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 September 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

 

21-313

Information Processor for Exchange-Traded Securities Other Than Options

Published July 3, 2014

 

21-314

Information Processor for Corporate Debt Securities

Published July 3, 2014

 

91-507

Trade Repositories and Derivatives Data Reporting -- Amendments

Minister's approval published July 3, 2014

 

23-703

Order Protection Rule -- Industry Roundtable

Published July 3, 2014

 

11-739

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

Published July 10, 2014

 

51-341

Continuous Disclosure Review Program Activities for the Fiscal Year Ended March 31, 2014

Published July 17, 2014

 

24-310

Status Update on Proposed Local Rules 24-503 Clearing Agency Requirements and Related Companion Policies

Published July 17, 2014

 

52-108

Auditor Oversight -- Repeal and Replacement

Commission approval published July 17, 2014

 

41-101

General Prospectus Requirements -- Amendments (tied to NI 52-108)

Commission approval published July 17, 2014

 

51-102

Continuous Disclosure Obligations -- Amendments (tied to NI 52-108)

Commission approval published July 17, 2014

 

71-102

Continuous Disclosure and Other Exemptions Relating to Foreign Issuers -- Amendments (tied to NI 52-108)

Commission approval published July 17, 2014

 

24-311

Qualifying Central Counterparties

Published July 17, 2014

 

81-725

Recent Amendments to Part XXI Insider Trading and Self-Dealing of the Securities Act (Ontario) -- Transition Issues

Commission approval published August 7, 2014

 

91-507

Trade Repositories and Derivatives Data Reporting -- Amendments

Minister's approval published August 14, 2014

 

62-306

Update on Proposed National Instrument 62-105 Security Holder Rights Plans and AMF Consultation Paper An Alternative Approach to Securities Regulator's Intervention in Defensive Tactics

Published September 11, 2014

 

81-102

Mutual Funds -- Amendments

Minister's approval published September 18, 2014

 

81-106

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

Minister's approval published September 18, 2014

 

81-101

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

Minister's approval published September 18, 2014

 

41-101

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

Minister's approval published September 18, 2014

 

81-107

Independent Review Committee For Investment Funds -- Amendments (tied NI 81-102)

Minister's approval published September 18, 2014

 

24-101

Institutional Trade Matching Settlement -- Amendments (tied to NI 81-102

Minister's approval published September 18, 2014

 

31-103

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

Minister's approval published September 18, 2014

 

33-109

Registration Information -- Amendments (tied to NI 81-102)

Minister's approval published September 18, 2014

 

44-102

Shelf Distributions -- Amendments (tied to NI 81-102)

Minister's approval published September 18, 2014

 

45-106

Prospectus and Registration Exemptions -- Amendments (tied to NI 81-102)

Minister's approval published September 18, 2014

 

62-103

The Early Warning System and Related Take-Over Bid and Insider Reporting Issues -- Amendments (tied to NI 81-102)

Minister's approval published September 18, 2014

 

81-104

Commodity Pools -- Amendments (tied to NI 81-102)

Minister's approval published September 18, 2014

 

81-105

Mutual Fund Sales Practices -- Amendments (tied to NI 81-102)

Minister's approval published September 18, 2014

 

11-203

Process for Exemptive Relief Applications in Multiple Jurisdictions -- Amendments

Minister's approval published September 18, 2014

 

13-502

Fees -- Amendments

Published for comment September 18, 2014

 

33-744

Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario)

Published September 18, 2014

 

33-745

Compliance and Registrant Regulation -- Annual Summary Report for Dealers, Advisers and Investment Fund Managers

Published September 25, 2014

For further information, contact:

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

October 9, 2014