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Weekly Reports

Updates for the week ending November 16, 2012

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Policies and Instruments

  • 11-320 Notice of Local Amendments - Nova Scotia and Yukon [CSA Staff Notice]

    In the attached notice, the Canadian Securities Administrators announce that they will be updating contact information for the Nova Scotia Securities Commission and the Office of the Yukon Superintendant of Securities in a number of national instruments.

  • CSA Notice - Notice and Request for Comment on Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations

    In the attached notice, the Canadian Securities Administrators are publishing for comment proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, and its companion policy, relating to dispute resolution services.  The comment period expires on February 15, 2013.

News and Events

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders