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Proposed Rules, Policies & Concept Papers
This part of the website contains a weekly overview of current rule-making, memorandum of understanding and policy-making activities at the OSC. The overview is divided into four sections:
Expected Publications for Comment |
This section lists instruments that are expected to be published for comment within the next three months. This section will be updated on a quarterly basis.
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| Number |
Title |
Expected Publication Date |
| 55-101 |
Exemptions from Certain Insider Reporting Requirements (Amendments) |
October 2008 |
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Instruments Currently Out For Public Comment |
This section lists all of the rules which are currently out for public comment. You may view all of the comments submitted for each of the listed rules during the current comment period and any previous comment periods by clicking on the links provided below.
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| Number |
Rule |
Published |
Comments Close |
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| Number |
Policy |
Published |
Comments Close |
| 11-202 |
Process for Prospectus Reviews in Multiple Jurisdictions (Amendments) |
July 18, 2008 |
September 17, 2008 |
| 11-203 |
Process for Exemptive Relief Applications in Multiple Jurisdictions (Amendments) |
July 18, 2008 |
September 17, 2008 |
| 11-204 |
Process for Registration in Multiple Jurisdictions |
July 18, 2008 |
September 17, 2008
(Comments on the repeal of NRS are due by October 17, 2008) |
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| Number |
Concept Paper |
Published |
Comments Close |
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Guidelines |
Published |
Comments Close |
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Other |
Published |
Comments Close |
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Public Comment Period Closed - Comments Under Review |
The public comment period for each of the rules listed in this section has closed. The comments submitted during the comment period are currently being reviewed by OSC and CSA staff. You may view all of the comments submitted for each of the listed rules during all previous comment periods by clicking on the links provided below.
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| Number |
Title |
Published |
Comment Closed |
| 23-102 |
Use of Client Brokerage Commissions
Comments Received |
January 11, 2008 |
April 10, 2008 |
| 31-102 |
National Registration Database
(Amendments)
Comments Received |
February 29, 2008 |
May 29, 2008 |
| 31-103 |
Registration Requirements
(includes consequential amendments)
Comments Received |
February 29, 2008 |
May 29, 2008 |
| 31-509 |
National Registration Database
(under the Commodity Futures Act)
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February 29, 2008 |
May 29, 2008 |
| 33-109 |
Registration Information - Revocation and Replacement
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February 29, 2008 |
May 29, 2008 |
| 33-506 |
Registration Information - Revocation and Replacement
(under the Commodity Futures Act)
Comments Received |
February 29, 2008 |
May 29, 2008 |
45-106
45-501 |
Prospectus and Registration Exemptions
(includes consequential amendments)
Comments Received |
February 29, 2008 |
May 29, 2008 |
| 51-102 |
Form 51-102F6 Statement of Executive Compensation
Comments Received |
February 22, 2008 |
April 22, 2008 |
| 51-604 |
Defence for Misrepresentations in forward looking information
Comments Received |
June 2, 2006 |
January 11, 2006 |
| 52-109 |
Certification of Disclosure in Issuer's Annual and Interim Filings
Comments Received |
April 18, 2008 |
June 17, 2008 |
| 81-406 |
Proposed Framework for Point of Sale Disclosure for Mutual Funds and Segregated
Comments Received |
June 15, 2007 |
October 15, 2007 |
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| Number |
Policy |
Published |
Comments Close |
| 12-203 |
Issuance of a Cease Trade Order in Response to Certain Continuous Disclosure Defaults
Comments Received |
March 28, 2008 |
May 27, 2008 |
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| Number |
Concept Paper |
Published |
Comments Close |
| 52-402 |
Possible changes to Securities Rules Relating to International Financial Reporting Standards
Comments Received |
February 15, 2008 |
April 13, 2008 |
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| Number |
Guidelines |
Published |
Comments Close |
| 15-902 |
Proposed Guidelines for Executive Director's Settlements |
March 21, 2008 |
May 21, 2008 |
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| Number |
Other |
Published |
Comments Close |
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Instruments with Minister for 60-Day Review and Decision |
This section identifies all of the rules that are currently with the Minister responsible for the OSC for review and decision and indicates the final day of the Minister's 60 day review period.
Within 60 days after the Commission delivers a rule to the Minister, the Minister may approve or reject the rule, or return it to the Commission for further consideration. If the Minister does not approve, reject or return the rule, it becomes effective 15 days following the conclusion of the 60 day period unless there is a later day specified in the rule in which case the rule comes into force on that later day. You may view the version of the instrument which has been delivered to the Minister for review and decision by clicking on the links below.
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| Number |
Title |
Minister's Decision Required by |
| 21-101 |
Marketplace Operation (Amendment) |
August 19, 2008 |
| 23-101 |
Trading Rules (Amendment) |
August 19, 2008 |
| 81-106 |
Investment Fund Continuous Disclosure (Amendment) |
August 19, 2008 |
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Memorandum of Understanding Regarding Oversight of Investment Industry Regulatory Organization of Canada |
July 28, 2008 |
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