Securities Law & Instruments
Proposed Instruments, Rules & Policies
This is an overview of current activities related to rule-making, policy development and memorandum of understanding. It lists proposed instruments, rules and policies that are published for public comment, under review, pending the Minister’s review and decision, and expected for publication in final form.
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Expected Publications for Comment
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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 |
| NI 41-101 | General Prospectus Requirements - Prospectus Form Amendments | January 2010 |
| NI 51-101 | Standards of Disclosure for Oil and Gas Activities - Amendments | December 2009 |
| NI 54-101 | Communications with Beneficial Owners of Securities of a Reporting Issuer- Amendments | December 2009 |
| NI 81-102 | Mutual Funds | December/January 2010 |
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Instruments Currently Out For Public Comment
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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 |
| OSC Rule 13-502 | Fees -Amendments | October 2, 2009 | December 31, 2009 |
| OSC Rule 13-503 | Fees (under the Commodity Futures Act) - Amendments | October 2, 2009 | December 31, 2009 |
| NI 14-101 | Definitions (IFRS Amendments) | September 25, 2009 | December 24, 2009 |
| 23-404 | Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada | September 30, 2009 | December 29, 2009 |
| NI 24-101 | Institutional Trade Matching and Settlement - Amendments | October 30, 2009 | January 28, 2010 |
| NI 31-103 | Registration Requirements and Exemptions (includes amendments to NI 33-109 Registration Information) - IFRS Amendments | October 23, 2009 | January 21, 2010 |
| NI 41-101 | General Prospectus Requirements (IFRS amendments) | October 9, 2009 | January 7, 2010 |
| NI 41-101 | General Prospectus Requirements (IFRS amendments) | September 25, 2009 | December 24, 2009 |
| NI 44-101 | Short Form Prospectus Disclosure (IFRS amendments) | September 25, 2009 | December 24, 2009 |
| NI 44-102 | Shelf Distributions (IFRS amendments) | September 25, 2009 | December 24, 2009 |
| NI 45-106 | IFRS-related amendments Prospectus and Registration Exemptions – Amendments [includes amendments to: Form 45-106F2 Offering Memorandum for Non-Qualifying Issuers Form 45-106F3 Offering Memorandum for Qualifying Issuers Company Policy 45-106CP to 45-106 Prospectus and Registration Exemptions] |
October 16, 2009 | January 18, 2010 |
| NI 51-102 | Continuous Disclosure Requirements (IFRS amendments) | September 25, 2009 | December 24, 2009 |
| NI 52-107 | Acceptable Accounting Principles, Auditing Standards and Reporting Currency (IFRS amendments) | September 25, 2009 | December 24, 2009 |
| NI 52-109 | Certification of Disclosure in Issuers’ Annual and Interim Filings (IFRS Amendments) | September 25, 2009 | December 24, 2009 |
| NI 71-102 | Continuous Disclosure and Other Exemptions Relating to Foreign Issuers (IFRS Amendments) | September 25, 2009 | December 24, 2009 |
| NI 81-101 | Mutual Fund Prospectus Disclosure - Amendments | October 9, 2009 | January 7, 2010 |
| NI 81-106 | IFRS-related amendments for Investment Funds Investment Funds Continuous Disclosure – Amendments [includes consequential amendments to: Form 41-101F2 Information Required in an Investment Fund Prospectus 81-101 Mutual Fund Prospectus Disclosure Form 81-101F1 Contents of Simplified Prospectus Companion Policy 81-101CP to NI 81-101 Mutual Fund Prospectus Disclosure 81-102 Mutual Funds 81-104 Commodity Pools 81-801 Implementing NI 81-106 Investment Funds Continuous Disclosure] |
October 16, 2009 | January 14, 2010 |
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Public Comment Period Closed - Comments Under Review
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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 | Comments Closed |
| 55-104 | Insider Reporting Requirements and Exemptions Comments Received |
December 18, 2008 | March 19, 2009 |
| 81-101 | Point of Sale Disclosure for Mutual Funds Comments Received |
June 19, 2009 | October 17, 2009 |
| Number | Policy | Published | Comments Closed |
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Instruments with Minister for 60-Day Review and Decision
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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 |
| MOU | Memorandum of Understanding Oversight of Exchanges and Quotation and Trade Reporting Systems – Amendments | December 1, 2009 |
| NI 21-101 | Marketplace Operation – Amendments | January 12, 2010 |
| NI 23-101 | Trading Rules – Amendments | January 12, 2010 |
| 23-102 | Use of Client Brokerage Commissions | November 30, 2009 |
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Expected to be published in final form in the next six months
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This section lists policies and concept papers that are expected to be published in final form within the next six months.
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