Securities Law & Instruments
Instruments, Rules & Policies
Instruments, rules, policies, and other documents, both proposed and final, are organized into these categories:
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1 - Procedure and Related Matters
- 11-101 - Principal Regulator System
- 11-102 - Passport System
- 11-201 - Delivery of Documents by Electronic Means
- 11-202 - National Policy - Process for Prospectus Reviews in Multiple Jurisdictions
- 11-203 - National Policy - Process for Exemptive Relief Applications in Multiple Jurisdictions
- 11-204 - Process for Registration in Multiple Jurisdictions
- 11-205 - Process for Designation of Credit Rating Organizations in Multiple Jurisdictions
- 11-301 - CSA Strategic Plan 1999 - 2001
- 11-302 - Withdrawal of CSA Notices
- 11-303 - The Uniform Securities Legislation Project (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-304 - Responses to Comments Received on Concept Proposal, Blueprint For Uniform Securities Laws For Canada (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-305 - Withdrawal of CSA Staff Notice 42-301 and 52-302
- 11-306 - Extension of Comment Period for Consultation Drafts of the Uniform Securities Act and the Model Securities Administration Act (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-307 - Responses to Comments Received on Consultation Drafts for a Uniform Securities Act and a Model Securities Administration Act (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-309 - Withdrawal of CSA Notices
- 11-310 - Withdrawal of CSA Notices
- 11-311 - Notice of Extension of Comment Period – CSA Consultation Paper 11-405 – “Securities Regulatory Proposals Stemming from the 2007-08 Credit Market Turmoil and its Effect on the ABCP Market in Canada”
- 11-312 - National Numbering System
- 11-313 - Withdrawal of Notices and Policies
- 11-314 - Update of CSA Instruments
- 11-315 - Extension of Consultation Period
- 11-401 - Delivery of Documents by Issuers Using Electronic Media
- 11-402 - Concept Proposal for Uniform Securities Legislation (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-404 - Consultation Drafts of the Uniform Securities Act and the Model Administration Act (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-405 - Securities Regulatory Proposals Stemming from the 2007-2008 Credit Market Turmoil and its Effect on the ABCP Market in Canada
- 11-601 - The Securities Advisory Committee
- 11-706 - Withdrawal of Staff Notices
- 11-709 - Assignment of Notice Numbers
- 11-710 - Withdrawal of Staff Accounting Communiques
- 11-712 - Withdrawal of CSA Notices
- 11-717 - Securities Advisory Committee (OSC Policy 11-601)
- 11-719 - A Risk-based Approach for More Effective Regulation
- 11-722 - Recommendations of the Committee on Staff Communications
- 11-723 - Policy Reformulation Project
- 11-726 - Assignment of Policy Numbers (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-727 - Assignment of Notice Numbers (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-728 - Withdrawal of Staff Notices
- 11-729 - Withdrawal of Staff Notices
- 11-732 - Proposal for the Ontario Securities Administration Act (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-735 - IOSCO and International Joint Forum Publish Reports on Outsourcing of Financial Services for Public Comment (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-736 - North American Securities Administrators Association (NASAA) Seeks Public Comment on Proposal to Extend the Model Secondary Market Trading Exemption for Qualifying Canadian Securities to TSX Venture Exchange (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-737 - Securities Advisory Committee - Vacancies
- 11-738 - IOSCO Seeks Public Comment on draft Code of Conduct Fundamentals for Credit Rating Agencies (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-739 - Policy Reformulation Table of Concordance and List of New Instruments
- 11-740 - OSC Staff Notice - International Joint Forum Publishes Consultation Report on Credit Risk Transfer (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-741 - OSC Staff Notice - IOSCO Publishes Draft Consultation Policy and Procedures for Public Comment (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-742 - OSC Staff Notice - The Securities Advisory Committee to the OSC
- 11-743 - IOSCO Publishes Consultation Report Concerning Governance of Collective Investment Schemes (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-744 - IOSCO and International Joint Forum Publish Final Recommendations about Outsourcing of Financial Services (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-745 - IOSCO Publishes for Consultation Best Practice Standards on Anti-Market Timing and Anti-Money Laundering Guidance for Collective Investment Schemes (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-746 - IOSCO Publishes Consultation Report: Policies on Error Trades (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-747 - IOSCO and Basel Committee Publish Consultation Document on the Application of Basel II to Trading Activities and the Treatment of Double Default Effects (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-748 - IOSCO Publishes a Discussion Paper on the Compliance Function at Market Intermediaries (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-749 - International Joint Forum Publishes Final Report on Credit Risk Transfer (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-750 - IOSCO Releases Survey Report on the Regulation and Oversight of Auditors (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-751 - IOSCO Finalizes Consultation Policy and Procedures (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 11-752 - Limited Market Dealer Initiative - Compliance Team
- 11-753 - OSC Statement of Priorities
- 11-754 - Amendments to National Policy 43-201 MRRS for Prospectuses and Annual Information Forms, Amendments to National Policy 12-201 MRRS for Exemptive Relief Applications, Amendments to National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities, and MI 81-104 Commodity Pools.
- 11-755 - Notice of WIthdrawal of OSC Staff Notices
- 11-756 - Assignment of Notice Numbers
- 11-757 - Withdrawal of OSC Notices
- 11-758 - Review of Limited Market Dealers
- 11-759 - Business Continuity Planning
- 11-760 - Report on Mutual Fund Sales Practices Under Part 5 of NI 81-105 Mutual Fund Sales Practices
- 11-761 - IOSCO Consults on Changes to Code of Conduct for Credit Rating Agencies
- 11-762 - Regarding Statement of Priorities for Fiscal Year Ending March 31, 2010
- 11-763 - A Focused Review of the Securities Valuation and Expense Allocation Practices of Fund Managers
- 11-764 - Business Continuity Planning – Industry Testing Exercise
- 11-765 - 2011-2012 Statement of Priorities – Request for Comments Regarding Statement of Priorities for Fiscal Year Ending March 31, 2012
- 11-901 - Schedule 1 (Fees) to the Regulation to the Securities Act (Ontario)
- 11-904 - Request for Comment regarding the Proposed Passport System
- 12-201 - Mutual Reliance Review System for Exemptive Relief Applications Implementation
- 12-202 - Revocation of a Compliance-related Cease Trade Order
- 12-203 - Cease Trade Orders for Continuous Disclosure Defaults
- 12-303 - Exemptive Relief Applications and Year End (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 12-305 - Exemptive Relief Application and Year End
- 12-307 - Applications for a Decision that an Issuer is not a Reporting Issuer
- 12-401 - National Application System (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 12-602 - Deeming an Issuer from Certain Other Canadian Jurisdictions to be a Reporting Issuer in Ontario
- 12-702 - Applications to be Deemed a Reporting Issuer in Ontario
- 12-703 - Preferred Format of Applications to the Director under Clause 1(10)(b) of the Securities Act (Ontario)
- 12-704 - Materials to be Provided on a Compact Disc or 3.25" Disk on Exemptive Relief Applications
- 13-101 - System For Electronic Document Analysis And Retrieval (SEDAR)
- 13-306 - Guidance for SEDAR Users (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 13-307 - Ammendments to SEDAR Filer Manual (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 13-308 - Increases to SEDAR Annual Filing Service Charges (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 13-310 - Securities Regulatory Authority Closed Dates 2002
- 13-311 - Changes to SEDAR Annual Filing Service Charges
- 13-312 - Securities Regulatory Authority Closed Dates 2003
- 13-313 - Securities Regulatory Authority Closed Dates 2004
- 13-314 - 2005 Changes to SEDAR Annual Filing Service Charges (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 13-315 - Securities Regulatory Authority Closed Dates
- 13-316 - Amendments to the SEDAR Filer Manual (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 13-317 - Amendments to the SEDAR Filer Manual
- 13-401 - Request for Changes, Additions or Improvements for a Revised SEDAR System
- 13-501 - Payment of Fees
- 13-502 - Fees
- 13-503 - (Commodity Futures Act) Fees
- 13-601 - Public Availability of Material Filed under the Securities Act
- 13-701 - SEDAR Filings and Year 2000 Contingency Plans
- 13-703 - Implementation of Final Rule 13-502 – FAQs (Withdrawn effective April 1, 2006 in Notice of Ministerial Approval)
- 14-101 - National Definitions
- 14-501 - Local Definitions
- 14-502 - (Commodities Futures Act) Designation of Additional Commodites
- 15-701 - Meetings with a Commissioner Regarding a Prospectus or an Application for Exemption or Registration
- 15-702 - Credit for Cooperation
- 15-703 - Guidelines for Staff Disclosure of Investigations
- 15-704 - Request for Comments on Proposed Enforcement Initiatives
- 15-705 - Notice of Extension of Time for Public Comment on Proposed Enforcement Initiatives and Continuation of Public Consultation through a Policy Hearing
- 15-901 - Procedures for Opportunities to be Heard Before Director's Decisions on Registration Matters
- 15-902 - Guidelines for Executive Director’s Settlements
