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Category 4 - Distribution Requirements

Commission Documents

This section contains rules, instruments, policies, and other documents, both proposed and final.

CATEGORY 1 - Procedure and Related Matters
CATEGORY 2 - Certain Capital Market Participants
CATEGORY 3 - Registration Requirements and Related Matters
CATEGORY 4 - Distribution Requirements
 
 
September 5, 2008 Consequential Amendments
March 7, 2008 National Instrument in PDF
March 7, 2008 Notice of Ministerial Approval
December 21, 2007 National Instrument in PDF
December 22, 2006 Proposed National Instrument and Related Amendments in PDF
  Comments Received
   
41-101 - Prospectus Disclosure Requirements & Rescission of NP 12, 13, 32, and 35 (Repealed by 41-101 - General Prospectus Requirements on March 17, 2008)
December 15, 2000 Notice and Rule in PDF
October 13, 2000 Notice and Rule in PDF
May 16, 1994 Notice
May 16, 1997 Proposed National Instrument
   
 
July 6, 2007 National Policy 41-201 - Income Trusts and Other Indirect Offerings
July 6, 2007 CSA Notice of replacement of National Policy 41-201
January 5, 2007 Proposed Amendments
December 3, 2004 Notice of Commission Approval
December 3, 2004 Notice
December 3, 2004 National Policy in PDF
October 24, 2003 Proposed National Policy
October 24, 2003 Request for Comment
  Comments Received
October 24, 2003 Notice of Proposed National Policy
   
 
April 20, 2001 Withdrawal of Notice
January 30, 1998 CSA Notice
   
 
March 3, 2006 CSA Notice
April 19, 2002 CSA Staff Notice
   
 
August 26, 2005 CSA Staff Notice
   
 
December 21, 2007 Consequential Amendments in PDF
March 29, 2007 Notice and Request for Comment in PDF
November 10, 2006 Consequential Amendments
July 28, 2006 Consequential Amendments
April 2, 2004 Consequential Amendments
July 18, 2003 Consequential Amendments
January 24, 2003 Proposed Amendments in PDF
December 15, 2000 Notice, Rule, Forms and Companion Policy in PDF
October 13, 2000 Notice, Rule, Forms and Companion Policy in PDF
December 17, 1999 Notice of Proposed Changes in PDF
August 27, 1999 Notice
July 23, 1999 Notice and Proposed Rule in PDF
May 2, 1997 Notice
May 2, 1997 Proposed Rule in PDF
May 2, 1997 Proposed Companion Policy
May 2, 1997 Proposed Form F1
May 2, 1997 Proposed Form F2
May 2, 1997 Proposed Form F3
May 2, 1997 Proposed Form F4
May 2, 1997 Table of Concordance
   
 
June 3, 2005 Consequential Amendments
September 20, 2002 Notice of Amendment
April 13, 2001 Notice of Final Rule
January 19, 2001 Notice and Final Rule
June 27, 1997 Notice
June 27, 1997 Proposed Rule
June 27, 1997 Proposed Companion Policy
   
 
April 8, 2005 Amended CPC Operating Agreement
April 8, 2005 Notice
June 14, 2002 Notice of Approval
April 12, 2002 Notice of Policy and Operating Agreement in PDF
April 12, 2002 Notice in PDF
April 12, 2002 Notice of Publication of Certain Ancillary Documents in PDF
  1. CDNX Corporate Finance Manual Policy 2.4 Capital Pool Companies in PDF
  2. CDNX Form 3A: Form of CPC Prospectus in PDF
  3. CDNX Form 3B: Exchange Information Circular Form in PDF
April 12, 2002 Operating Agreement in PDF
August 31, 2001 Notice and Proposed Policy
  Comments Received
   
 
July 29, 2005 Staff Notice
May 2, 1997 Staff Notice
   
 
March 7, 2008 Rule Approved by Minister in PDF (see page 259)
December 21, 2007 Rule Approved by Commission in PDF (see page 334)
   
 
January 16, 2004 Withdrawal
February 11, 2000 CSA Staff Notice
   
 
March 17, 2008 Withdrawn as part of NI 41-101 in PDF
March 12, 2004 CSA Staff Notice
   
