Instruments, Rules, Policies, Blanket Orders & Notices

This section contains proposed and final instruments, rules, policies, and other regulatory documents. They are grouped by subject according to the Canadian Securities Administrators (CSA) numbering system.

DOCUMENTS THAT ARE NOT SHOWN HERE ARE EITHER REVOKED OR NO LONGER APPLICABLE.

1 - Procedure and Related Matters

11-102 - Passport System [Rule 11-102]

11-103 - Failure-to-file Cease Trade Orders in Multiple Jurisdictions [MI 11-103]

11-201 - Electronic Delivery of Documents [NP]

11-202 - Process for Prospectus Reviews in Multiple Jurisdictions

11-203 - Process for Exemptive Relief Applications in Multiple Jurisdictions [NP 11-203]

11-205 - Process for Designation of Credit Rating Organization in Multiple Jurisdictions

11-206 - Process for Cease to be a Reporting Issuer Applications [NP]

11-207 - Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions [NP 11-207]

11-305 - Withdrawal of CSA Notice 42-301 and 52-302

11-309 - Withdrawal of CSA Notices

11-310 - Withdrawal of CSA Notices

11-312 - CSA Staff Notice 11-312 (Revised) National Numbering System

11-312 - National Numbering System (Revised)

11-313 - Withdrawal of Notices and Policies

11-314 - Update of CSA Instruments

11-316 - Withdrawn [CSA Notice 11-316]

11-318 - Guidance for Cease Trade Order Database Users

11-319 - CSA Notice 11-319 - Withdrawn (See CSA Notice 11-341)

11-320 - Notice of Local Amendments - Nova Scotia and Yukon

11-322 - CSA Notice 11-322 - Withdrawn (See CSA Notice 11-341)

11-323 - Withdrawal of Notices and Policies

11-324 - Withdrawn [CSA Notice 11-324]

11-326 - Cyber Security

11-327 - CSA Notice 11-327 - Withdrawn (See CSA Notice 11-341)

11-328 - Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon

11-329 - Withdrawal of Notices and Revocation of Omnibus/Blanket Orders

11-330 - Notice of Local Amendments – Alberta, Manitoba, New Brunswick, Nova Scotia, Québec, Ontario and Saskatchewan

11-332 - Cyber Security [CSA Notice 11-332]

11-333 - Withdrawal of Notices [CSA Notice 11-333]

11-334 - Notice of Local Amendments and Changes in Certain Jurisdictions [CSA Notice 11-334]

11-335 - Notice of Local Amendments and Changes in Certain Jurisdictions [CSA Notice 11-335]

11-336 - Summary of CSA Roundtable on Response to Cyber Security Incidents [CSA Notice 11-336]

11-337 - Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick [CSA Notice 11-337]

11-338 - CSA Market Disruption Coordination Plan [CSA Notice 11-388]

11-339 - Notice of Local Changes in Alberta [CSA Notice 11-339]

11-340 - CSA Staff Notice Extension of Comment Period for CSA Staff Notice 23-323 Trading Fee Rebate Pilot Study Comment period ended Mar. 1/19.

11-341 - Withdrawal of Staff Notices [CSA Notice 11-341]

11-342 - Notice of Local Amendments and Changes in Certain Jurisdictions [CSA Notice 11-342]

11-343 - CSA Staff Notice and Request for Comment 11-343 Proposal to Establish a CSA Investor Advisory Panel Comment Period Ends Feb 1, 2022

11-344 - Notice of Local Amendments in Certain Jurisdictions [CSA Staff Notice 11-344]

11-345 - CSA Staff Notice 11-345 Extension of Comment Period for CSA Consultation Paper 43-401 Consultation on NI 43-101 Standards of Disclosure for Mineral Projects

11-346 - CSA Staff Notice 11-346 Withdrawal of Staff Notices

11-348 - CSA Staff Notice and Consultation 11-348 Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets. Comment period ends March 31, 2025

11-501 - Secondment Arrangement

11-502 - Amendments to the General Securities Rule

11-503 - Amendments to the Fee Schedules in the General Securities Rules

11-504 - Amendments to the Fees Schedules in the General Securities Rules

11-505 - Schedule 1- Fees in the General Securities Rules

11-506 - Rule 11-506

11-507 - Amendments to the Fees Schedules in the General Securities Rules

11-508 - 11-508: Amendments to the fee schedule

11-509 - Rule 11-509 Amendments to the Fee Schedules in the General Securities Rules

11-601 - Routine Access Policy for Nova Scotia Securities Commission

11-701 - Amendments to National Policy 11-201

11-704 - Repeal of NP 12-201 and NP 43-201

11-705 - NSSC Notice 11-705

11-706 - Rule 11-502 Amendments to the General Securities Rules

11-707 - Rule 11-503 Amendments to the Fees Schedules in the General Securities Rules

11-708 - Amendments to the Fees Schedules in the General Securities Rules

11-709 - Amendments to Companion Policies and CSA Staff Notices

11-710 - Rule 11-507 AMENDMENTS TO THE FEES SCHEDULES N THE GENERAL SECURITIES RULES

11-712 - Notice of Amendments (11-712)

11-713 - Abridgement Notice re: Rule 11-103 [Notice 11-713]

11-714 - RULE 11-508 (AMENDMENT) AMENDMENTS TO THE FEES SCHEDULES IN THE GENERAL SECURITIES RULES [NSSC Notice 11-714]

11-715 - NSSC Notice 11-715 - Rule 45-106 Amendment Prospectus Exemptions

11-716 - NSSC Notice 11-716 - Rule 11-509 (Amendment) Amendments to the Fees Schedules in General Securities Rules

12-202 - Revocation of a Compliance-Related Cease Trade Order [NP]

12-203 - Cease Trade Orders for Continuous Disclosure Defaults [NP]

12-307 - Withdrawn [CSA Notice 12-307]

12-501 - Management Cease Trade Orders Under NP 12-203 Cease Trade Orders for Continuous Disclosure Default

12-502 - Assignment Order

13-101 - System for Electronic Document Analysis and Retrieval (SEDAR)

13-102 - System Fees for SEDAR and NRD [MI 13-102]

13-103 - Proposed National Systems Renewal Program Rule [NI 13-103]

13-305 - SEDAR Changes for MRRS for Prospectuses & AIFs

13-315 - CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2024

13-315 - CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2025

13-318 - Changes to www.SEDAR.com

13-319 - SEDAR Filer Manual Update

13-320 - Implementation of Multilateral Instrument 13-102 System Fees for SEDAR and NRD and Related Consequential Amendments to CSA National Systems Rules

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

13-322 - Service Transition Cutover Date for Information Management Services and Implementation of Related Consequential Amendments to CSA National Systems Rules

13-323 - Frequently Asked Questions About Making Exempt Market Offering and Disclosure Filings on SEDAR [CSA Notice]

13-501 - Community Economic-Development Corporations Regulations [BO 13-501]

13-502 - Rule 13-102 System Fees for SEDAR and NRD

13-503 - System Fees for SEDAR and NRD (revoked effective Jan. 13/14)

13-504 - Rule 13-102 and Transitional Relief Complying with Consequential Amendments to NI 13-101, 31-102 & 55-102

13-930 - Exemptions from certain filing requirements in connection with the launch of the System for Electronic Data Analysis and Retrieval + [BO 13-930]

13-931 - CSA Notice regarding the SEDAR+ launch date and Coordinated Blanket Order 13-931 Exemptions from certain filing requirements in connection with the deferred launch of the System for Electronic Data Analysis and Retrieval +

13-932 - CSA Notice regarding Coordinated Blanket Order 13-932 Exemptions from certain filing requirements in connection with the launch of the System for Electronic Data Analysis and Retrieval +

13-933 - CSA Notice regarding Coordinated Blanket Order 13-933 Temporary exemption from the requirement to transmit a report of exempt distribution through SEDAR+ in connection with distributions of eligible foreign securities to permitted clients

14-101 - CSA Notice and Request for Comment Proposed Amendments to National Instrument 14-101 Definitions and Consequential Amendments. Comment period ends July 21, 2021

