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 151 - 180 of 194 Instrument Number Title 33-724 OSC Compliance Team, Capital Markets Branch Annual Report 33-725 Industry Report on Scholarship Plan Dealers 33-726 IOSCO Publishes Final Report on Compliance Function at Market Intermediaries (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-727 IOSCO Publishes Consultation Report on Market Intermediary Management of Conflicts that Arise in Securities Offerings (withdrawn by Notice of Ministerial Approval effective September 28, 2009) 33-728 2007 Annual Report - Compliance Team 33-729 Marketing Practices of Investment Counsel/Portfolio Managers 33-730 Capital Calculations for Investment Counsel/Portfolio Managers 33-731 2008 Compliance Team Annual Report 33-732 2009 Compliance Team Annual Report 33-733 Report on Focused Reviews of Investment Funds, September 2008 - September 2009 33-734 2010 Compliance and Registrant Regulation Branch Annual Report 33-735 Sale of Exempt Securities to Non-Accredited Investors 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers 33-737 Enhanced Transparency of Communications with Registrants 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers 33-739 Termination of the Ontario Contingency Trust Fund 33-740 Report on the results of the 2012 targeted review of portfolio managers and exempt market dealers to assess compliance with the know-your-client, know-your-product and suitability obligations 33-741 Report on the Results of the Reviews of Capital Markets Participation Fees 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers 33-743 Guidance on sales practices, expense allocation and other relevant areas developed from the results of the targeted review of large investment fund managers 33-744 Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario) 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers 33-746 OSC Staff Notice 33-746: 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers 33-747 OSC Staff Notice 33-747 - 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers 33-748 OSC Staff Notice 33-748 - 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers 33-749 OSC Staff Notice: 33-749 - 2018 Annual Summary Report for Dealers, Advisers and Investment Fund Managers 33-750 OSC Staff Notice: 33-750 - 2019 Summary Report for Dealers, Advisers and Investment Fund Managers 33-751 2020 Summary Report for Dealers, Advisers and Investment Fund Managers 33-752 OSC Staff Notice: 33-752 - 2021 Summary Report for Dealers, Advisers and Investment Fund Managers 33-753 OSC Consultation on Tied Selling and other Anti-Competitive Practices in the Capital Markets Pagination First page « First Previous page ‹ Previous Page 1 Page 2 Page 3 Page 4 Page 5 Current page 6 Page 7 Next page Next › Last page Last »