 
February 29, 2008 Mineral Project Disclosure Standards: Understanding NI 43-101 in PDF
  CIM Definition Standards on Mineral Resources and Mineral Reserves
Please note that the link above will take you outside the OSC website.
March 2, 2007 Seminar Handout - NI 43-101 Standards of Disclosure for Mineral Projects in PDF
June 2, 2006 CSA Staff Notice 43-306 - Technical Reports Filed for Prospectus Offerings
March 3, 2006 Amendments to National Instrument 43-101 -
An Essential One-Day Seminar For The Mining Industry

December 23, 2005 Notice of Ministerial Approval
December 23, 2005 National Instrument
October 7, 2005 Notice of Commission Approval
October 7, 2005 National Instrument
October 7, 2005 CSA Notice in PDF
March 4, 2005 Good Disclosure Practices Under NI 43-101 in PDF
March 4, 2005 Technical Reports Meeting Regulatory Requirements and Good Disclosure Practices in PDF
September 10, 2004 Notice
September 10, 2004 CSA Notice
September 10, 2004 Proposed National Instrument
January 2, 2004 Workshops
January 24, 2003 Frequently Asked Questions - Revised
February 8, 2002 Frequently Asked Questions - Revised in PDF
October 19, 2001 CSA Staff Notice 43-302: Frequently Asked Questions in PDF
February 2, 2001 Staff Notice 43-701 - Regarding 43-101
January 12, 2001 Notice and Final Rule
November 17, 2000 Notice
November 17, 2000 Notice of National Instrument, Companion Policy and Form
March 24, 2000 Notice of Proposed National Instrument, Companion Policy and Form
July 3, 1998 Notice of Proposed National Instrument and Companion Policy
  Comments Received
   
 
January 25, 2008 CSA Notice 11-102 - Notice of Rescission of 43-201 in PDF
December 21, 2007 Consequential Amendments Approved by Commission in PDF (see page 328)
November 18, 2005 Amended National Policy
November 18, 2005 National Policy
August 26, 2005 National Policy (blackline copy)
January 7, 2005 Notice and Request for Comment
January 7, 2005 Proposed Amendment
May 27, 2005 Notice and Request for Comment
January 7, 2005 Proposed National Policy blacklined in PDF
January 25, 2002 Notice of Amendments and National Policy in PDF
November 19, 1999 Notice and National Policy (effective January 1, 2000)
July 31, 1998 Notice and Materials Required To Be Filed Under National Policy
June 19, 1998 Notice of Proposed Policy, Rescission of NP1 and Proposed National Policy
   
 
December 21, 2001 Withdrawal of Staff Notice
November 17, 2000 Notice
   
 
December 23, 2005 Withdrawn
January 24, 2003 CSA Staff Notice 43-302 & FAQ's for National Instrument 43-101 (Standards of Disclosure for Mineral Projects)
October 19, 2001 CSA Staff Notice in PDF
   
 
February 8, 2002 CSA Staff Notice in PDF
   
 
March 3, 2006 Withdrawn by CSA Notice 11-309
June 28, 2002 CSA Staff Notice
   
 
February 11, 2005 CSA Notice
   
 
June 2, 2006 CSA Staff Notice
   
 
February 2, 2001 Staff Notice
   
 
July 27, 2001 OSC Staff Notice
   
 
September 5, 2008 Unofficial Consolidated National Instrument, Form and Companion Policy as of September 5, 2008 in PDF
March 7, 2008 Consequential Amendments Approved by Minister in PDF (see page 171)
December 21, 2007 Consequential Amendments Approved by Commission in PDF (see page 246)
October 13, 2006 Consequential Amendments Approved by Commission in PDF (see page 27)
September 1, 2006 Ontario Amendment Instrument
September 1, 2006 Notice of Ministerial Approval - Ontario Amendment Instrument
July 14, 2006 Notice of Commission Approval - Ontario Amendment Instrument
March 10, 2006 CSA Notice
December 23, 2005 Notice of Ministerial Approval
December 23, 2005 National Instrument in PDF
December 23, 2005 Consequential Amendments
December 16, 2005 CSA Staff Notice
October 21, 2005 Commission Approval
October 21, 2005 CSA Notice in PDF
October 21, 2005 Consequential Amendments
May 27, 2005 Proposed Consequential Amendments in PDF
January 7, 2005 Notice and Request for Comment
January 7, 2005 Notice of Request for Comment
  Comments Received
January 7, 2005 Proposed Repeal and Replacement in PDF
January 7, 2005 Proposed National Instrument - Form 44-101F1 blacklined in PDF
January 7, 2005 Proposed National Instrument blacklined in PDF
January 7, 2005 Proposed Companion Policy blacklined in PDF
January 7, 2005 Notice of Ministerial Approval
January 7, 2005 Amendments
November 11, 2004 Notice of Correction
November 11, 2004 Notice of Commission Approval of Amendments - REVISED
November 11, 2004 Notice of Amendments - REVISED
October 22, 2004 Notice of Commission Approval of Amendments
October 22, 2004 Notice of Amendments
October 22, 2004 Rule
October 22, 2004 (Blacklined) Amendments - Rule in PDF
October 22, 2004 (Blacklined) Amendments - Companion Policy in PDF in PDF
January 30, 2004 Proposed Amendments
January 30, 2004 Request for Comment
  Comments Received
January 30, 2004 Notice of Request for Comment
December 19, 2003 Amendments
July 18, 2003 Amendments
June 20, 2003 Proposed Amendments
January 24, 2003 Proposed Consequential Amendments
December 22, 2000 Final Rule in PDF
October 13, 2000 Notice, National Instrument, Forms and Companion Policy  in PDF
December 17, 1999 Notice of Proposed Changes to National Instrument in PDF
August 20, 1999 Table of Concordance
July 23, 1999 Notice and Proposed National Instrument in PDF
February 20, 1998 Notice
February 20, 1998 Proposed National Instrument
February 20, 1998 Form 44-101F1
February 20, 1998 Form 44-101F2
February 20, 1998 Proposed Companion Policy - 44-801
February 20, 1998 Table of Concordance
   
 
September 5, 2008 Unofficial Consolidated National Instrument and Companion Policy as of September 5, 2008 in PDF
March 7, 2008 Consequential Amendments Approved by Minister in PDF (see page 211)
December 21, 2007 Consequential Amendments Approved by Commission in PDF (see page 285)
February 9, 2006 Unofficial Consolidated National Instrument blacklined in PDF
February 9, 2006 Unofficial Consolidated Companion Policy blacklined in PDF
January 31, 2006 Unofficial Consolidated National Instrument and Companion Policy in PDF
December 23, 2005 Consequential Amendments
January 7, 2005 Notice and Request for Comment
January 7, 2005 Proposed Amendment
January 7, 2005 Notice of Request for Comment
  Comments Received
January 7, 2005 Proposed National Instrument blacklined in PDF
January 7, 2005 Proposed Companion Policy blacklined in PDF
December 22, 2000 Final Rule  in PDF
October 13, 2000 Notice, National Instrument, Forms and Companion Policy  in PDF
October 2, 1998 Proposed National Instrument
   
 
September 5, 2008 Unofficial Consolidated National Instrument and Companion Policy as of September 5, 2008 in PDF
March 7, 2008 Consequential Amendments Approved by Minister in PDF (see page 221)
December 21, 2007 Consequential Amendments Approved by Commission in PDF (see page 294)
February 9, 2006 Unofficial Consolidated National Instrument blacklined in PDF
February 9, 2006 Unofficial Consolidated Companion Policy blacklined in PDF
January 31, 2006 Unofficial Consolidated National Instrument and Companion Policy in PDF
December 23, 2005 Consequential Amendments
January 7, 2005 Notice and Request for Comment
January 7, 2005 Proposed Amendment
January 7, 2005 Proposed National Instrument blacklined in PDF
January 7, 2005 Proposed Companion Policy blacklined in PDF
December 22, 2000 Final Rule  in PDF
October 13, 2000 Notice, National Instrument, Forms and Companion Policy in PDF
October 2, 1998 Proposed National Instrument and Companion Policy
   