14-101 - Definitions [Rule 14-101]

14-102 - Amendments to NI 14-101 Definitions

14-501 - Local Definitions

14-502 - Rule 14-502 Civil Liability for Secondary Market Disclosure

14-701 - Notice re: Civil Liability for Secondary Market Disclosure

15-501 - General Rules of Practice and Procedure

15-501 BO - Blanket Order relating to Appointments of Examiners

15-502 - The Issuance of a Summons or a Notice to Produce Documents and Things

15-503 - BO 15-503 - Sanction Payment Status Report

2 - Certain Capital Market Participants

21-101 - Marketplace Operations [Rule 21-101]

21-304 - CSA Notice 21-304 - Withdrawn (See CSA Notice 11-341)

21-306 - CSA Notice 21-306 - Withdrawn (See CSA Notice 11-341)

21-315 - Request for Comment - Next Steps in Regulation and Transparency of the Fixed Income Market. Comment period ends Nov. 1, 2015

21-316 - Information Processor for Corporate Debt Securities [CSA Notice]

21-317 - Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market [CSA Notice]

21-318 - Information Processor for Corporate Debt Securities [CSA Notice]

21-319 - Data Fees Methodology [CSA Notice 21-319]

21-320 - Update: National Instrument 21-101 Marketplace Operation and Related Companion Policy - Dealing with Government Debt Transparency [CSA Notice 21-320]

21-321 - Markets in Financial Instruments Directive (MiFID II) – Share Trading Obligation and its Application to Canadian Securities [CSA Notice 21-321]

21-322 - Applicability of Regulation to the Operation of MTFs or OTFs in Canada [CSA Staff Notice 21-322 ]

21-323 - Notice and Request for Comment 21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Proposed Amendments to NI 21-101.

21-324 - Information Processor for Exchange-Traded Securities other than Options [CSA Notice 21-324] (Withdrawn)

21-325 - Follow-up on Marketplace Systems Incidents [CSA Notice 21-325]

21-326 - Guidance for Reporting Material Systems Incidents [CSA Staff Notice 21-326]

21-327 - Guidance on the Application of Securities Legislation to Entities Facilitating the Trading of Crypto Assets [CSA Notice 21-327]

21-328 - CSA Staff Notice 21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities

21-329 - Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 21-329 Guidance for Crypto-Asset Trading Platforms: Compliance with Regulatory Requirements

21-330 - Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 21-330 Guidance for Crypto-Trading Platforms: Requirements relating to Advertising, Marketing and Social Media Use

21-331 - CSA Staff Notice 21-331 Information Processor for Exchange-Traded Securities other than Options

21-332 - CSA Staff Notice 21-332 Crypto Asset Trading Platforms: Pre-Registration Undertakings Changes to Enhance Canadian Investor Protection

21-333 - CSA Staff Notice 21-333 Crypto Asset Trading Platforms: Terms and Conditions for Trading Value-Referenced Crypto Assets with Clients

21-334 - CSA Staff Notice 21-334 Next Steps to Facilitate Access to Real-time Market Data

21-402 - Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms. Comment period ended May 15, 2019

21-403 - CSA Consultation Paper 21-403 Access to Real-Time Market Data. Comment Period Ends Feb. 10, 2023

21-502 - Revocation of Blanket Order No. 21-501

23-101 - CSA Staff Notice 23-333 Order Protection Rule: Market Share Threshold Effective as of April 1, 2024

23-101 - Trading Rules

23-102 - Use of Client Brokerage Commissions [Rule 23-102]

23-103 - Electronic Trading and Direct Electronic Access to Marketplaces

23-301 - CSA Notice 23-301 - Withdrawn (See CSA Notice 11-341)

23-302 - CSA Notice 23-302 - Withdrawn (See CSA Notice 11-341)

23-303 - Update on Concept Paper 23-403 Best Execution and Soft Dollar Arrangements

23-304 - CSA Notice 23-304 - Withdrawn (See CSA Notice 11-341)

23-306 - CSA Notice 23-306 - Withdrawn (See CSA Notice 11-341)

23-309 - Frequently Asked Questions About the Order Protection Rule and Intentionally Locked or Crossed Markets - Part 6 of NI 23-101

23-311 - Regulatory Approach to Dark Liquidity in the Canadian Market

23-313 - Blanket Orders Exempting Marketplace Participants from certain provisions of NI 23-103

23-314 - Frequently Asked Questions about NI 23-103

23-316 - Order Protection Rule: Implementation of the Market Share Threshold and Amendments to Companion Policy 23-101 Trading Rules [CSA Notice]

23-317 - Order Protection Rule: Market Share Threshold for the period April 1, 2017 to March 31, 2018 [CSA Notice]

23-318 - Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under NI 23-101 Trading Rules [CSA Notice 23-318] (Withdrawn)

23-319 - Joint CSA/IIROC Staff Notice 23-319 Internalization in the Canadian Market

23-320 - Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada [CSA Notice 23-320]

23-321 - Order Protection Rule: Market Share Threshold for the period April 1, 2018 to March 31, 2019 [CSA Notice 23-321]

23-322 - Trading Fee Rebate Pilot Study [CSA Notice 23-322] (Withdrawn)

23-323 - CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study. Comment period extended to March 1, 2019.

23-324 - Order Protection Rule: Market Share Threshold for the period April 1, 2019 to March 31, 2020 [CSA Notice 23-324]

23-325 - CSA Notice 23-325 Trading Fee Rebate Pilot Study

23-326 - Order Protection Rule: Market Share Threshold for the period April 1, 2020 to March 31, 2021 [CSA Notice 23-326]

23-327 - Joint CSA/IIROC Staff Notice 23-327 Update on Internalization within the Canadian Equity Market

23-328 - CSA Staff Notice 23-328 Order Protection Rule: Market Share Threshold for the Period April 1, 2021 to March 31, 2022

23-329 - Joint CSA and IIROC Staff Notice 23-329 Short Selling in Canada Comment Period Ends March 8, 2023

23-331 - CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets. Comment period ends December 4, 2023

23-332 - CSA/CIRO Staff Notice 23-332 Summary of Comments and Responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada

23-404 - CSA/IIROC Consultation Paper - Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada

23-405 - Dark Liquidity in the Canadian Market

23-406 - Joint CSA/IIROC Consultation Paper 23-406 - Internalization within the Canadian Equity Market - Comment period ended May 13, 2019

23-503 - Exemption from Certain Requirements of Part 6 of NI 23-101 [BO 23-503]

23-701 - Recognition of the Investment Industry Regulatory Organization of Canada (IIROC) Notice of Approval

23-702 - Notice of Consent to MFDA Co-operative Agreement

24-101 - CSA Staff Notice 24-319 Regarding National Instrument 24-101 Institutional Trade Matching and Settlement – Update and Staff Recommendation

24-101 - Institutional Trade Matching and Settlement [Rule 24-101]

24-102 - Rule 24-102 Clearing Agency Requirements

24-301 - Responses to Comments on Discussion Paper 24-401 on Straight through Processing and Proposed NI 24-10

24-302 - Entitlement payments to The Canadian Depository for Securities Limited (CDS)

24-303 - CSA SRO Oversight Project - Review of Oversight of Self-Regulatory Organizations and Market Infrastructures Entities

24-304 - CSA-Industry Working Group on National Instrument 24-101 Industrial Trade Matching and Settlement

24-305 - Frequently Asked Questions about NI 21-101 INSTITUTIONAL TRADE MATCHING AND SETTLEMENT and Related Companion Policy

24-306 - NI 24-101 - INSTITUTIONAL TRADE MATCHING SETTLEMENT - EXCEPTION REPORTING

24-309 - Publication of Clearing Agency Requirements in Ontario, Quebec and Manitoba

24-310 - CSA Notice 24-310 Status Update: Clearing Agency Requirements (Withdrawn)

24-312 - CSA Notice 24-312: Preparing for the Implementation of T+2 Settlement

24-314 - Preparing for the Implementation of T+2 Settlement: Letter to Registered Firms [CSA Notice]

24-315 - Update on Enhanced Segregation and Portability Initiatives for Clearing Agencies Serving the Domestic Futures Markets [CSA Notice 24-315]

