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 121 - 150 of 194 Instrument Number Title 33-315 Suitability Obligation and Know Your Product 33-316 Status Report on Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients 33-317 CSA Staff Notice 33-317 Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients 33-318 Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives 33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients 33-320 CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration 33-321 CSA Staff Notice 33-321 Cyber Security and Social Media 33-401 Canadian Capital Markets Association - T + 1 White Paper (Withdrawn by CSA Notice 11-313, February 19, 2010) 33-402 Principles and Practices for the Sale of Products and Services in the Financial Sector (Withdrawn by CSA Notice 11-313, February 19, 2010) 33-403 The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients 33-501 [repealed] Surrender of Registration 33-502 [repealed] Exceptions to Conflict Rules in the Sale of Mutual Fund Securities 33-503 [not proceeding] Change of Registration Information, Rescission of Notice and Revocation of Regulations under the Securities Act 33-504 [expired] Compliance with Section 42 33-505 (Commodity Futures Act) Permanent Registration 33-506 Registration Information Requirements 33-507 Ontario Instrument 33-507 - Exemption from Underwriting Conflicts Disclosure Requirements (Interim Class Order) 33-508 Extension to Ontario Instrument 33-507 Exemption from Underwriting Conflict Disclosure Requirements 33-509 Exemption From Underwriting Conflict Disclosure Requirements 33-601 Guidelines for Policies and Procedures Concerning Inside Information 33-701 Calculation of Regulatory Capital (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-712 and 32-701 Processing of Equity and Fixed Income Trades By Financial Institutions and Mutual Fund Dealers 33-713 Registrant Regulatory Filings 33-718 Networking Applications (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-719 Registration Renewal & Permanent Registration (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-720 2001 National Compliance Review (NCR) 33-721 CSA/OSC STP Readiness Assessment Survey 33-722 Registration Renewal Procedure and Payment of Annual Participation Fees (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-723 Fair Allocation of Investment Opportunities - Compliance Team Desk Review (Withdrawn by CSA Staff Notice 11-333, December 1, 2016) Pagination First page « First Previous page ‹ Previous Page 1 Page 2 Page 3 Page 4 Current page 5 Page 6 Page 7 Next page Next › Last page Last »