 
March 17, 2008 Withdrawn as part of NI 41-101 in PDF
March 15, 2002 CSA Staff Notice in PDF
   
 
December 16, 2005 CSA Staff Notice
   
 
March 10, 2006 CSA Notice
   
 
July 20, 2007 CSA Staff Notice
   
 
January 28, 2000 CSA Notice and Request for Comment in PDF
Comments Received
   
 
March 7, 2008 Repeal of Rule Approved by Minister in PDF (see page 263)
April 13, 2001 Notice and Final Rule
February 9, 2001 Notice and Final Rule
   
 
September 5, 2008 Unofficial Consolidated National Instrument, Form and Companion Policy as of September 5, 2008 in PDF
September 9, 2005 Notice of Ministerial Approval
September 9, 2005 Consequential Amendments in PDF
July 8, 2005 Consequential Amendments in PDF
December 17, 2004 Proposed Consequential Amendments
July 18, 2003 Amendments
January 24, 2003 Proposed Consequential Amendments
July 20, 2001 Notice, Final Rule, Form and Companion Policy (effective July 25, 2001)
April 27, 2001 Notice, Companion Policy and Form
August 11, 2000 Notice and Proposed Changes
November 21, 1997 Notice
November 21, 1997 Proposed National Instrument
November 21, 1997 Proposed Companion Policy
   
 
May 22, 2009 Notice and Request for Comment
February 29, 2008 Notice and Request for Comment in PDF
  Comments Received
September 9, 2005 Notice of Ministerial Approval
September 9, 2005 Consequential Amendments in PDF
July 8, 2005 Consequential Amendments in PDF
December 17, 2004 Proposed Consequential Amendments
April 2, 2004 Notice of Ministerial Approval
April 2, 2004 Multilateral Instrument
April 2, 2004 CSA Notice 45-302 Frequently Asked Questions
March 26, 2004 Multilateral Instrument 45-102 Resale of Securities, Form 45-102F1 and Other Consequential Amendments
December 19, 2003 Multilateral Instrument
December 19, 2003 Notice of Multilateral Instrument
July 18, 2003 Amendments
January 31, 2003 Proposed Multilateral Instrument and Companion Policy
January 31, 2003 Request for Comment on Proposed Repeal and Replacement
  Comments Received
January 31, 2003 Notice of Request for Comments Proposed Repeal and Replacement
January 24, 2003 Proposed Consequential Amendments
June 28, 2002 Frequently Asked Questions
June 21, 2002 Notice and Request for Comment
June 21, 2002 Notice - Notice of Request for Comment for Amendment
November 23, 2001 Notice of Approval in PDF
November 23, 2001 Multilateral Instrument, Companion Policy and Forms in PDF
September 14, 2001 Notice, Multilateral Instrument, Companion Policy and Forms in PDF
May 18, 2001 Notice in PDF
April 20, 2001 Notice, Proposed Rule, Forms, and Companion Policy in PDF
September 8, 2000 Notice, Proposed Multilateral Instrument, Companion Policy and Forms in PDF
   
 
September 9, 2005 Notice of Ministerial Approval
September 9, 2005 Repeal in PDF
December 17, 2004 Proposed Consequential Amendments
November 7, 2003 Multilateral Instrument
November 7, 2003 Notice of Ministerial Approval
September 5, 2003 Amendments
September 5, 2003 Notice of Amendments
August 8, 2003 Multilateral Instrument
August 8, 2003 Notice of Ministerial Approval
June 6, 2003 Multilateral Instrument
June 6, 2003 Notice of Multilateral Instrument
June 6, 2003 Notice - Notice of Multilateral Instrument
November 1, 2002 Request for Comment
November 1, 2002 Notice of Request for Comment
November 1, 2002 Proposed Multilateral Instrument
   