24-316 - Feedback on CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment [CSA Staff Notice 24-316]

24-317 - Notice of Relief from Certain Filing Provisions under NI 24-101 Institutional Trade Matching and Settlement [CSA Notice 24-317]

24-318 - CSA Staff Notice 24-318 Preparing for the Implementation of T+1 Settlement

24-502 - Revocation of BO 24-501

24-503 - Relief from Certain Reporting Requirements Under NI 24-101 Institutional Trade Matching and Settlement [BO 24-503 - Variation]

24-930 - CSA Notice Regarding Coordinated Blanket Order 24-930 Exemption from certain filing requirements of NI 24-101 Institutional Trade Matching and Settlement

25-101 - Designated Rating Organizations [Rule 25-101]

25-102 - Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators and Companion Policy [CSA Notice 25-102]

25-201 - Guidance for Proxy Advisory Firms [NP]

25-301 - Update on CSA Consultation Paper 25-401 Potential Regulation of Proxy Advisory Firms

25-302 - CSA Staff Notice 25-302 Matters Relating to CDOR, LIBOR and Other Interest Rate Benchmarks

25-303 - CSA Staff Notice 25-303 2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds

25-304 - CSA Staff Notice and Request for Comment 25-304 Application for Recognition of New Self-Regulatory Organization. Comment period ends June 27, 2022

25-305 - CSA Staff Notice and Request for Comment 25-305 Application for Approval of the New Investor Protection Fund. Comment Period Ends June 27, 2022

25-306 - CSA Staff Notice 25-306 Activist Short Selling Update

25-307 - CSA Staff Notice of Approval 25-307 Recognition of New Self-Regulatory Organization of Canada

25-308 - CSA Staff Notice of Approval 25-308 Approval and Acceptance of Canadian Investor Protection Fund

25-309 - CSA Staff Notice 25-309 Matter Relating to Cessation of CDOR and Expected Cessation of Bankers' Acceptances

25-310 - CSA Staff Notice 25-310 2022 Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds

25-311 - CSA Staff Notice 25-311 2023 Annual Activities Report on the Oversight of Canadian Investment Regulatory Organization and Canadian Investment Protection Fund

25-402 - CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework. Comment Period Ends Oct 23, 2020

25-403 - CSA Consultation Paper 25-403 Activist Short Selling. Comment period ends March 3, 2021

25-404 - CSA Position Paper 25-404 - New Self-Regulatory Organization Framework

25-501 - Temporary Relief for Regulated Entities [BO 25-501]

3 - Registration, Compliance and Related Matters

31-101 - Revoked [Rule 31-101]

31-102 - National Registration Database [Rule 31-102]

31-103 - Registration Requirements and Exemptions [Rule 31-103]

31-202 - Multilateral Policy 31-202 Registration Requirement for Investment Fund Managers

31-313 - Withdrawn

31-314 - Withdrawn

31-315 - Withdrawn

31-317 - Reporting Obligations Related to Terrorist Financing (Replaced by CSA Notice 31-352) (Withdrawn)

31-323 - Guidance Relating to the Registration Obligations of Mortgage Investment Entities [CSA Notice 31-323]

31-324 - Withdrawn

31-325 - Marketing Practices of Portfolio Managers

31-326 - Withdrawn

31-327 - Withdrawn

31-328 - Withdrawn

31-329 - Withdrawn

31-330 - Withdrawn

31-331 - Withdrawn

31-332 - Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers

31-333 - Withdrawn

31-334 - CSA Review of Relationship Disclosure Practices

31-335 - Withdrawn

31-336 - Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations

31-337 - Withdrawn

31-338 - Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization

31-339 - CSA Notice 31-339 - Withdrawn (See CSA Notice 11-341)

31-341 - CSA Notice 31-341 - Withdrawn (See CSA Notice 11-341)

31-342 - Guidance for Portfolio Managers Regarding Online Advice

31-343 - Conflicts of interest in distributing securities of related or connected issuers

31-344 - OBSI Joint Regulators Committee Annual Report for 2015 [CSA Notice]

31-345 - Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance [CSA Notice]

31-346 - Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers [CSA Notice 31-346]

31-347 - Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members [CSA Notice 31-347]

31-348 - OBSI Joint Regulators Committee Annual Report for 2016 [CSA Notice 31-348]

31-349 - Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions [CSA Notice 31-349]

31-350 - Guidance on Small Firms Compliance and Regulatory Obligations [CSA Notice 31-350]

31-351 - Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with requirements regarding the Ombudsman for Banking Services and Investments

31-352 - Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations

31-353 - OBSI Joint Regulators Committee Annual Report for 2017 [CSA Notice 31-353]

31-354 - Suggested Practices for Engaging with Older or Vulnerable Clients [CSA Notice 31-354]

31-355 - CSA Staff Notice 31-355 OBSI Joint Regulators Committee Annual Report for 2018

31-356 - Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision [CSA Notice 31-356]

31-357 - Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of NI 31-103 [CSA Notice 31-357]

31-358 - Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments. Comment period ends Sept. 30, 2020. [CSA Notice 31-358]

31-359 - CSA Staff Notice 31-359 OBSI Joint Regulators Committee Annual Report for 2019

31-360 - Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of NI 31-103 [CSA Notice 31-360]

31-361 - CSA Staff Notice 31-361 OBSI Joint Regulators Committee Annual Report for 2020

31-361 - CSA Staff Notice 31-361 OBSI Joint Regulators Committee Annual Report for 2021

31-363 - Staff Notice 31-363 Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance

31-364 - CSA Staff Notice 31-364 OBSI Joint Regulators Committee Annual Report for 2022

31-501 - Revoked [Rule 31-501]

31-502 - Revoked [Rule 31-502]

31-503 - No longer relevant - See Rule 31-801 for amendment to section 27 of the General Securities Rules

31-505 - BO 31-505 (Amendment) Contingency Trust Fund Requirements

31-506 - Revocation of BO 12, 40, 52, 31-501, 31-504, 32-501, 33-501, 33-502 and Section 126 of the Act [BO 31-506]

31-507 - Revoked

31-510 - Revoked

31-514 - Expired Dec. 31/10 [BO 31-514]

31-516 - Expired on Sept. 28, 2011 [BO 31-516]

31-517 - Expired Sept. 28, 2011 [BO 31-517]

31-521 - Revoked

31-522 - Revoked

31-523 - Expired Dec. 31/13 [BO 31-523]

31-524 - Expired Dec. 31/13 [BO 31-524]

31-525 - Revoked

31-526 - Expired May 1, 2014 [BO 31-526]

31-527 - Expired July 10/15 [BO 31-527]

31-528 - Expired March 26/14 [BO 31-528]

31-529 - Expired on Jan. 19, 2015 [BO 31-529]

31-530 - Relief from Certain CRM2 Requirements Prescribed by National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations for MFDA Members

31-531 - BO 31-531 Exemption from the Registration Requirement for Trades in Short-Term Debt Instruments

31-533 - Exemptions from Certain CRM2 Provisions of NI 31-103

31-534 - Revocation of Blanket Orders 31-507, 31-510, 31-521, 31-522 and 31-525 [BO 31-534]

31-535 - Temporary Relief for Registrants [BO 31-535]

31-536 - Client Focused Reforms regarding Conflict of Interest Provisions of NI 31-103 [BO 31-536]

31-537 - Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 [BO 31-537]

31-538 - Temporary Exemption from Certain Reporting Requirements for Registrants During the Period June 2 to September 30, 2020 [BO 31-538]

31-539 - Transitional Relief in Respect of Client Focused Reforms Regarding Enhanced Conflicts on Interest and Client First Suitability Provisions of NI 31-103 [BO 31-539]

31-703 - Policy Statement 2.2 Non-Resident Domestic Advisers and Rule 31-101 National Registration System

31-704 - Rule 31-103 and Nova Scotia Consequential Amendments

31-801 - Implementing National Instrument 31-103 Registration Requirements and Exemptions

31-930 - CSA Notice Regarding Coordinated Blanket Order 31-930 Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus

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

32-502 - BO 32-502:Exemption from the Dealer Registration and Advisor Requirement for Trades & Advice for U.S. Resident Clients

33-102 - Revoked

33-105 - Underwriting Conflicts

33-109 - Registration Information

33-305 - CSA Notice 33-305 - Withdrawn (See CSA Notice 11-341)

33-315 - Suitability Obligation and Know Your Product

33-316 - Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients

33-317 - Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients [CSA Notice]

33-318 - Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives [CSA Notice 33-318]

33-319 - Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients [CSA Notice 33-319]

33-320 - The Requirement for True and Complete Applications for Registration [CSA Notice 33-320]

33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients [Consultation Paper]

33-702 - Rule 33-109 Registration Information

33-703 - Policy Statement No. 2.3 Dual Licensing Under the Securities Act and the Insurance Act

34-202 - Withdrawn

35-101 - Conditional Exemption from Registration for United States Broker-Dealers and Agents

4 - Distribution Requirements

41-101 - Prospectus Disclosure Requirements [Rule 41-101]

41-201 - Income Trust and other Indirect Offerings [NP 41-201]

41-305 - Share Structure Issues - Initial Public Offerings [CSA Notice]

41-306 - IFRS Transition - Prospectus Issues [CSA Notice]

41-307 - CSA Staff Notice 41-307 (Revised) Concerns regarding an issuer’s financial condition and the sufficiency of proceeds from a prospectus offering

41-307 - Prospectus Guidance - Concerns regarding an issuer's financial condition & sufficiency of proceeds from a prospectus offering [CSA Notice]

41-502 - Revocation of BO 49, 44-801 and 45-514 [BO 41-502]

41-503 - Revocation of BO 41-501 and 44-501 [BO 41-503]

41-701 - NP 41-201 Income Trusts and Other Indirect Offerings [NSSC Notice 41-701]

42-303 - Prospectus Requirements [CSA Notice 42-303]

43-101 - Standards of Disclosure for Mineral Projects [Rule 43-101]

43-302 - FAQs on NI 43-101 Standards of Disclosure for Mineral Projects [CSA Notice 43-302]

43-306 - Technical Reports filed for Prospectus Offerings [CSA Notice 43-306]

43-308 - Professional Associations under NI 43-101 CSA Notice 43-308]

43-309 - Review of Website Investor Presentations by Mining Issuers [CSA Notice 43-309]

43-310 - CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers)

43-310 (revised) - CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers) [revised]

43-311 - CSA Staff Notice 43-311 Review of Mineral Resource Estimates in Technical Reports

44-101 - Short Form Prospectus Distributions [Rule 44-101]

44-102 - Shelf Distributions [Rule 44-102]

44-103 - Post Receipt Pricing [Rule 44-103]

44-301 - FAQs regarding the New Prospectus Rules [CSA Notice 44-301]

44-304 - LINKED NOTES DISTRIBUTED UNDER SHELF PROSPECTUS SYSTEM [CSA Notice 44-304]

44-305 - 2015 Update – Structured Notes Distributed Under the Shelf Prospectus System [CSA Notice 44-305]

44-306 - Blanket Orders Exempting Well-known Seasoned Issuers from Certain Prospectus Requirements [CSA Notice 44-306]

44-502 - Exempting issuers whose securities are listed on the Alpha Venture Plus Marketplace operated by Alpha Exchange Inc. from certain requirements of securities legislation [BO 44-502]

44-503 - Exempting issuers whose securities are listed on the Alpha Main marketplace operated by Alpha Exchange Inc. from certain requirements of securities legislation [BO 44-503]

44-504 - Aequitas NEO Exchange Inc. [BO 44-504]

44-505 - Exemption From Certain Prospectus Requirements for Canadian Well-Known Seasoned Issuers [BO 44-505]

45-101 - Revoked [Rule 45-101]

45-102 - Resale of Securities [Rule 45-102]

45-106 - Prospectus Exemptions [Rule 45-106]

45-107 - Listing Representation and Statutory Rights of Action Disclosure Exemptions [Rule 45-107]

45-108 - Crowdfunding [Rule 45-108]

45-110 - Start-up Crowdfunding Registration and Prospectus Exemptions [NI 45-110]

45-301 - Implementation of MI 45-102 Resale of Securities [CSA Notice 45-301]

45-304 - Notice of Local Exemptions related to NI 45-106 and NI 31-103 (Revised)[CSA Notice 45-304]

45-307 - Regulatory Developments Regarding Securitization [CSA Notice 45-307]

45-308 (Revised) - Guidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 [CSA Notice 45-308 (Revised)]

45-308 (revised) - Guidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 [CSA Notice 45-308 (revised)]

45-309 - Guidance for Preparing and filing an Offering Memorandum under NI 45-106 [CSA Notice 45-309]

45-310 - Update on CSA Consultation Note 45-101 Review of Minimum amount and Accredited Investor Exemptions [CSA Notice 45-310]

45-311 - CSA Notice 45-311 - Withdrawn (See CSA Notice 11-341)

45-312 - Proposed Prospectus Exemption for Distributions to Existing Security Holders.[CSA Notice 45-312]

45-313 - Prospectus Exemption for Distributions to Existing Security Holders [CSA Notice 45-313]

45-314 (Revised) - Consolidated List of Current CSA Exempt Market Initiatives [CSA Notice 45-314 (Revised)]

45-316 - Start-up Crowdfunding Registration & Prospectus Exemptions [CSA Notice 45-316]

45-317 - Amendments to Start-up Crowdfunding Registration and Prospectus Exemptions [CSA Notice 45-317]

45-319 - Amendments to Start-up Crowdfunding Registration and Prospectus Exemptions [CSA Notice 45-319]

45-320 - CSA Notice 45-320 - Withdrawn (See CSA Notice 11-341)

45-323 - Update on Use of the Rights Offering Exemption in NI 45-106 Prospectus Exemptions [CSA Notice 45-323]

45-324 - Update on the Start-up Crowdfunding Registration and Prospectus Exemptions [CSA Notice 45-324]

45-325 - Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts [CSA Notice 45-325]

45-326 - Update on: Amendments to NI 45- and NI 31-103 and Changes to Companion Policy 45-106CP and Companion Policy 31-103CP relating to Syndicated Mortgages [CSA Notice 45-326]

45-328 - CSA Staff Notice 45-328 Update on Amendments relating to Syndicated Mortgages: (Wiuthdrawn)

45-329 - CSA Staff Notice 45-329 Guidance for using the start-up crowdfunding registration and prospectus exemptions

45-330 - CSA Staff Notice 45-330 Frequently Asked Questions about the Listed Issuer Financing Exemption

45-401 - Review of Minimum Amount and Accredited Investor Exemptions - Public Consultation [CSA Consultation Note 45-401]

45-501 - Statutory Liability for Misrepresentations in an Offering Memorandum under Certain Exemptions from the Prospectus Requirement [Rule 45-501]

45-504 - Revocation of BO 20 and BO 27(Revised) [BO 45-504]

45-505 - Revocation of BO 45-501 and BO 45-501 (Addendum] [BO 45-505]

45-507 - Registration and Prospectus Exemptions for Certain Capital Accumulation Plans [BO 45-507]

45-508 - Revocation of Blanket Order Nos. 13, 38, 44 and 45-503 [BO 45-508]

45-509 - Trades in Warrants to Acquire Certain Debt Securities [BO 45-509]

45-516 - Revocation of Blanket Order Nos. 10, 11, 46, 45-511, 45-512 and 45-513 [BO 45-516]

45-517 - Revocation of Blanket Order Nos. 45-510, 45-515 and 45-801 [BO 45-517]

45-518 - Specifications Regarding Certain Offering Documents Under Rule 45-106 [BO 45-518]

45-519 - Expired on Dec. 21, 2014 [BO 45-519]

45-520 - Confidentiality of Schedule 1 to Form 45-106F1 [BO 45-520]

45-521 - CEDIFs and NSSC Policy 45-601 [BO 45-521]

45-523 - CEDIFs and Promotional Materials [BO 45-523]

