Securities Office: Decisions, Orders and Rules
Page last updated November 27, 2015
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CATEGORY 1 - Procedure and Related Matters |
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11-803 - Implementation of CSA Instruments (national and multilateral) in Nunavut |
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08-Sep-15 |
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13-501 - SEDAR Filing of Certain Distribution Materials |
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07-Dec-15 |
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CATEGORY 2 - Certain Capital Market Participants |
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21-506 - Exemption from Certain Requirements in Part 6 of National Instrument 23-101 Trading Rules |
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21-Sep-15 |
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CATEGORY 3 - Registration Requirements and Related Matters |
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31-504 - Costs and Fees Rule |
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01-Apr-13 |
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31-515 - Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for IIROC Members |
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15-Jul-14 |
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31-516 - Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for MFDA Members |
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15-Jul-14 |
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31-517 - Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations |
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15-Jul-14 |
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32-501 - Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions |
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27-Mar-10 |
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32-503 - Exemption from Restriction on Paying Commissions and Finder Fees in Offering Memorandum Exemption in National Instrument 45-106 Prospectus and Registration Exemptions |
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14-Apr-10 |
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CATEGORY 4 - Distribution Requirements |
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45-501 - The Exemption from Certain Financial Statement Requirements of Form 45-106F2 Offering Memorandum for Non-Qualifying Issuers |
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20-Dec-12 |
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45-502 - Exemption from Prospectus Requirement for Certain Trades to Existing Security Holders |
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13-Mar-14 |
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CATEGORY 5 - Ongoing Requirements for Issuers and Insiders |
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51-501 - Exemptions from Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Market |
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31-Jul-12 |
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