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OSC | Securities Law & Instruments - Instruments, Rules & Policies

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Securities Law & Instruments


Instruments, Rules & Policies


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.

  • 1 - Procedure and Related Matters
  • 2 - Certain Capital Market Participants
  • 3 - Registration Requirements and Related Matters
  • 4 - Distribution Requirements
  • 5 - Ongoing Requirements for Issuers and Insiders
  • 6 - Take-Over Bids and Special Transactions
  • 7 - Securities Transactions Outside the Jurisdiction
  • 8 - Investment Funds
  • 9 - Derivatives
  • Documents not numbered


MOST REQUESTED INSTRUMENTS, RULES & POLICIES:


33-738 - 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers
31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
43-101 - Standards of Disclosure for Mineral Projects
51-102 - Continuous Disclosure Obligations
81-102 - Mutual Funds and Rescission of National Policy Statement No. 34 and National Policy Statement No. 39
23-103 - Electronic Trading and Direct Electronic Access to Marketplaces
51-103 - Ongoing Governance and Disclosure Requirements for Venture Issuers
58-201 - Effective Corporate Governance
13-502 - Fees
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

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Out For Comment

  • Comments on Statement of Priorities for Financial Year to End March 31, 2014 close June 3, 2013
  • Comments on 11-602 Guidelines on the Application of the Prohibition Against Orders of General Application to Applications to the OSC for Exemptive Relief close June 5, 2013
  • Comments on Amendments to 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues close June 12, 2013
  • Comments on Amendments to 62-104 Take-Over Bids and Issuer Bids close June 12, 2013
  • Comments on 62-105 Security Holder Rights Plans close June 12, 2013
  • Comments on Amendments to 62-203 Take-Over Bids and Issuer Bids close June 12, 2013
  • Comments on 91-407 Registration (Derivatives) close June 17, 2013
  • Comments on 81-102 Proposed Amendments (Modernization of Investment Fund Product Regulation) (Phase 2)) close June 25, 2013
  • Comments on 11-501 Requirement for the Electronic Delivery of Documents to the Ontario Securities Commission close July 10, 2013
  • Comments on 45-106 Prospectus and Registration Exemptions - Amendments close July 24, 2013
  • Comments on 45-501 Ontario Prospectus and Registration Exemptions - Amendments close July 24, 2013

Related - Backgrounder on Rule Making | CSA Numbering System | Table of Concordance

  • Backgrounder on Rule Making
  • CSA Numbering System
  • Table of Concordance
  • Most Requested Instruments, Rules & Policies

  • Legislation
  • Instruments, Rules & Policies
    • Proposed Instruments, Rules & Policies
    • Orders, Rulings & Decisions
    • OSC Bulletin
    • Frequently Used Forms
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