45-524 - Start-up Crowdfunding Registration & Prospectus Exemptions [BO 45-524]

45-525 (Variation) - Exemption from Prospectus Requirement for Certain Trades to Existing Security Holders [BO 45-525 (Variation)]

45-526 - Expired on May 24, 2016 [BO 45-526]

45-527 - Exemptions from Certain Requirements in Form 45 106FI Report of Exempt Distribution [BO 45-527]

45-528 - In the matter of relief from the prospectus and registration requirements for certain syndicated mortgages [BO 45-528]

45-601 - Community Economic Development Funds (CEDIFs) [NSSC Policy 45-601]

45-704 - Rule 45-102 Resale of Securities [NSSC Notice 45-704]

45-705 - NI 45-106 Capital Raising Exemption Monitoring Program [NSSC Notice 45-705]

45-706 - Community Economic-Development Corporations Regulations [NSSC Notice 45-706]

45-707 - Repeal of Notice Nos. 29 and 45-703 [NSSC Notice 45-707]

45-709 - CSA Notices 45-302 and 45-305 [NSSC Notice 45-709]

45-710 - Rule 45-501 Statutory Liability for Misrepresentations in an Offering Memorandum under Certain Exemptions from the Prospectus Requirement [NSSC Notice 45-710]

45-711 - Rule 45-501 and BO 45-520 [Notice 45-711]

45-712 - Notice and Request for Comment - NSSC Policy 45-601 CEDIFs [NSSC Notice 45-712]

45-713 - Rule 45-501 [Notice 45-713]

45-714 - CEDIFs and NSSC Policy 45-601 [NSSC Notice 45-714]

45-716 - Request for Comment on Proposed Amendments to NI 45-106 relating to the Offering Memorandum [NSSC Notice 45-716]

45-717 - Electronic Delivery of Private Offering Memoranda to the Director [NSSC Notice 45-717]

45-718 - Prospectus and Registration exemptions relating to certain syndicated mortgages in Nova Scotia

45-801 - Implementing NI 45-106 Prospectus and Registration Exemptions [Rule 45-801]

46-201 - Escrow for Initial Public Offerings [NP 46-201]

46-301 - Proposal for Uniform Terms of Escrow Applicable to Initial Public Distributions [CSA Notice 46-301]

46-303 - Principal Protected Notes [CSA Notice 46-303]

46-304 - Update on Principal Protected Notes [CSA Notice 46-304]

46-305 - Second Update on Principal Protected Notes (PPNs) [CSA Notice 46-305]

46-306 - Third Update on Prinicpal Protected Notes [CSA Notice 46-306]

46-307 - Cryptocurrency Offerings [CSA Notice 46-307]

46-308 - Securities Law Implications for Offerings of Tokens [CSA Staff Notice 46-308]

46-309 - Bail-in Debt [CSA Notice 46-309]

47-201 - Trading Securities Using Internet and Other Electronic Means [NP 47-201]

5 - Ongoing Requirements for Issuers and Insiders

51-101 - Standards of Disclosure for Oil and Gas Activities [Rule 51-101]

51-102 - Continuous Disclosure Obligations [Rule 51-102]

51-105 - Issuers Quoted in the U.S. Over-The-Counter Markets [Rule 51-105]

51-107 - CSA Notice and Request for Comment Proposed NI 51-107 Disclosure of Climate-related Matters Comment period extended to Feb 16, 2022

51-201 - Disclosure Standards [NP 51-201]

51-304 - Report on Staff’s Review of Executive Compensation Disclosure [CSA Notice 51-304]

51-308 - Filing of Management's Discussion and Analysis and NI 51-102 [CSA Notice 51-308]

51-309 - Acceptance of Certain Foreign Professional Boards as a "Professional Organization" under NI 51-101 [CSA Notice 51-309]

51-310 - Report on staff's Continuous Disclosure Review of Income Trust Issuers [CSA Notice 51-310]

51-311 - Frequently Asked Questions regarding NI 51-102 [CSA Notice 51-311]

51-312 - Harmonized Continuous Disclosure Review Program [CSA Notice 51-312]

51-314 - Retirement Benefits Disclosure [CSA Notice 51-314]

51-319 - Report on Staff's Second Continuous Disclosure Review of Income Trust Issuers [CSA Notice 51-319]

51-320 - Options Backdating [CSA Notice 51-320]

51-322 - Reporting Issuer Defaults [CSA Notice 51-322]

51-323 - XBRL filing program and request for volunteers [CSA Notice 51-323]

51-324 - Revised Glossary to NI 51-101 [CSA Notice 51-324]

51-324 (revised) - CSA Staff Notice 51-324 (Revised) Glossary to NI 51-101 Standards of Disclosure for Oil and Gas Activities

51-325 - Status of Proposed Repeal and substitution of Form 51-102F6 [CSA Notice 51-325]

51-327 - Revised Guidance On Oil and Gas Disclosure [CSA Notice 51-327]

51-328 - Continuous Disclosure Considerations Related to Current Economic Conditions [CSA Notice 51-328]

51-330 - Guidance Regarding the Application of Forward-looking Information Requirements under NI 51-102 [CSA Notice 51-330]

51-331 - Report on Staff's Review of Executive Compensation Disclosure [CSA Notice 51-331]

51-332 - Withdrawn [CSA Notice 51-332]

51-333 - Environmental Reporting Guidance [CSA Notice 51-333]

51-334 - Withdrawn [CSA Notice 51-334]

51-336 - Issuers Using Mass Advertising [CSA Notice 51-336]

51-337 - Withdrawn [CSA Notice 51-337]

51-338 - Continuous Disclosure and Prospectus Requirements Relating to Documents Prepared Under the U.S. Securities and Exchange Act of 1934 (CSA Notice51-338)

51-339 - Continuous Disclosure Review Program Activites for the fiscal year ended March 31, 2013 ( CSA Notice 51-339)

51-340 - Update on proposed NI 51-103 Ongoing Governance and Disclosures Requirements for Venture Issuers (CSA Notice 51-340)

51-341 - Continuous Disclosure Review 2014 [CSA Notice 51-341]

51-342 - Staff Review of Issuers Entering Into Medical Marijuana Business Opportunities [CSA Notice 51-342]

51-343 - Venture Issuers with Securities Listed on the Bolsa de Santiago, Venture Market [CSA Notice 51-343]

51-344 - Continuous Disclosure Review Program Activities for the fiscal year ended March 31/15 [CSA Notice 51-344]

51-345 - Disclosure of Abandonment and Reclamation Costs in NI 51-101 [CSA Notice 51-345]

51-346 - Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2016 [CSA Notice 51-346]

51-348 - Staff’s Review of Social Media Used by Reporting Issuers [CSA Notice 51-348]

51-350 - Extension of Consultation Period CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers [CSA Notice 51-350]

51-351 - Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017 [CSA Notice 51-351]

51-352 - Issuers with U.S. Marijuana-Related Activities [CSA Notice 51-352]

51-353 - Update on CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers [CSA Notice 51-353]

51-354 - Report on Climate change-related Disclosure Project [CSA Notice 51-354]

51-355 - Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2018 and March 31, 2017 [CSA Notice 51-355]

51-356 - Problematic Promotional Activities by Issuers [CSA Notice 51-356]

51-357 - Staff Review of Reporting Issuers in the Cannabis Industry [CSA Notice 51-357]

51-358 - Reporting of Climate Change-related Risks [CSA Notice 51-358]

51-359 - Corporate Governance Related Disclosure Expectations for Reporting Issuers in the Cannabis Industry [CSA Notice 51-359]

51-360 - Frequently Asked Questions Regarding Filing Extension Relief Granted by Way of a Blanket Order in Response to Covid-19 [CSA Notice 51-360] (Withdrawn)

51-361 - Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2020 and March 31, 2019 [CSA 51-361]

51-362 - CSA Staff Notice 51-362 Staff Review of COVID-19 Disclosures and Guide for Disclosure Improvements

51-363 - CSA Staff Notice 51-363 Observations on Disclosure by Crypto Assets Reporting Issuers

51-364 - CSA Staff Notice 51-364 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2022 and March 31, 2021

51-365 - CSA Staff Notice 51-365 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2024 and March 31, 2023

51-403 - Tailoring Venture Issuer Regulation [CSA Consultation Paper 51-403]

51-404 - Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers.(Withdrawn)

51-405 - Consultation Paper 51-405 Consideration of an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers. Comment period ends March 9, 2020.

