Securities Law & Instruments


Instruments, Rules & Policies


Instruments, rules, policies, and other documents, both proposed and final, are organized into these categories:

4 - Distribution Requirements

41-101 General Prospectus Requirements
41-101 Prospectus Disclosure Requirements & Rescission of NP 12, 13, 32, and 35 (Repealed by 41-101 - General Prospectus Requirements on March 17, 2008)
41-103 Supplementary Prospectus Disclosure Requirements for Securitized Products
41-201 Income Trusts and Other Indirect Offerings
41-301 & 51-302 The Year 2000 Challenge Disclosure Issues
41-303 Harmonization of Prospectus Requirements Across the CSA
41-304 Income Trusts: Prospectus Disclosure of Distributable (Withdrawn by CSA Notice 11-313, February 19, 2010)
41-305 Share Structure Issues – Initial Public Offerings
41-307 Corporate Finance Prospectus Guidance – Concerns regarding an issuer’s financial condition and the sufficiency of proceeds from a prospectus offering
41-501 General Prospectus Requirements and Forms (Repealed by 41-801 on March 17, 2008)
41-502 Prospectus Requirements for Mutual Funds (Repealed by 41-801 on March 17, 2008)
41-601 Capital Pool Companies
41-701 Issuance of Receipts for Preliminary Prospectus and Prospectuses
41-702 Prospectus Practice Directive #1 - Personal information forms and other procedural matters regarding preliminary prospectus filings
41-703 Corporate Finance Prospectus Practice Directive #2 - Exemption from certain prospectus requirements to be evidenced by a receipt
41-801 Implementing NI 41-101 General Prospectus Requirements
42-301 & 52-302 Dual Reporting of Financial Information
42-303 Prospectus Requirements
43-101 Standards of Disclosure for Mineral Projects
43-201 Mutual Reliance Review System for Prospectus and Annual Information Forms
43-301 CSA Notice, Establishing an Advisory and Monitoring Committee
43-302 CSA Notice, Frequently Asked Questions NI 43-101 Standards of Disclosure for Mineral Projects
43-303 Standards of Disclosure Frequently Asked Questions - Revised
43-304, 62-302, & 81-308 Prospectus Filing Matters - Arthur Andersen LLP Consent
43-305 CSA Mining Technical Advisory and Monitoring Committee (Withdrawn by CSA Notice 11-313, February 19, 2010)
43-306 Technical Reports Filed for Prospectus Offerings
43-307 Mining Technical Reports - Preliminary Economic Assessments
43-308 Professional Associations under NI 43-101 Standards of Disclosure for Mineral Projects
43-309 Review of Website Investor Presentations by Mining Issuers
43-701 Regarding National Instrument 43-101
43-702 Review Time Frames for "Equity Line" Short Form Prospectuses
43-704 Mineral Brine Projects and National Instrument 43-101 Standards of Disclosure for Mineral Projects
43-705 Report on Staff’s Review of Technical Reports by Ontario Mining Issuers
44-101 Short Form Prospectus Distributions
44-102 Shelf Distributions
44-103 Post Receipt Pricing
44-301 Frequently Asked Questions Regarding the New Prospectus Rules
44-302 Replacement of National Instrument 44-101 Short Form Prospectus Distributions
44-303 Filing of Notice of Intention to be Qualified to File a Short Form Prospectus under NI 44-101 Short Form Prospectus Distributions (Withdrawn by CSA Notice 11-317, June 21, 2012)
44-304 Linked Notes Distributed under Shelf Prospectus System
44-305 Structured Notes Distributed Under the Shelf Prospectus System
44-401 Concept Proposal for an Integrated Disclosure System (Withdrawn by CSA Notice 11-313, February 19, 2010)
44-801 Implementing National Instrument 44-101 - Short Form Prospectus Distributions
45-101 Rights Offerings
45-102 Resale of Securities
45-105 Trades to Employees, Senior Officers, Directors, and Consultants
45-106 Prospectus Exemptions
