Securities Office: Decisions, Orders and Rules

Page last updated November 27, 2015

CATEGORY 1 - Procedure and Related Matters

11-803 - Implementation of CSA Instruments (national and multilateral) in Nunavut

08-Sep-15

Implementation Order

13-501 - SEDAR Filing of Certain Distribution Materials

07-Dec-15

Blanket Order

CATEGORY 2 - Certain Capital Market Participants

21-506 - Exemption from Certain Requirements in Part 6 of National Instrument 23-101 Trading Rules

21-Sep-15

Blanket Order

CATEGORY 3 - Registration Requirements and Related Matters

31-504 - Costs and Fees Rule

01-Apr-13

Local Rule

31-515 - Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for IIROC Members

15-Jul-14

Blanket Order

31-516 - Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for MFDA Members

15-Jul-14

Blanket Order

31-517 - Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

15-Jul-14

Blanket Order

32-501 - Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions

27-Mar-10

Blanket Order

32-503 - Exemption from Restriction on Paying Commissions and Finder Fees in Offering Memorandum Exemption in National Instrument 45-106 Prospectus and Registration Exemptions

14-Apr-10

Blanket Order

CATEGORY 4 - Distribution Requirements

45-501 - The Exemption from Certain Financial Statement Requirements of Form 45-106F2 Offering Memorandum for Non-Qualifying Issuers

20-Dec-12

Blanket Order

45-502 - Exemption from Prospectus Requirement for Certain Trades to Existing Security Holders

13-Mar-14

Blanket Order

CATEGORY 5 - Ongoing Requirements for Issuers and Insiders

51-501 - Exemptions from Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Market

31-Jul-12

Blanket Order