51-501 - Rule 51-102 Continuous Disclosure Obligations [BO 51-501]

51-502 - Venture Issuers Traded on Certain Foreign Markets [BO 51-502]

51-504 - CEDC Regulations and Continuous Disclosure Obligations [BO 51-504]

51-505 - Exemption from the requirement to send financial statements and related disclosure to securityholders during a disruption in postal service [BO 51-505]

51-506 - Revoked [BO 51-506]

51-507 - Venture Issuers Traded on the Santiago Stock Exchange, Venture Market [BO 51-507]

51-508 - Exemptions from Multilateral Instrument 51-105 [BO 51-508]

51-509 - Temporary Relief from Certain Corporate Finance Requirements [BO 51-509]

51-510 - Temporary Relief for Community Economic-Development Corporations [BO 51-510]

51-511 - Temporary Exemptions from Certain Requirements to file or send Securityholder Materials [BO 51-511]

51-512 - Temporary Exemption from Certain Corporate Finance Requirements During the Period June 2 to August 31, 2020 [BO 51-512]

51-513 - Temporary Exemption from Certain Corporate Finance Requirements for Community Economic-Development Corporations During the Period June 2 to August 31, 2020 [BO 51-513]

51-601 - Reporting Issuers List [NSSC Policy 51-601]

51-701 - Rule 51-101 and National Policy Statement No. 2-B [Notice 51-701]

51-702 - Rule 51-102 and Amendments to National Policy Statement Nos. 31 and 51 [Notice 51-702]

51-703 - Amendments to Rule 51-102, Rule 71-102 and NP #3 Unacceptable Auditors [Notice 51-703]

51-801 - Implementing NI 51-102 Continuous Disclosure Obligations [Rule 51-801]

51-930 - CSA Coordinated Blanket Order 51-930 Exempting Reporting Issuers Incorporated under the Canada Business Corporations Act from the Director Election Form of Proxy Requirement

51-931 - CSA Notice BO 51-931Temporary Exemption from requirements in NI 51-102 Continuous Disclosure Requirements and NI 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer to send certain proxy-related materials during a postal strike

52-107 - Acceptable Accounting Principles and Auditing Standards [Rule 52-107]

52-108 - Auditor Oversight [Rule 52-108]

52-109 - Certification of Disclosure in Issuers' Annual and Interim Filings [Rule 52-109]

52-110 - Audit Committees [Rule 52-110]

52-112 - Rule 52-112 Non-GAAP and Other Financial Measures Disclosure

52-306 - Non-GAAP Financial Measure [CSA Notice 52-306]

52-307 - Auditor Oversight and Financial Statements accompanied by an Audit Report dated on or after March 30, 2003 [CSA Notice 52-307]

52-308 - Status of Proposed Instrument regarding reporting on Internal Control over Financial Reporting [CSA Notice 52-308]

52-310 - Proposed Timing of Proposed MI 52-111 and Companion Policy 52-111CP [CSA Notice 52-310]

52-312 - Audit Committee Compliance Review [CSA Notice 52-312]

52-313 - Status of Proposed MI 52-111 and Proposed Amended and Restated MI 52-109 [CSA Notice 52-313]

52-315 - Certification Compliance Review [CSA Notice 52-315]

52-317 - Timing of Proposed NI 52-109 [CSA Notice 52-317]

52-320 - Disclosure of Expected Changes in Accounting Policies Relating to Changeover to International Financial Reporting Standards [CSA Notice 52-320]

52-321 - Early Adoption of International Financial Reporting Standards [CSA Notice 52-321]

52-322 - Status of Proposed Repeal and Replacement of MI 52-109 (Withdrawn by CSA Notice of NI 52-109 and Repeal of MI 52-109 effective Dec. 15, 2018) [CSA Notice 52-322]

52-323 - Coming into force of NI 52-109 and Consequential Policy Amendments [CSA Notice 52-323]

52-324 - Issues relating to changeover to International Financial Reporting Standards [CSA Notice 52-324]

52-325 - Certification Compliance Review [CSA Notice 52-325]

52-326 - IFRS Transition Disclosure Review [CSA Notice 52-326]

52-327 - Certification Compliance Update [CSA Notice 52-327]

52-328 - Disclosure about Accounting Policies in the Year of Changeover to International Financial Reporting Standards [CSA Notice 52-328]

52-329 - Distribution Disclosures and Non-GAAP Financial Measures in the Real Estate Industry [CSA Notice 52-329]

52-330 - Update on CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence [CSA Notice 52-330]

52-403 - Consultation Paper 52-403 Auditor Oversight Issues in Foreign Jurisdictions. Comment period ended June 24/17

52-404 - Approach to Director and Audit Committee Member Independence [Consultation Paper 52-404] Comment period ends Jan. 25/17

52-502 - Revocation of BO 52-501 [BO 52-502]

52-503 - Relief from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure in Connection with OSFI Guidelines [BO 52-503]

52-701 - Rule 52-107 and NP 27 and NP 50 [Notice 52-701]

52-702 - IFRS Transition Disclosure [Notice 52-702]

52-801 - Implementing NI 52-107 [Rule 52-801]

54-101 - Communication with Beneficial Owners of Securities of a Reporting Issuer [Rule 54-101]

54-301 - Frequently Asked Questions about NI 54-101 [CSA Notice 54-301]

54-302 - Update on CSA Consultation Paper 54-401 Review of the Proxy Voting Infrastructure [CSA Notice 54-302]

54-303 - Progress Report on Review of the Proxy Voting Infrastructure [CSA Notice 54-303] (Withdrawn)

54-304 - Final Report on Review of the Proxy Voting Infrastructure & Request for Comments on Proposed Meeting Vote Reconciliation Protocols [CSA Notice 54-304] (Withdrawn)

54-305 - Meeting Vote Reconciliation Protocols [CSA Notice 54-305]

54-401 - Review of the Proxy Voting Infrastructure [Consultation Paper 54-401]

54-501 - Rule 54-102 Interim Financial Statement and Report Exemption [BO 54-501]

54-701 - Repeal of National Policy Statement No. 41 [Notice 54-701]

55-102 - System for Electronic Disclosure by Insiders (SEDI) [Rule 55-102]

55-104 - Insider Reporting Requirements and Exemptions [Rule 55-104]

55-308 - Questions on Insider Reporting [CSA Notice 55-308]

55-310 - Questions and Answers on SEDI [CSA Notice 55-310]

55-312 - Insider Reporting Guidelines for Certain Derivatives Transactions (Equity Monetization) (Revised)[CSA Notice 55-312]

55-315 - Frequently Asked Questions about NI 55-104 [CSA Notice 55-315]

55-316 - Questions and Answers on Insider Reporting and the System for Electronic Disclosure by Insiders (SEDI) [CSA Notice 55-316]

55-317 - CSA Staff Notice 55-317 Automatic Securities Disposition Plans

55-501 - Revocation of Blanket Order 45 [BO 55-501]

55-801 - Implementing NI 55-104 Insider Reporting Requirements and Exemptions [Rule 55-801]

57-301 - Failing to file Financial Statements on Time - Management Cease Trade Reports [CSA Notice 57-301]

57-303 - Frequently Asked Questions regarding Management Cease Trade Orders issued as a consequence of a failure to file financial statements [CSA Notice 57-303]

58-101 - Disclosure of Corporate Governance Practices [Rule 58-101]

58-201 - Corporate Governance Guidelines [NP 58-201]

58-305 - Status Report on the Proposed changes to the Corporate Governance Regime [CSA Notice 58-305]

58-306 - Corporate Governance Disclosure Compliance Review - 2010 [CSA Notice 58-306]

58-307 - Staff Review of Women on Boards and in Executive Officer Positions - Compliance with NI 58-101 [CSA Notice 58-307]

