiago, Venture Market CSA Staff Notice 2015-04-16 51-343-CSA-N-2015.04.16
 
51-344 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2015 CSA Staff Notice 2015-07-16 51-344-CSA-N-2015.07.16
 
51-345 Disclosure of Abandonment and Reclamation Costs in National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities CSA Staff Notice 2015-11-05 51-345-CSA-N-2015.11.05
 
52-107 Acceptable Accounting Principles and Auditing Standards National Instrument 2015-05-05 52-107-NI-2015.05.05
 
52-108 Auditor Oversight National Instrument 2014-09-30 52-108-NI-2014.09.30
 
52-108 Auditor Oversight Companion Policy 2014-09-30 52-108-CP-2014.09.30
 
52-109 Certificate of Disclosure in Issuers' Annual and Interim Filings Amendments to NI 52-109 2015-11-17 52-109-NI-Amendments-2015.11.17
 
52-109 Certificate of Disclosure in Issuers' Annual and Interim Filings National Instrument 2011-01-01 52-109-NI-2011.01.01
 
52-109 Certificate of Disclosure in Issuers' Annual and Interim Filings Companion Policy 2011-01-01 52-109-CP-2011.01.01
 
52-109 Certificate of Disclosure in Issuers' Annual and Interim Filings CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 52-109-CSA-N-2015.09.03
 
52-110 Audit Committees Amendments to NI 52-110 2015-11-17 52-110-NI-Amendment-2015.11.17
 
52-110 Audit Committees Amendments to NI 52-110 2015-06-30 52-110-NI-Amendment-2015.06.30
 
52-110 Audit Committees National Instrument 2011-01-01 52-110-NI-2011.01.01
 
52-110 Audit Committees Companion Policy 2008-03-17 52-110-CP-2008.03.17
 
52-110 Audit Committees CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 52-110-CSA-N-2015.09.03
 
52-110 Audit Committees CSA Notice of Amendments to NI 51-102, NI 41-101 and NI 52-110 2015-04-09 52-110-CSA-N-2015.04.09
 
52-306 Non-GAAP Financial Measures and Additional GAAP Measures CSA Staff Notice 2012-02-17 52-306-CSA-N-2012.02.17
 
52-311 Required Forms of Certificates under MI 52-109 CSA Staff Notice 2005-12-16 52-311-CSA-N-2005.12.16
 
52-312 Audit Committee Compliance Review CSA Staff Notice 2006.01.13 52-312-CSA-N-2006.01.13
 
52-316 Certification of Design of Internal Control Over Financial Reporting CSA Staff Notice 2006-09-22 52-316-CSA-N-2006.09.22
 
52-318 Audit Committee Follow-Up Compliance Review CSA Staff Notice 2007.06.29 52-318-CSA-N-2007.06.29
 
52-320 Disclosure of Expected Changes in Accounting Policies Relating to Changeover to International Financial Reporting Standards CSA Staff Notice 2008-05-09 52-320-CSA-N-2008.05.09
 
52-325 Certification Compliance Review CSA Staff Notice 2009.09.11 52-325-CSA-N-2009.09.11
 
52-326 IFRS Transition Disclosure Review CSA Staff Notice 2010.07.23 52-326-CSA-N-2010.07.23
 
52-327 Certification Compliance Update CSA Staff Notice 2010.10.15 52-327-CSA-N-2010.10.15
 
54-101 Communication with Beneficial Owners of Securities of A Reporting Issuer National Instrument 2013-02-11 54-101-NI-2013.02.11
 
55-101 Insider Reporting Exemptions REPEALED
 
55-103 Insider Reporting for Certain Derivative Transactions (Equity Monetization) REPEALED
 
55-104 Insider Reporting Requirements and Exemptions National Instrument 2010-04-30 55-104-NI-2010.04.30
 
55-104 Insider Reporting Requirements and Exemptions Companion Policy 2010-04-30 55-104-CP-2010.04.30
 
55-312 Insider Reporting Guidelines for Certain Derivative Transactions (Equity Monetization) (REVISED) CSA Staff Notice 2010-06-11 55-312-CSA-N-2010.06.11
 
55-315 Frequently Asked Questions about National Instrument 55-104 Insider Reporting Requirements and Exemptions CSA Staff Notice 2010-04-28 55-315-CSA-N-2010.04.28
 
55-316 Questions and Answers on Insider Reporting and the System for Electronic Disclosure by Insiders (SEDI) CSA Staff Notice 2010-06-11 55-316-CSA-N-2010.06.11
 
