Securities Office: Decisions, Orders and Rules

CATEGORY 1 - Procedure and Related Matters

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

2015-09-08

Implementation Order

13-501 - SEDAR Filing of Certain Distribution Materials

2015-12-07

Blanket Order

CATEGORY 2 - Certain Capital Market Participants

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

2015-09-21

Blanket Order

CATEGORY 3 - Registration Requirements and Related Matters

31-504 - Costs and Fees Rule

2013-04-01

Local Rule

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

2014-07-15

Blanket Order

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

2014-07-15

Blanket Order

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

2014-07-15

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

2010-04-14

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

2012-12-20

Blanket Order

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

2014-03-13

Blanket Order

CATEGORY 5 - Ongoing Requirements for Issuers and Insiders

24-930 - Temporary Exemption from certain filing requirements of National Instrument 24-101 Institutional Trade Matching and Settlement

2023-05-02

Blanket Order

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

2012-07-31

Blanket Order

CATEGORY 6 - Other