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, 2015 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

 

11-771

Statement of Priorities -- Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2016

Published for comment on April 2, 2015

 

24-312

Preparing for the Implementation of T+2 Settlement

Published April 2, 2015

 

62-104

Take-Over Bids and Issuer Bids -- Amendments

Published for comment on April 2, 2015

 

62-203

Take-Over Bids and Issuer Bids -- Amendments

Published for comment on April 2, 2015

 

13-102

System Fees for SEDAR and NRD -- Amendments

Published for comment on April 2, 2015

 

43-101

Standards of Disclosure for Mineral Projects -- Amendments

Published for comment on April 2, 2015

 

55-104

Insider Reporting Requirements and Exemptions -- Amendments (amendments to companion policy)

Published for comment on April 2, 2015

 

61-101

Protection of Minority Security Holders in Special Transactions -- Amendments

Published for comment on April 2, 2015

 

62-103

The Early Warning System and Related Take-Over Bid and Insider Reporting Issues

Published for comment on April 2, 2015

 

43-309

Review of Website Investor Presentations by Mining Issuers

Published April 9, 2015

 

11-739

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

Published April 9, 2015

 

13-502

Fees -- Revocation and Replacement

Notice of Minister's approval published April 9, 2015

 

13-503

(Commodity Futures Act) Fees -- Revocation and Replacement

Notice of Minister's approval published April 9, 2015

 

51-102

Continuous Disclosure Obligations -- Amendments

Commission approval published April 9, 2015

 

41-101

General Prospectus Requirements -- Amendments

Commission approval published April 9, 2015

 

52-110

Audit Committees -- Amendments

Commission approval published April 9, 2015

 

13-502

Fees -- Revocation and Replacement

Final instrument published April 16, 2015

 

13-503

(Commodity Futures Act) Fees -- Revocation and Replacement

Final instrument published April 16, 2015

 

11-206

Process for Cease to be a Reporting Issuer Applications

Published for comment April 16, 2015

 

11-207

Failure-to-File Cease Trade Orders and Revocations under Passport

Published for comment April 16, 2015

 

12-202

Revocations of Non-Passport Cease Trade Orders

Published for comment April 16, 2015

 

12-203

Management Cease Trade Orders

Published for comment April 16, 2015

 

21-708

OSC Staff Report on the Canadian Fixed Income Market and Next Steps to Enhance Regulation and Transparency of Fixed Income Markets

Published April 23, 2015

 

32-505

Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario

Commission approval published April 23, 2015

 

25-201

Guidance for Proxy Advisory Firms

Commission approval published April 30, 2015

 

45-106

Prospectus Exemptions -- Amendments (Related to Short-Term Debt Prospectus Exemption and Short-Term Securitized Products)

Notice of Ministerial approval published April 30, 2015

 

45-106

Prospectus Exemptions -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

25-101

Designated Rating Organizations -- Amendments (Related to Short-Term Debt Prospectus Exemption and Short-Term Securitized Products)

Notice of Ministerial approval published April 30, 2015

 

51-102

Continuous Disclosure Obligations -- Amendments (related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

11-102

Passport System -- Amendments Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

13-102

System Fees for SEDAR and NRD -- Amendments Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

31-103

Registration Requirements -- Amendments Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

32-102

Registration Exemptions for Non-Resident Investment Fund Managers -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

33-105

Underwriting Conflicts -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

41-101

General Prospectus Requirements -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

45-102

Resale of Securities -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

51-102

Continuous Disclosure Obligations -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

52-107

Acceptable Accounting Principles and Auditing Standards -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

62-103

The Early Warning System and Related Take-Over Bid and Insider Reporting Issues -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

62-104

Take-Over Bids and Issuer Bids --Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

45-501

Ontario Prospectus and Registration Exemptions --Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

45-102

Resale of Securities --Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

91-502

Trades in Recognized Options -- Amendment (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

11-501

Electronic Delivery of Documents to the Ontario Securities Commission -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