 
May 22, 2009 Notice and Request for Comment
February 29, 2008 Notice and Request for Comment in PDF
  Comments Received
January 6, 2006 Notice of Ministerial Approval
January 6, 2006 Ontario Amending Instrument
December 9, 2005 Notice
December 9, 2005 Amendment
December 2, 2005 CSA Staff Notice
November 15, 2005 Webcast - National Instrument 45-106 - Prospectus and Registration Exemptions
October 21, 2005 Request for Comment
October 21, 2005 CSA Request for Comment
October 7, 2005 Notice of Correction
September 9, 2005 CSA Staff Notice 45-304 - Notice of Local Exemptions Related to NI 45-106
September 9, 2005 Notice of Ministerial Approval
September 9, 2005 National Instrument in PDF
July 8, 2005 CSA Table of Concordance in PDF
July 8, 2005 National Instrument in PDF
July 8, 2005 Notice of Commission Approval
March 11, 2005 Comments Received
December 17, 2004 Notice
December 17, 2004 Proposed National Instrument in PDF
   
 
November 30, 2001 CSA Staff Notice in PDF
   
 
April 2, 2004 CSA Staff Notice
June 28, 2002 CSA Staff Notice
   
 
September 9, 2005 CSA Staff Notice
   
 
December 2, 2005 CSA Staff Notice
   
 
May 22, 2009 Notice and Request for Comment
February 29, 2008 Notice and Request for Comment in PDF
  Comments Received
September 9, 2005 Notice of Ministerial Approval
September 9, 2005 Amendment and Restatement in PDF
December 17, 2004 Proposed Consequential Amendments
April 2, 2004 Consequential Amendments
January 9, 2004 Rule
January 9, 2004 Notice of Ministerial Approval
November 7, 2003 Rule
November 7, 2003 Notice of Proposed Rule, Policy and Forms
November 7, 2003 Notice of Commission Approval of Proposed Amendment and Restatement
June 13, 2003 Amendments
June 13, 2003 Notice
April 17, 2003 Proposed Rule and Companion Policy
April 17, 2003 Request for Comments on Proposed Amendment and Restatement, and Recission of Current Rule
  Comments Received
April 17, 2003 Notice of Request for Comments on Proposed Amendment and Restatement, and Recission of Current Rule
April 4, 2003 Notice of Minister of Finance Approval of Amendments
January 31, 2003 Proposed Amendments
January 31, 2003 Amendments
January 3, 2003 Amendments
January 3, 2003 Notice of Amendments
March 29, 2002 OSC Staff Notice 45-702 Frequently Asked Questions Rule 45-501 in PDF
November 23, 2001 Notice of Approval in PDF
November 23, 2001 Rule, Companion Policy and Forms in PDF
September 14, 2001 Notice, Rule, Companion Policy and Forms in PDF
July 13, 2001 Notice, Proposed Rule, Companion Policy and Forms in PDF
  Comments Received
April 6, 2001 Notice, Proposed Rule, Companion Policy and Forms in PDF
  Comments Received
September 8, 2000 Notice, Proposed Rule, Proposed Companion Policy in PDF
  Comments Received
January 8, 1999 Final Rule, Companion Policy and Forms F1 and F2, (effective December 22, 1998)
October 16, 1998 Notice of Rule Policy, Forms, Companion Policy
May 29, 1998 Notice
May 29, 1998 Proposed Rule
May 29, 1998 Proposed Companion Policy
May 29, 1998 Proposed Form 45-501F1, Proposed Form 45-501F2
October 17, 1997 Notice, Proposed Rule, Proposed Companion Policy
   
 
September 14, 2005 Revoked by Rule 45-802 in PDF
June 13, 2003 Amendments
June 13, 2003 Notice
April 4, 2003 Notice of Minister of Finance Approval of Amendments
January 31, 2003 Amendments
January 3, 2003 Amendments
January 3, 2003 Notice of Amendments
November 22, 2002 Amendments
November 22, 2002 Notice of Minister of Finance Approval of Amendments
September 20, 2002 Notice of Amendments
September 20, 2002 Notice - Re: Amendments
September 14, 2001 Notice of Proposed Amendments in PDF
  Comments Received
June 12, 1998 Final Rule (effective June 10, 1998)
April 10, 1998 Commission Approval of Final Rule
February 27, 1998 Notice and Proposed Rule
September 19, 1997 Notice and Proposed Rule
   
