Securities Law & Instruments

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OSC STAFF NOTICE 11-739 (REVISED)

POLICY REFORMULATION TABLE OF CONCORDANCE AND LIST OF NEW INSTRUMENTS

The following revisions have been made to the Table of Concordance and List of New Instruments. A full version of the Table of Concordance and List of New Instruments as of June 30, 2014 has been posted to the OSC Website at www.osc.gov.on.ca.

Table of Concordance

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Item Key

The third digit of each instrument represents the following: 1-National/Multilateral Instrument; 2-National/Multilateral Policy; 3-CSA Notice; 4-CSA Concept Release; 5-Local Rule; 6-Local Policy; 7-Local Notice; 8-Implementing Instrument; 9-Miscellaneous

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Reformulation

Instrument

Title

Status

 

 

None

 

New Instruments

Instrument

Title

Status

 

11-769

Statement of Priorities -- Request for Comments Regarding the Statement of Priorities for Financial Year to End March 31, 2015

Published for comment April 3, 2014

 

91-507

Trade Repositories and Derivatives Data Reporting -- Amendments

Commission approval published April 17, 2014

 

21-101

Marketplace Operation -- Amendments

Published for comment April 24, 2014

 

23-101

Trading Rules -- Amendments

Published for comment April 24, 2014

 

25-201

Guidance for Proxy Advisory Firms

Published for comment April 24, 2014

 

31-338

Guidance on Dispute Resolution Services -- Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization

Published May 1, 2014

 

11-739

Policy Reformulation Table of Concordance and List of New Instruments -- Revised

Published May 1, 2014

 

81-724

Report on Staff's Continuous Disclosure Review of the Fees and Expenses Disclosure by Investment Funds

Published May 8, 2014

 

23-101

Trading Rules -- Amendments

Published for comment May 15, 2014

 

51-102

Continuous Disclosure Obligations -- Amendments

Published for comment May 22, 2014

 

41-101

General Prospectus Requirements -- Amendments

Published for comment May 22, 2014

 

52-110

Audit Committees -- Amendments

Published for comment May 22, 2014

 

31-339

Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Published May 29, 2014

 

11-327

Extension of Consultation Period -- Proposed National Policy 25-201 Guidance for Proxy Advisory Firms

Published June 12, 2014

 

33-743

Guidance on sales practices, expense allocation and other relevant areas developed from the results of the targeted review of large investment fund managers

Published June 19, 2014

 

81-102

Mutual Funds -- Amendments

Commission approval published June 19, 2014

 

81-106

Investment Fund Continuous Disclosure -- Amendments (tied to 81-102)

Commission approval published June 19, 2014

 

81-101

Mutual Fund Prospectus Disclosure -- Amendments (tied to 81-102)

Commission approval published June 19, 2014

 

41-101

General Prospectus Requirements -- Amendments (tied to 81-102)

Commission approval published June 19, 2014

 

81-107

Independent Review Committee for Investment Funds -- Amendments (tied to 81-102)

Commission approval published June 19, 2014

 

81-104

Commodity Pools -- Amendment (tied to 81-102)

Commission approval published June 19, 2014

 

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations -- Amendments (tied to 81-102)

Commission approval published June 19, 2014

 

11-203

Process for Exemptive Relief Applications in Multiple Jurisdictions -- Amendments (tied to 81-102)

Commission approval published June 19, 2014

 

91-507

Trade Repositories and Derivatives Data Reporting -- Amendments

Commission approval published June 26, 2014

 

11-770

Statement of Priorities for Financial Year to End March 31, 2015

Published June 26, 2014

21-313

Information Processor for Exchange-Traded Securities other than Options

Published June 27, 2014

21-314

Information Processor for Corporate Debt Securities

Published June 27, 2014

For further information, contact:

Darlene Watson
Project Specialist
Ontario Securities Commission
416-593-8148

July 10, 2014