45-108 Crowdfunding
45-301 MI 45-102 Resale of Securities
45-302 Frequently Asked Questions Regarding the New Resale Rules (Withdrawn by CSA Notice of Repeal and Replacement of National Instrument 45-106 and Notice of Amendments to NI 45-102 effective September 28, 2009)
45-304 Notice of Local Exemptions Related to NI 45-106
45-305 FAQ Regarding NI 45-106 Prospectus and Registration Exemptions (Withdrawn by CSA Notice of Repeal and Replacement of National Instrument 45-106 and Notice of Amendments to NI 45-102 effective September 28, 2009)
45-307 Regulatory Developments Regarding Securitization
45-308 Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus and Registration Exemptions
45-310 Update on CSA Staff Consultation Note 45-401 Review of Minimum Amount and Accredited Investor Exemptions
45-314 Consolidated List of Current CSA Exempt Market Initiatives
45-320 Exemptions for Certain Foreign Issuers from the Requirement to Identify Purchasers as Registrants or Insiders in Reports of Exempt Distribution
45-322 Multilateral CSA Staff Notice 45-322 Potential Concerns with the Structure of Rights Offerings
45-323 CSA Staff Notice 45-323 – Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions
45-401 Review of Minimum Amount and Accredited Investor Exemptions
45-501 Ontario Prospectus and Registration Exemptions
45-502 Dividend or Interest Reinvestment and Stock Dividend Plans
45-503 Trades to Employees, Executives and Consultants
45-504 Prospectus Exemptions for Distributions of Securities to Portfolio Advisors on Behalf of Fully Managed Accounts
45-702 Frequently Asked Questions Rule 45-501: OSC Rule - 45-501 - Ontario Prospectus and Registration Exemptions [Withdrawn by OSC Notice 11-755, September 9, 2005.]
45-704 OSC Small Business Advisory Committee
45-705 Interpretation of Section 130.1 of the Securities Act
45-706 OSC Small Business Advisory Committee (Withdrawn by CSA Notice 11-313, February 19, 2010)
45-707 OSC Broadening Scope of Review of Prospectus Exemptions
45-708 Introduction of Electronic Report of Exempt Distribution (Withdrawn)
45-709 Tips for Filing Reports of Exempt Distribution (Withdrawn)
45-710 Considerations for New Capital Raising Prospectus Exemptions
45-711 Extension of Consultation Period – OSC Staff Consultation Paper 45-710 Considerations for New Capital Raising Prospectus Exemptions
45-712 Progress Report on Review of Prospectus Exemptions to Facilitate Capital Raising
45-713 Reports of Exempt Distribution - Compliance with Filing Requirements (Withdrawn)
45-714 Summaries of Exempt Distribution Information
45-715 OSC Staff Notice 45-715 2017 Ontario Exempt Market Report
45-801 Implementing Multilateral Instrument 45-105 Trades to Employees, Senior Officers, Directors, and Consultants
45-802 Implementing National Instrument 45-106 Prospectus and Registration Exemptions
46-201 Escrow for Initial Public Offerings and Form 46-201F Escrow Agreement
46-301 Proposal for Uniform Terms of Escrow Applicable to Initial Public Distributions
46-302 Consent to Amend Existing Escrow Agreements (Withdrawn by CSA Notice 11-313, February 19, 2010)
46-303 Principal Protected Notes
46-304 Update on Principal Protected Notes
46-305 Second Update on Principal Protected Notes
46-306 Third Update on Principal Protected Notes
46-307 CSA Staff Notice 46-307 Cryptocurrency Offerings
46-501 Self-Directed Registered Education Savings Plans
47-201 Trading in Securities using the Internet and Other Electronic Means
47-302 Pre-Marketing of Underwriters' Options on Bought Deals
48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions
48-701 Lapse of SEC No-Action Letter Regarding U.S. Trading Rules and MJDS Transactions

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