58-308 - Staff Review of Women on Boards and in Executive Officer Positions – Compliance with NI 58-101 [CSA Notice 58-308]

58-309 - Staff Review of Women on Boards and in Executive Officer Positions – Compliance with NI 58-101 Disclosure of Corporate Governance Practices [CSA Notice 58-309]

58-310 - Report on Fourth Staff Review of Disclosure regarding Women on Boards and in Executive Officer Positions [CSA Notice 58-310]

58-311 - Report on Fifth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions [CSA Notice 58-311]

58-312 - CSA Multilateral Staff Notice 58-312 Report on Sixth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions

58-313 - CSA Multilateral Staff Notice 58-313 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions Year Seven Report

58-314 - CSA Multilateral Staff Notice 58-314 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions Year 8 Report

58-315 - CSA Staff Notice 58-315 Extension of Comment Period. Proposed Amendments to Form 58-101F1 Corporate Governance Disclosure of NI 58-101 Disclosure of Corporate Governance Practices and Proposed Changes to NP 58-201 Corporate Governance Guidelines

58-316 - CSA Multilateral Staff Notice 58-316 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions Year 9 Report

58-317 - CSA Multilateral Staff Notice 58-317 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions

6 - Take-Over Bids and Special Transactions

61-301 - Staff Guidance on the Practice of "Mini-Tenders" [CSA Notice 61-301]

61-303 - CSA Notice 61-303 and Request for Comment - Soliciting Dealer Arrangements. Comment period ended June 11, 2018.

62-101 - Rescinded [Rule 62-101]

62-102 - REVOKED [Rule 62-102]

62-103 - The Early Warning System and Related Take-Over Bid and Insider Reporting Issues [Rule 62-103]

62-104 - Take-Over Bids and Issuer Bids [Rule 62-104]

62-202 - Take-Over Bids - Defensive Tactics [NP 62-202]

62-203 - Take-Over Bids and Issuer Bids [NP 62-203]

62-305 - Varying the Terms of Take-Over Bids [CSA Notice 62-305]

62-306 - Update on Proposed NI 62-105 and AMF Consultation Paper [CSA Notice 62-306]

62-307 - Update on Proposed Amendments to MI 62-104, NI 62-103 and National Policy 62-203 [CSA Notice 62-307]

62-502 - Rule 62-104 Take-Over Bids and Issuer Bids [BO 62-502]

62-503 - MI 62-104 Take-Over Bids and Issuer Bids [BO 62-503]

62-504 - MI 62-104 Take-Over Bids and Issuer Bids [BO 62-504]

62-701 - Rule 62-104 and NP 62-201 [Notice 62-701]

7 - Securities Transactions Outside the Jurisdiction

71-101 - The Multijurisdictional Disclosure System [Rule 71-101]

71-102 - Continuous Disclosure and Other Exemptions Relating to Foreign Issuers [Rule 71-102]

71-801 - Rule 71-101 [BO 71-801 (Amendment)]

71-802 - Rule 71-102 [BO 71-802 (Variation)]

8 - Mutual Funds

81-101 - CSA Notice of Amendments Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1

81-101 - Mutual Fund Prospectus Disclosure Rule [Rule 81-101]

81-102 - Investment Funds [Rule 81-102]

81-104 - Alternative Mutual Funds [Rule 81-104]

81-105 - Mutual Fund Sales Practices [Rule 81-105]

81-106 - Investment Fund Continuous Disclosure [Rule 81-106]

81-107 - Independent Review Committee for Investment Funds [Rule 81-107]

81-313 - Status Report on Consultation under CSA Discussion Paper and Request for Comment 81-407 Mutual Fund Fees [CSA Notice 81-313]

81-314 - Withdrawn [CSA Notice 81-314]

81-316 - Hedge Funds [CSA Notice 81-316]

81-317 - Frequently Asked Questions on NI 81-107 Independent Review Committee for Investment Funds [CSA Notice 81-317]

81-318 - Request for comment - Framework 81-406 Point of sale disclosure for mutual funds and segregated funds. Comment Period ended December 23, 2008.

81-319 - Withdrawn [CSA Notice 81-319]

81-320 - CSA Notice 81-320 - Withdrawn (See CSA Notice 11-341)

81-321 - Withdrawn [CSA Notice 81-321]

81-322 - CSA Staff Notice 81-322 - Next Steps on Proposals to Prohibit Certain Investment Fund Embedded Commissions

81-322 - Withdrawn [CSA Notice 81-322]

81-324 - Notice and Request for comment Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts. Comment period ended March 12, 2014

81-325 - CSA Notice 81-325 - Withdrawn (See CSA Notice 11-341)

81-326 - CSA Notice 81-326 - Withdrawn (See CSA Notice 11-341)

81-327 - Next Steps in the CSA's Examination of Mutual Fund Fees [CSA Notice]

81-328 - Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of NI 81-102 [CSA Notice 81-328]

81-329 - Reducing Regulatory Burden for Investment Fund Issuers [CSA Staff Notice 81-329]

81-330 - Status Report on Consultation on Embedded Commissions and Next Steps [CSA Notice 81-330]

81-331 - Investment Funds Investing in Bail-in Debt [CSA Notice 81-331]

81-333 - CSA Staff Notice 81-333 Guidance on Effective Liquidity Risk Management for Investment Funds

81-334 - CSA Staff Notice 81-334 (Revised) ESG-Related Investment Fund Disclosure

81-334 - CSA Staff Notice 81-334: ESG-Related Investment Fund Disclosure

81-335 - CSA Staff Notice 81-335 Investment Fund Settlement Cycles

81-336 - Canadian Securities Administrators Staff Notice 81-336 Guidance on Crypto Asset Investment Funds that are Reporting Issuers

81-407 - CSA Discussion Paper & Request for Comment 81-407 Mutual Funds Fees

81-408 - Consultation on the Option of Discontinuing Embedded Commissions [CSA Consultation Paper 81-408]

81-501 - BO 81-501 - Rule 81-106 - Investment Fund Continuous Disclosure

81-503 - NI 81-102 and Certain MFDA Members, Commingling of Funds

81-504 - Exemption from Prescribed Form of Mutual Fund Audit Reports in NI 81-102 [BO 81-504]

81-505 - Temporary Relief for Investment Funds [BO 81-505]

81-506 - A TEMPORARY EXEMPTION FROM BORROWING LIMIT TO ACCOMMODATE REDEMPTION REQUESTS OF MUTUAL FUNDS INVESTING IN FIXED INCOME SECURITIES [BO 81-506]

81-507 - Extension of Certain Filing, Delivery, and Prospectus Renewal Requirements of Investments Funds with Deadlines During the Period June 2 to September 30, 2020 [BO 81-507]

81-508 - Exemptions from National Instrument 81-104 Alternative Mutual Funds [BO 81-508]

81-509 - Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commission and Clients Transfers [BO 81-509]

81-701 - Rule 81-101, Rule 81-102 and National Policy Statement Nos. 34, 36 and 39

81-702 - Rule 81-106 - Investment Fund Continuous Disclosure and National Policy Statement Nos. 27, 31, 50 and 51

81-703 - NI 81-101 Mutual Fund Prospectus Disclosure and NI 41-101 General Prospectus Requirements

81-801 - Implementing NI 81-106 Investment Fund Continuous Disclosure

81-802 - Implementing NI 81-107 Independent Review Committee for Investment Funds

9 - Derivatives

91-101 - Derivatives: Product Determination [Rule 91-101]

91-102 - Prohibition of Binary Options [Rule 91-102]

91-301 - Model Provincial Rules – Derivatives: Product Determination and Trade Repositories and Derivatives Data Reporting [Consultation Paper 91-301]

91-302 - Updated Model Rules – Derivatives Product Determination and Trade Repositories and Derivatives Data Reporting [CSA Notice 91-302]

91-303 - Proposed Model Provincial Rule on Mandatory Central Counterparty Clearing of Derivatives [CSA Notice 91-303]

91-304 - Model Provincial Rule - Derivatives: Customer Clearing and Protection of Customer Collateral and Positions [CSA Notice 91-304]

