3 - Registration Requirements and Related Matters Breadcrumb Home Securities law Instruments, rules and policies 3 - Registration Requirements and Related Matters Component Menu Left Sidebar Securities law Legislation Instruments, rules and policies 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 Securities rule-making in Ontario Proposed instruments, rules and policies Orders, rulings and decisions Blanket orders Delegation orders OSC Bulletin Filing documents online Search by keyword Sort by RelevanceInstrument number descendingInstrument number ascending Results 91 - 120 of 194 Instrument Number Title 32-503 [repealed and replaced by s. 4.1 of Rule 45-501, which section was subsequently repealed] Registration and Prospectus Exemption for Trades by Financial Intermediaries in Mutual Fund Securities to Corporate Sponsored Plans 32-504 Advisory Registration Exemption 32-505 Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario 32-506 Proposed OSC Rule 32-506 (Under the Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers – Proposed Amendment to OSC Rule 91-502 Trades in Recognized Options under the Securities Act 32-507 Notice of General Order – Ontario Instrument 32-507 (Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers (Interim Class Order) 32-508 Not-For-Profit Angel Investor Group Registration Exemption 32-509 Early-Stage Business Registration Exemption 32-701 and 33-712 Processing of Equity and Fixed Income Trades By Financial Institutions and Mutual Fund Dealers 32-702 Applications for Exemption from the Time Limits on Completion of Courses and Previous Registrations (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-101 [on hold] Administration of Self-Directed RRSPs, RESPs and RRIFs by Dealers 33-102 [repealed] Revised Principles of Regulation - National Instrument 33-102 Registrant Dealings with Clients 33-103 [not proceeding] Distribution Networks 33-104 [not proceeding] Selling Arrangements 33-105 Underwriting Conflicts 33-107 [not proceeding] Proficiency Requirements for Registrants Holding Themselves Out As Providing Financial Planning Advice 33-108 [not proceeding] Permanent Registration 33-109 Registration Information Requirements 33-201 [not proceeding] Networking And Selling Arrangement 33-303, 81-304 Trust Accounts for Mutual Fund Securities 33-304 CSA Distribution Structures Committee Position Paper (Withdrawn by CSA Notice 11-313, February 19, 2010) 33-305 [Withdrawn by CSA Staff Notice 11-341, March 7, 2019] Sale of Insurance Products by Dually Employed Salespersons 33-306 Date of NRD Freeze Period 33-307 List of Canadian Registrant and Non-Registrant Firms that Completed the CSA STP Readiness Assessment Survey (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-308 The CSA STP Readiness Assessment Survey Report (Survey Report) is Now Available on the OSC Website (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-309 The CSA STP Infrastructure Survey Report is Now Available on the OSC Website (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-310 Joint Forum Releases Summary of Comments and Responses on Principles and Practices for the Sale of Products and Services in the Financial Sector 33-311 CSA Staff Notice 33-311 List of Canadian Registrant and Non-Registrant Firms that Completed the CSA STP Readiness Assessment Survey (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-312 The CSA STP Readiness Assessment Survey Report is Now Available on the OSC Website (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-313 International Financial Reporting Standards and Registrants 33-314 International Financial Reporting Standards and Registrants Pagination First page « First Previous page ‹ Previous Page 1 Page 2 Page 3 Current page 4 Page 5 Page 6 Page 7 Next page Next › Last page Last »