58-101 Disclosure of Corporate Governance Practices Amendments to NI 58-101 2015-11-17 58-101-NI-Amendment-2015.11.17
 
58-101 Disclosure of Corporate Governance Practices National Instrument 2014-12-31 58-101-NI-2014.12.31
 
58-101 Disclosure of Corporate Governance Practices CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 58-101-CSA-N-2015.09.03
 
58-201 Corporate Governance Guidelines National Policy 2011-07-18 58-201-NP-2011.07.18
 
58-307 Staff Review of Women on Boards and in Executive Officer Positions - Compliance with NI 58-101 Disclosure of Corporate Governance Practices CSA Staff Notice 2015.09.28 58-307-CSA-N-2015.09.28
 
62-103 The Early Warning System and Related Take-over Bid and Insider Reporting Issues National Instrument 2015-05-05 62-103-NI-2015.05.05
 
62-104 Take-Over Bids and Issuer Bids Multilateral Instrument 2015-05-05 62-104-MI-2015.05.05
 
62-202 Take-Over Bids Defensive Tactics National Policy 2010-01-25 62-202-NP-2010.01.25
 
62-203 Take-Over Bids and Issuer Bids National Policy 2008-02-01 62-203-NP-2008.02.01
 
62-305 Varying the Terms of Take-Over Bids CSA Staff Notice 2009.12.18 62-305-CSA-N-2009.12.18
 
71-101 The Multijurisdictional Disclosure System National Instrument 2006-09-19 71-101-NI-2006.09.19
 
71-101 The Multijurisdictional Disclosure System Companion Policy 2006-09-19 71-101-CP-2006.09.19
 
71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers Amendment Instrument to NI 71-102 2015-11-17 71-102-NI-2015.11.17
 
71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers National Instrument 2014-09-30 71-102-NI-2014.09.30
 
71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers Companion Policy 2014-09-30 71-102-CP-2014.09.30
 
71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 71-102-CSA-N-2015.09.03
 
81-101 Mutual Fund Prospectus Disclosure Amendment Instrument to NI 81-101 2015-11-17 81-101-NI-Amendment-2015.11.17
 
81-101 Mutual Fund Prospectus Disclosure National Instrument 2015-03-11 81-101-NI-2015.03.11
 
81-101 Mutual Fund Prospectus Disclosure Companion Policy 2015-03-11 81-101-CP-2015.03.11
 
81-101 Mutual Fund Prospectus Disclosure CSA Notice and Request for Comment CSA Mutual Fund Risk Classification Methodology For Use in Fund Facts and ETF Facts Proposed Amendments to National Instrument 81-102 Investment Funds and Related Consequential Amendments 2015-12-10 81-101-CSA-N-2015.12.10
 
81-101 Mutual Fund Prospectus Disclosure CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. 2015-09-03 81-101-CSA-N-2015.09.03
 
81-102 Investment Funds National Instrument 2015-01-01 81-102-NI-2015.01.01
 
81-102 Investment Funds CSA Notice and Request for Comment CSA Mutual Fund Risk Classification Methodology For Use in Fund Facts and ETF Facts Proposed Amendments to National Instrument 81-102 Investment Funds and Related Consequential Amendments 2015-12-10 81-102-CSA-N-2015.12.10
 
81-104 Commodity Pools National Instrument 2014-09-22 81-104-NI-2014.09.22
 
81-104 Commodity Pools Companion Policy 2014-09-22 81-104-CP-2014.09.22
 
81-105 Mutual Fund Sales Practices National Instrument 2014-09-22 81-105-NI-2014.09.22
 
81-106 Investment Fund Continuous Disclosure National Instrument 2014-09-22 81-106-NI-2014.09.22
 
81-106 Investment Fund Continuous Disclosure Companion Policy 2014-09-22 81-106-CP-2014.09.22
 
81-107 Independent Review Committee For Investment Funds National Instrument 2015-01-11 81-107-NI-2015.01.11
 
81-314 Removal of Foreign Content Restrictions for Registered Plans CSA Staff Notice 2005-03-18 81-314-CSA-N-2005.03.18
 
81-315 Frequently asked questions on National Instrument 81-106 Investment Fund Continuous Disclosure CSA Staff Notice 2005-11-25 81-315-CSA-N-2005.11.25
 
