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41-101	Prospectus Disclosure Requirements & Rescission of NP 12, 13, 32, and 35 (Repealed by 41-101 - General Prospectus Requirements on March 17, 2008)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41-304	Income Trusts: Prospectus Disclosure of Distributable (Withdrawn by CSA Notice 11-313, February 19, 2010)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41-501	General Prospectus Requirements and Forms (Repealed by 41-801 on March 17, 2008)
41-502	Prospectus Requirements for Mutual Funds (Repealed by 41-801 on March 17, 2008)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43-201	[rescinded and replaced by NP 11-202] Mutual Reliance Review System for Prospectus and Annual Information Forms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43-305	CSA Mining Technical Advisory and Monitoring Committee (Withdrawn by CSA Notice 11-313, February 19, 2010)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
43-706	OSC Staff Notice 43-706 - Pre-filing Review of Mining Technical Disclosure
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	[repealed] Implementing National Instrument 44-101 - Short Form Prospectus Distributions
45-101	[repealed] Rights Offerings
45-102	Resale of Securities
45-105	[repealed]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	[Withdrawn by CSA Staff Notice 11-341, March 7, 2019] 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
45-324	CSA Staff Notice 45-324 Update on the Start-up Crowdfunding Registration and Prospectus Exemptions
45-325	CSA Staff Notice 45-325 Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts
45-326	Update relating to Syndicated Mortgages
45-401	Review of Minimum Amount and Accredited Investor Exemptions
45-501	Ontario Prospectus and Registration Exemptions
45-502	[repealed and replaced by s. 2.2 of NI 45-106] Dividend or Interest Reinvestment and Stock Dividend Plans
45-503	[repealed] Trades to Employees, Executives and Consultants
45-504	[repealed] 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
45-716	OSC Staff Notice 45-716 2018 Ontario Exempt Market Report
45-801	[repealed] 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
46-308	CSA Staff Notice 46-308 Securities Law Implications for Offerings of Tokens
46-309	CSA Staff Notice 46-309 – Bail-in Debt
46-501	[repealed and replaced by s. 2.7 of Rule 45-501] 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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