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, 2016 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

 

31-344

OBSI Joint Regulators Committee Annual Report for 2015

Published April 7, 2016

 

45-308

Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions (Revised)

Published April 7, 2016

 

33-317

Next Steps in the CSA's Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward their Clients

Published April 7, 2016

 

23-101

Notice of Approval -- Amendments to National Instrument 23-101 Trading Rules and Companion Policy 23-101CP to National Instrument 23-101 Trading Rules

Commission approval published April 7, 2016

 

45-106

Prospectus Exemptions -- Amendments

Commission approval published April 7, 2016

 

23-101

Trading Rules -- Amendments

Published for comment April 7, 2016

 

31-345

Cost Disclosure, Performance Reporting and Client Statements -- Frequently Asked Questions and Additional Guidance

Published April 14, 2016

 

11-739

Policy Reformulation Table of Concordance and New Instruments (Revised)

Published April 14, 2016

 

21-317

Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market

Published April 21, 2016

 

33-404

Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients

Published for comment April 28, 2016

 

62-104

Take-Over Bids and Issuer Bids -- Amendments

Ministerial approval published May 5, 2016

 

62-203

Take-Over Bids and Issuer Bids -- Amendments

Commission approval published May 5, 2016

 

13-102

System Fees for SEDAR and NRD -- Amendments

Ministerial approval published May 5, 2016

 

43-101

Standards of Disclosure for Mineral Projects -- Amendments

Ministerial approval published May 5, 2016

 

55-104CP

Insider Reporting Requirements and Exemptions -- Amendments

Commission approval published May 5, 2016

 

61-101

Protection of Minority Security Holders in Special Transactions -- Amendments

Ministerial approval published May 5, 2016

 

61-101CP

Protection of Minority Security Holders in Special Transactions -- Amendments

Commission approval published May 5, 2016

 

62-103

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

Ministerial approval published May 5, 2016

 

62-504

Take-Over Bids and Issuer Bids

Ministerial approval of repeal published May 5, 2016

 

13-502

Fees -- Amendments

Ministerial approval published May 5, 2016

 

14-501

Definitions -- Amendments

Ministerial approval published May 5, 2016

 

48-501

Trading During Distributions, Formal Bids and Share Exchange Transactions -- Amendments

Ministerial approval published May 5, 2016

 

71-801

Implementing the Multijurisdictional Disclosure System -- Amendments

Ministerial approval published May 5, 2016

 

71-802

Implementing National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers -- Amendments

Ministerial approval published May 5, 2016

 

91-502

Trades in Recognized Options -- Amendments

Ministerial approval published May 5, 2016

 

62-203

Take-Over Bids and Issuer Bids -- Amendments

Commission approval published May 5, 2016

 

62-103

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

Ministerial approval published May 5, 2016

 

91-507

Trade Repositories and Derivatives Data Reporting -- Amendments

Commission approval published May 5, 2016

 

91-507CP

Trade Repositories and Derivatives Data Reporting -- Amendments

Commission approval published May 5, 2016

 

24-314

Preparing for the Implementation of T+2 Settlement: Letter to Registered Firms

Published May 26, 2016

 

45-106

Prospectus Exemptions -- Amendments (Harmonized Report of Exempt Distributions)

Ministerial approval published June 9, 2016

 

11-501

Electronic Delivery of Documents to the Ontario Securities Commission -- Amendments

Ministerial approval published June 9, 2016

 

13-502

Fees -- Amendments

Ministerial approval published June 9, 2016

 

45-501

Ontario Prospectus and Registration Exemptions -- Amendments

Ministerial approval published June 9, 2016

 

45-708

Introduction of Electronic Report of Exempt Distribution on Form 45-106F1

Withdrawn June 30, 2016

 

45-709

Tips for Filing Reports of Exempt Distribution

Withdrawn June 30, 2016

 

45-713

Reports of Exempt Distribution -- Compliance with Filing Requirements

Withdrawn June 30, 2016

 

11-775

Notice of Statement of Priorities for Financial Year to End March 31, 2017

Published June 9, 2016

 

23-704

Compliance with National Instrument 23-103 Electronic Trading and Direct Access to Marketplaces

Published June 9, 2016

 

24-102CP

Clearing Agency Requirements -- Amendments

Commission approval published June 9, 2016

 

12-703

Applications for a Decision that an Issuer is not a Reporting Issuer (Revised)

Published June 16, 2016

 

11-330

Notice of Local Amendments -- Alberta, Manitoba, New Brunswick, Nova Scotia, Quebec, Ontario and Saskatchewan

Published June 16, 2016

 

23-316

Order Protection Rule: Implementation of the Market Share Threshold and Amendments to Companion Policy 23-101 Trading Rules

Published June 20, 2016

 

11-102

Passport System -- Amendments

Published June 23, 2016

 

11-103

Failure-to-File Cease Trade Orders in Multiple Jurisdictions

Published June 23, 2016

 

23-101

Trading Rules -- Amendments

Ministerial approval published June 23, 2016

 

23-316

Order Protection Rule: Implementation of the Market Share Threshold and Amendments to Companion Policy 23-101 Trading Rules

Published June 23, 2016

 

21-318

Information Processor for Corporate Debt Securities

Published June 23, 2016

 

11-206

Process for Cease to be a Reporting Issuer Applications

Commission approval published June 23, 2016

 

11-207

Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions

C omission approval published June 23, 2016

 

12-202

Revocation of Certain Cease Trade Orders

Commission approval published June 23, 2016

 

12-203

Management Cease Trade Orders

Commission approval published June 23, 2016

 

81-327

Next Steps in the CSA's Examination of Mutual Fund Fees

Published June 30, 2016

 

72-503

Distributions Outside of Canada

Published for comment June 30, 2016

For further information, contact:

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

July 28, 2016