81-316 Hedge Funds CSA Staff Notice 2007-01-12 81-316-CSA-N-2007.01.12
 
81-317 Frequently Asked Questions on National Instrument 81-107 Independent Review Committee For Investment Funds CSA Staff Notice 2007-03-30 81-317-CSA-N-2007.03.30
 
81-320 Update on International Financial Reporting Standards for Investment Funds CSA Staff Notice 2012.03.30 81-320-CSA-N-2012.03.30
 
81-321 Early Use of the Fund Facts to Satisfy Prospectus Delivery Requirements CSA Staff Notice 2011-02-24 81-321-CSA-N-2011.02.24
 
81-323 Status Report on Consultation under CSA Discussion Paper and Request for Comment 81-407 Mutual Fund Fees CSA Staff Notice 2013.12.17 81-323-CSA-N-2013.12.17
 
81-327 Next Steps in the CSA's Examination of Mutual Fund Fees CSA Staff Notice 2016.06.29 81-327-CSA-N-2016.06.29
 
81-407 Discussion Paper and Request for Comment 81-407 Mutual Fund Fees CSA Staff Notice 2012.12.13 81-407-CSA-N-2012.12.13
 
91-101 Multilateral Instrument Multilateral Instrument 2016.07.07 91-101-MI-2016.07.07
 
91-101 Notice of Amendments to Multilateral Instrument 91-101 Derivatives: Product Determination and Multilateral Instrument 96-101 Trade Respositories and Derivatives Data Reporting and Changes to Related Companion Policies Amendment Notice 2016.06.30 91-101-MI-Amendment-2016.06.30
 
91-101 Companion Policy Companion Policy 2016.07.07 91-101-CP-2016.07.07
 
91-101 Notice of Approval - Multilateral Instrument 91-101 and 91-101CP - Derivatives: Product Determination, and Multilateral Instrument 96-101 and 96-101CP - Trade Repositories and Derivatives Data Reporting CSA Multilateral Notice of Approval 2016.01.22 91-101-CSA-N-2016.01.22
 
91-301 Model Provincial Rules - Derivatives: Product Determination and Trade Repositories and Derivatives Data Reporting CSA Staff Notice 2012.12.06 91-301-CSA-N-2012.12.06
 
91-302 Update Model Rules - Derivatives Product Determination and Trade Repositories and Derivatives Data Reporting CSA Multilateral Staff Notice 2013.06.06 91-302-CSA-N-2013.06.06
 
91-303 Proposed Model Provincial Rule on Manditory Central Counterparty Clearing of Derivatives CSA Staff Notice 2013.12.19 91-303-CSA-N-2013.12.19
 
91-304 Model Provincial Rule -Derivatives: Customer Clearing and Protection of Customer Collateral and Positions CSA Staff Notice 2014.01.16 91-304-CSA-N-2014.01.16
 
94-101 Proposed National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (2nd Publication) Proposed Companion Policy 94-101CP Mandatory Central Counterparty Clearing of Derivatives (2nd Publication) CSA Staff Notice and Request for Comment 2016.02.24 94-101-CSA-N-2016.02.24
 
94-102 Proposed National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions; Proposed Companion Policy 94-102CP Derivatives: Customer Clearing and Protection of Customer Collateral and Positions CSA Staff Notice and Request for Comment 2016.01.21 94-102-CSA-N-2016.01.21
 
95-401 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives CSA Consultation Paper 2016.07.07 95-401-CSA-N-2016.07.07
 
96-101 Multilateral Instrument Multilateral Instrument 2016.07.07 96-101-MI-2016.07.07
 
96-101 Notice of Amendments to Multilateral Instrument 91-101 Derivatives: Product Determination and Multilateral Instrument 96-101 Trade Respositories and Derivatives Data Reporting and Changes to Related Companion Policies Amendment Notice 2016.06.30 96-101-MI-Amendment-2016.06.30
 
96-101 Companion Policy Companion Policy 2016.07.07 96-101-CP-2016.07.07
 
96-101 Notice of Approval - Multilateral Instrument 91-101 and 91-101CP - Derivatives: Product Determination, and Multilateral Instrument 96-101 and 96-101CP - Trade Repositories and Derivatives Data Reporting CSA Multilateral Notice of Approval 2016.01.22 96-101-CSA-N-2016.01.22
 
96-301 Matters Related to the Coming into Force of MI 91-101 - Derivatives Product Determination, and MI 96-101 - Trade Repositories and Derivatives Data Reporting CSA Multilateral Staff Notice 2016.06.17 96-301-CSA-N-2016.06.17
 
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