91-305 - Frequently Asked Questions relating to MI 91-101 and MI 96-101 [CSA Notice 91-305]

91-402 - Derivatives: Trade Repositories [Consultation Paper 91-402]

91-403 - Derivatives: Surveillance and Enforcement [Consultation Paper 91-403]

91-404 - Derivatives: Segregation and Portability in OTC Derivatives Clearing [Consultation Paper 91-404]

91-405 - Derivatives: End-User Exemption [Consultation Paper 91-405]

91-406 - Derivatives: OTC Central Counterparty Clearing [Consultation Paper 91-406]

91-407 - Derivatives: Registration [Consultation Paper 91-407]

91-501 - Over the Counter Trades in Derivatives [BO 91-501]

91-502 - Designating over-the-counter derivatives to be securities [DO 91-502]

91-701 - Guidance on BO 91-501 [NSSC Notice 91-701]

91-702 - Proposed Consequential Amendments to Certain National Instruments and Policies related to Derivatives Regulation in Nova Scotia [NSSC Notice 91-702]

92-401 - Derivatives Trading Facilities [Consultation Paper 92-401]

93-101 - Multilateral Instrument 93-101 Derivatives: Business Conduct & Companion Policy 93-101CP

93-102 - Request for Comment Proposed NI 93-102 Derivatives: Registration and Proposed Related Companion Policy [CSA Notice]

93-301 - Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period [CSA Notice 93-301]

93-930 - Temporary exemptions for derivatives firms from certain obligations when transacting with certain investment funds and for senior derivatives managers from certain reporting obligation [BO 93-930]

94-101 - Mandatory Central Counterparty Clearing of Derivatives [Rule 94-101]

94-102 - Derivatives: Customer Clearing and Protection of Customer Collateral and Positions [Rule 94-102]

94-301 - Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing [CSA Notice 94-301]

94-302 - Delivery of Forms Required under National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions [CSA Staff Notice 94-302]

94-303 - Variation, Amendment, or Revocation and Replacement of Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing and Update on Proposed Amendments to NI 94-101 [CSA Notice 94-303]

94-304 - CSA Notice 94-304 Frequency of the requirement to deliver Form 94-102F3 Customer Collateral Report: Regulated Clearing Agency

94-501 - Relief from Certain Counterparties from Mandatory Clearing under NI 94-101 [BO 94-501]

94-502 - Relief for Certain Counterparties from Mandatory Clearing under NI 94-101 [BO 94-502]

94-503 - Exempting regulated clearing agencies from the frequency of the requirement to deliver Form 94-102F3 Customer Collateral Report: Regulated Clearing Agency [BO 94-503]

95-301 - Margin and Collateral Requirements for Non-Centrally Cleared Derivatives [CSA Notice 95-301]

95-302 - Margin and Collateral Requirements for Non-Centrally Cleared Derivatives [CSA Notice 95-302]

95-401 - Margin and Collateral Requirements for Non-Centrally Cleared Derivatives [Consultation Paper 94-501] Comment period ended Sept. 6/16.

96-101 - Trade Repositories and Derivatives Data Reporting [Rule 96-101]

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 Notice 96-301]

96-302 - Variation, amendment, or revocation and replacement of Blanket Order Relief from Certain Derivatives Data Reporting Requirements under Multilateral Instrument 96-101

96-501 - Relief from Certain Derivatives Reporting Requirements [BO 96-501(Amendment)]

96-502 - Exemption from Derivatives Reporting Requirements in MI 96-101 for Certain Derivatives Reported to Certain Data Centres [BO 96-502]

96-503 - Exemption from Certain Derivative Reporting Requirements under MI 96-101 for Certain Financially-Settled Electricity-Based Derivatives [BO 96-503]

96-504 - Relief from Certain Requirements to Publicly Disseminate Data under MI 96-101 [BO 96-504]

96-930 - Exemption from derivatives reporting requirements in Multilateral Instrument 96‐ 101 Trade Repositories and Derivatives Data Reporting for certain derivatives data relating to U.S. dollar London interbank offered rate [BO 96-930]

96-931 - Exemption from derivatives reporting requirements in Multilateral Instrument 960191 Trade Repositories and Derivative Data Reporting for certain derivatives relating to Canadian dollar offered rate [BO 96-931]

96-932 - Temporary Exemptions from Certain Derivatives Data Reporting Requirements [BO 96-932]

Documents Under Old Numbering System

1 - BO 1 Grandfathering Provision

1.2 - Local Policy 1.2 Strip Bonds

3 - BO 3 Zero Coupon Strip Bonds - Registration and Prospectus Exemption

5 - Notice 5 - Recognition of the Toronto Stock Exchange

6 - Notice 6 - Applications for Exemption Orders

14-101 - Rule 14-101 (Amendment) & Consequential Amendments

15 - BO 15 Recognized Options Rationalization Order and Variations

16 - BO 16 Commodity Futures Contracts and Options - Prospectus Exemption

23 - BO 23 Director's Power to Determine Confidentiality of Filed Material

24 - BO 24 Certain Certificates of Government Securities - Registration and Prospectus Exemption

27 - Notice 27B An Application by a Registered Dealer or Registered Advisor for Acceptance of the Voluntary Surrender of Its Registration

29 - BO 29 Prescription of a Company to be a Loan or Trust Company

32a - BO 32A Trades of Real Return Bond Strip Bonds - Registration and Prospectus Exemptions

37 - BO 37 Statutory Arrangements - Exemption

42 - Advertising of Securities on Radio or Television [NP 42]

47 - BO 47 - Distribution of Mutual Funds Established for Employees of a Company and its Affiliates

51 - BO 51 - Exemptive Relief Pending Adoption of National and Multilateral Instruments

63 - Notice 63 National Policies

67 - Notice 67 Exemptive Relief Pending Adoption of National and Multilateral Instruments

68 - Notice 68 Prospectus Disclosure Rules 41-101, 44-101, 44-102 & 44-103 and Repeal of NP 12, 13, 32, 35, 44, 47

70 - Notice 70 Publication Requirements

71 - Notice 71 - Rule 71-101 The Multijurisdictional Disclosure System and NP45

72 - Notice 72 - Rule 33-102 Regulation of Certain Registrant Activities and Policy Statement No. 2.1

73 - Notice 73 - Rule 43-101 Standards of Disclosure for Mineral Projects and NP 2A

74 - Notice 74 - NP 12-201, 46-201 and 51-201 and Repeal of NP 40

GSR-1 - Annual Co-operative Report of Exempt Distributions

Failure to file annual financial statements.
Failure to file interim financial statements.
Failure to file an annual or interim management’s discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP).
Failure to file an Annual Information Form (AIF).
Failure to file a certification of annual or interim filings required by Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (MI 52-109).
Failure to file required proxy materials or a required information circular.
Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI).
Failure to file a material change report.
Failure to provide a written update after filing a confidential report of a material change.
Failure to file a business acquisition report.
Failure to file annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure of Oil and Gas Activities (NI 51-101) or technical reports for a mineral project required under NI 43-101 Standards of Disclosure for Mineral Projects (NI 43-101).
Failure to file a mandatory news release.
Failure to file corporate governance disclosure as required by national Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101).
Failure to file audit committee disclosure as required by Multilateral Instrument 52-110 Audit Committees (MI 52-110) or BC Instrument 52-509 Audit Committees.
Failure to include disclosure in an issuer’s MD&A relating to disclosure controls and procedures and their direct effectiveness that is referred to in a certificate filed under MI 52-109.
Financial statements of the reporting issuer, or the auditors’ report accompanying the financial statements, do not comply with the requirements of NI 51-102 Continuous Disclosure Obligations (NI 51-102), National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106) or National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency (NI 52-107).
The reporting issuer has acknowledged that its financial statements, or the auditors’ report accompanying the financial statements, may no longer be relied upon.
The reporting issuer’s AIF, MD&A, MRFP, information circular, or business acquisition reports do not contain information for each of the content items required by NI 51-102 or NI 81-106.
The reporting issuer’s technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or 51-101.
Failure to pay a fee required by the Act or the regulations.
Failure to comply with any other requirement related to continuous disclosure.