13-502

Fees -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

91-501

Strip Bonds -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

48-501

Trading During Distributions Formal Bids and Share Exchange -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)

Notice of Ministerial approval published April 30, 2015

 

45-106

Prospectus Exemptions -- Amendments (related to the Family, Friends and Business Associates Exemption)

Notice of Ministerial approval published April 30, 2015

 

45-102

Resale of Securities -- Amendments (related to the Family, Friends and Business Associates Exemption)

Notice of Ministerial approval published April 30, 2015

 

45-501

Ontario Prospectus and Registration Exemptions (related to the Family, Friends and Business Associates Exemption)

Notice of Ministerial approval published April 30, 2015

 

45-501

Ontario Prospectus and Registration Exemptions -- Amendments (Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions ) (amendments to companion policy)

Notice of Ministerial approval published April 30, 2015

 

11-203

Process for Exemptive Relief in Jurisdictions -- Amendments (Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions )

Notice of Commission approval published April 30, 2015

 

23-103

Electronic Trading and Direct Electronic Access to Marketplaces (amendments to companion policy)

Notice of Ministerial approval published April 30, 2015

 

45-102

Resale of Securities -- Amendments (Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) (amendments to companion policy)

Notice of Ministerial approval published April 30, 2015

 

91-507

Trade Repositories and Derivatives Data Reporting -- Amendments

Notice of Ministerial approval published May 14, 2015

 

24-313

CSA Staff's Review of Proposed Amendments to Fee Schedule of The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.

Published May 14, 2015

 

31-341

Omnibus /Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Exemptions and Ongoing Registrant Obligations

Published May 21, 2015

 

45-304

Notice of Local Exemptions Related to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (Revised)

Published May 21, 2015

 

45-709

Tips for Filing Reports of Exempt Distribution (Revised)

Published May 21, 2015

 

32-505

Conditional Exemption from Registration for United States Broker-Dealers and Advisers Serving U.S. Clients from Ontario

Notice of Ministerial Approval published on May 28, 2015

 

51-102

Continuous Disclosure Obligations -- Amendments

Notice of Ministerial approval published April 9, 2015

 

41-101

General Prospectus Requirements -- Amendments

Notice of Ministerial approval published April 9, 2015

 

52-110

Audit Committees -- Amendments

Notice of Ministerial approval published April 9, 2015

 

91-703

Staff Recommendation on the Reporting of Inter-Affiliate Transactions by End-Users under OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting

Published June 4, 2015

 

11-772

Notice of Statement of Priorities for Financial Year to End March 31, 2016

Published June 18, 2015

 

41-101

General Prospectus Requirements -- Amendments (Mandating a Summary Disclosure Document for Exchange -- Traded Mutual Funds and Its Delivery )

Published for comment June 18, 2015

 

81-106

Investment Fund Continuous Disclosure -- Amendments

Published for comment June 18, 2015

 

23-101

Trading Rules: Application of the Order Protection Rule to Marketplaces Imposing Systematic Order Processing Delays -- Amendments (amendments to companion policy)

Published for comment June 18, 2015

 

21-101

Marketplace Operation -- Amendment

Commission approval published June 25, 2015

 

23-101

Trading Rules -- Amendment

Commission approval published June 25, 2015

 

45-308

Guidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 Prospectus Exemptions

Published June 25, 2015

 

81-727

Report on Staff's Continuous Disclosure Review of Mutual Fund Practices Relating to Portfolio Liquidity

Published June 25, 2015

 

33-105

Underwriting Conflicts -- Amendments

Notice of Commission approval published June 25, 2015

 

45-501

Ontario Prospectus and Registrations Exemptions

Notice of Commission approval published June 25, 2015

 

45-106

Prospectus Exemptions -- Amendments

Notice of Commission approval published June 25, 2015

 

55-104

Insider Reporting Requirements and Exemptions -- Unofficial Consolidation

Published June 25, 2015

For further information, contact:

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

July 23, 2015