 
August 15, 2003 Revoked by Rule 45-801
June 13, 2003 Amendments
June 13, 2003 Notice
April 4, 2003 Notice of Minister of Finance Approval of Amendments
January 31, 2003 Amendments
January 3, 2003 Amendments
January 3, 2003 Notice of Amendments
November 22, 2002 Amendments
November 22, 2002 Notice of Minister of Finance Approval of Amendments
September 20, 2002 Notice of Amendments
September 20, 2002 Notice - Re: Amendments
September 14, 2001 Notice of Proposed Amendments in PDF
  Comments Received
January 8, 1999 Final Rule (effective December 22, 1998)
October 16, 1998 Final Rule
August 21, 1998 Proposed Rule
February 20, 1998 Notice
February 20, 1998 Proposed Rule
   
 
June 28, 2002 Notice of Repeal
February 13, 1998 Final Rule (effective February 20, 1998)
December 19, 1997 Commission Approval of Rule
June 27, 1997 Proposed Rule and Notice
   
 
March 29, 2002 OSC Staff Notice in PDF - Withdrawn
   
 
February 10, 2006 OSC Staff Notice
July 5, 2002 OSC Staff Notice
   
 
September 5, 2003 OSC Staff Notice
   
 
November 24, 2006 OSC Staff Notice - Revised
December 17, 2004 OSC Staff Notice
   
 
November 7, 2003 Multilateral Instrument
November 7, 2003 Notice of Ministerial Approval
September 5, 2003 Amendments
September 5, 2003 Notice of Amendments
August 8, 2003 Multilateral Instrument
August 8, 2003 Notice of Ministerial Approval
June 6, 2003 Multilateral Instrument
June 6, 2003 Notice of Multilateral Instrument
June 6, 2003 Notice - Notice of Multilateral Instrument
November 1, 2002 Request for Comment
November 1, 2002 Notice of Request for Comment
   
 
September 9, 2005 Notice of Ministerial Approval
September 9, 2005 Rule in PDF
December 17, 2004 Proposed Rule in PDF
   
 
June 28, 2002 Notice of Policy and Form
June 28, 2002 National Policy and Form
November 13, 2001 Form 46-201F Escrow Agreement in PDF
September 21, 2001 Notice, Proposed Policy and Form in PDF
   
 
March 17, 2000 CSA Notice
   
 
March 3, 2006 CSA Notice
June 15, 2001 CSA Notice
   
 
July 7, 2006 CSA Notice
July 7, 2006 Investor Watch
   
 
December 12, 2007 CSA Comment letter on PPN Regulation in PDF
July 27, 2007 CSA Notice
   
 
August 29, 2008 CSA Notice
   
 
September 14, 2005 Revoked by Rule 45-802 in PDF
June 27, 1997 Final Rule (effective June 17, 1997)
April 18, 1997 Commission Approval of Rule
   
 
December 17, 1999 Notice and National Policy
December 18, 1998 Proposed National Policy
   
 
September 5, 2006 Notice - Over-allotment Options and Bought Deals – Exemptive Relief No Longer Necessary
May 24, 2006 Notice - Over-allotment Options and Bought Deals - Exemptive Relief Applications
April 21, 2006 CSA Notice
   
 
April 29, 2005 Notice of Rule
April 29, 2005 Rule and Companion Policy
March 4, 2005 Notice
March 4, 2005 Notice of Commission Approval
March 4, 2005 Rule
September 10, 2004 Notice of Request for Comments
September 10, 2004 Request for Comments
  Comments Received
September 10, 2004 Rule
August 29, 2003 Comparison of Proposed Rule
August 29, 2003 Proposed Rule
August 29, 2003 Notice of Request for Comments
  Comments Received
August 29, 2003 Notice - Notice of Request for Comments
   
 
June 27, 2000 Commission Notice
   
CATEGORY 5 - Ongoing Requirements for Issuers and Insiders
CATEGORY 6 - Take-Over Bids and Special Transactions
CATEGORY 7 - Securities Transactions Outside the Jurisdiction
CATEGORY 8 - Mutual Funds
CATEGORY 9 - Derivatives
Documents not numbered



 
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