Securities Law

1 - Procedure & Related Matters

Document
11-102 Passport System
11-103 Failure to File Cease Trade Orders in Multiple Jurisdictions
11-201 Electronic Delivery of Documents
11-202 Process for Prospectus Reviews in Multiple Jurisdictions
11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions
11-204 Process for Registration in Multiple Jurisdictions
11-205 Process for Designation of Credit Rating Organizations in Multiple Jurisdictions
11-206 Process for Cease to be a Reporting Issuer Applications
11-207 Failure to File Cease Trade Orders and Revocations in Multiple Jurisdictions
11-302 Withdrawal of CSA Notices
11-305 Withdrawal of CSA Staff Notice 42-301 and 52-302
11-309 Withdrawal of CSA Notices
11-310 Withdrawal of CSA Notices
11-312 National Numbering System (Revised)
11-313 Withdrawal of Notices and Policies
11-314 Update of CSA Instruments
11-317 Withdrawal of Notices
11-318 Guidance for Cease Trade Order Database Users
11-320 Notice of Local Amendments-Nova Scotia and Yukon
11-321 Business Continuity Planning – Industry Testing Exercise
11-323 Withdrawal of Notices and Policies
11-325 Withdrawal or Revocation of National Policy 42 Advertising of Securities on Radio or Television
11-328 Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon
11-329 Withdrawal of Notices and Revocation of Omnibus/Blanket Orders
11-330 Notice of Local Amendments – Alberta, Manitoba, New Brunswick, Nova Scotia, Québec, Ontario and Saskatchewan
11-331 Extension of Consultation Period Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients
11-332 Cyber Security
11-333 Withdrawal of Notices
11-334 Notice of Local Amendments and Changes in Certain Jurisdictions
11-335 Notice of Local Amendments and Changes in Certain Jurisdictions
11-336 Summary of CSA Roundtable on Response to Cyber Security Incidents
11-337 Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick
11-338 CSA Market Disruption Coordination Plan
11-339 Notice of Local Changes in Alberta
11-340 Extension of Comment Period
11-341 Withdrawal of Staff Notices
11-405 Securities Regulatory Proposals Stemming from the 2007-08 Credit Market Turmoil and its Effect on the ABCP Market in Canada
11-501 Waiver of File Search Fees for the Media
11-502 Voluntary Surrender of Reporting Issuer Status
11-701 Reorganization of Regulatory Documents
11-901 Fee Checklist
12-202 Revocation of Certain Cease Trade Orders
12-203 Management Cease Trade Orders
12-601 Designation as a Reporting Issuer (Extraprovincial Issuers)
12-901 Claims Application Form
13-101 System for Electronic Document Analysis and Retrieval (SEDAR)
13-102 System Fees for SEDAR and NRD
13-103 System Replacement Rule
13-315 Securities Regulatory Authority Closed Dates 2020
13-317 Amendments to the SEDAR Filer Manual
13-318 Changes to www.SEDAR.com
13-319 System for Electronic Document Analysis and Retrieval (SEDAR)
13-320 CSA Staff Notice Regarding Implementation of Multilateral Instrument 13-102 System Fees for SEDAR and NRD and Related Consequential Amendments to CSA National Systems Rules
13-321 Update on new service provider for the operation of the CSA National Systems and implementation of Related Consequential Amendments to CSA National Systems Rules
13-322 Service Transition Cutover Date for Information Management Services and implementation of Related Consequential Amendments to CSA National Systems Rules
13-502 Electronic filing of reports of exempt distribution
13-503 Transitional Exemption from Complying with Consequential Amendments to NI 13-101 System for Electronic Document Analysis and Retrieval (SEDAR), NI 31-102 National Registration Database, and NI 55-102 System for Electronic Disclosure by Insiders
13-601 Required Forms
13-602 Confidentiality of Records
14-101 Definitions
14-501 Definition of Exchange Issuer
14-502 Reporting Companies Under The British Columbia Company Act And The Definition Of "Reporting Issuer"
15-601 Hearings
15-603 Returning Funds to Investors
15-901 Summons to Attend before an Investigator Under Section 144
15-902 Demand for Production under Section 144
15-903 Affidavit of Service
15-904 Endorsement Of Warrant
Document
11-101 Principal Regulator System
11-102 Passport System
11-103 Failure-to-File Cease Trade Orders in Multiple Jurisdictions
11-201 Delivery of Documents by Electronic Means
11-202 Process for Prospectus Reviews in Multiple Jurisdictions
11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions
11-204 Process for Registration in Multiple Jurisdictions
11-205 Process for Designation of Credit Rating Organizations in Multiple Jurisdictions
11-206 Process for Cease to be a Reporting Issuer Applications
11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions
11-301 Canadian Securities Administrators Strategic Plan 1999-2001
11-303 The Uniform Securities Legislation Project
11-304 Responses to Comments Received on Concept Proposal Blueprint for Uniform Securities Laws for Canada
11-306 Extension of Comment Period for Consultation Drafts of the Uniform Securities Act and the Model Securities Administration Act
11-307 Responses to Comments Received on Consultation Drafts for a Uniform Securities Act and a Model Securities Administration Act
11-308 Guidelines for use of Mobility Exemptions under Part 5 of Multilateral Instrument 11-101 Principal Regulator System
11-311 Notice of Extension of Comment Period CSA Consultation Paper 11-405 - “Securities Regulatory Proposals Stemming from the 2007-08 Credit Market Turmoil and its Effect on the ABCP Market in Canada”
11-312 National Number System
11-315 Extension of Consultation Period - Proposed National Instrument 41-103, Proposed National Instrument 51-106 and Proposed Amendments to National Instrument 52-109, Proposed Amendments to National Instrument 45-106 and National Instrument 45-102
11-316 Notice of Local Amendments – British Columbia
11-319 Extension of Consultation Period Consultation Paper 25-401: Potential Regulation of Proxy Advisory Firms
11-322 Extension of Consultation Period - Proposed Amendments to Multilateral Instrument 62-104 and National Instrument 62-103, Proposed Changes to National Policy 62-203, Proposed National Instrument 62-105 and Proposed Companion Policy 62-105CP
11-324 Extension of Comment Period - Proposed Amendments to National Instrument 81-102 Mutual Funds, Companion Policy 81-102CP Mutual Funds and Related Consequential Amendments and Other Matters Concerning National Instrument 81-104 Commodity Pools and Securities Lending, Repurchases and Reverse Repurchases by Investment Funds
11-326 Cyber Security
11-327 Extension of Consultation Period Proposed National Policy 25-201 Guidance for Proxy Advisory Firms
11-401 Delivery of Documents by Issuers using Electronic Media Concept Proposal - Requests For Comments
11-402 Notice and Request for Comment 11-402 Concept Proposal for Uniform Securities Legislation
11-404 Notice and Request for Comment - Consultation Drafts of the Uniform Securities Act and the Model Administration Act
11-502 Voluntary Surrender Of Reporting Issuer Status
11-503 Pro Rated Fees for Registration or Renewal of Registration
11-901 Fee Checklist
12-201 Mutual Reliance Review System for Exemptive Relief Applications (the System)
12-202 Revocation of a Compliance-related Cease Trade Order
12-203 Cease Trade Orders for Continuous Disclosure Defaults
12-302 National Policy 12-201 - Mutual Reliance Review System ("MRRS") for Exemptive Relief Applications ("ERA") - ERA and Applications for Approvals or Exemptions under National Policy No. 39 "Mutual Funds" ("NP 39")
12-303 Exemptive Relief Applications and Year End
12-304 Mutual Reliance Review System for Exemptive Relief Applications Frequently Occurring Issues
12-305 Exemptive Relief Applications and Year End
12-306 Exemptive Relief Applications and Year End
12-307 Applications for a Decision that an Issuer is not a Reporting Issuer
12-309 Impact of the MI 11-101 Principal Regulator System on the Mutual Reliance Review System for Exemptive Relief Applications
12-310 Expedited Treatment of Applications under the Mutual Reliance Review System for Exemptive Relief Applications
12-401 National Application System Concept Proposal
12-601 Designation as a Reporting Issuer (Extraprovincial Issuers)
12-602 Exempt Purchaser Status
12-603 Reactivation of Dormant Issuers (Previously Local Policy Statement 3-35)
12-701 Executive Director's Consent under Section 179 of the Company Act (Previously NIN#91/17)
12-901 Claim Application Form
13-101 System for Electronic Document Analysis and Retrieval (SEDAR)
13-102 System Fees for SEDAR and NRD
13-301 SEDAR - Use of Incorrect Document Formats
13-302 Notice of Changes to SEDAR Filer Software
13-303 Sedar Operational Changes
13-304 Changes to SEDAR Filing Service Charges
13-305 SEDAR Changes for Mutual Reliance Review Systems for Prospectuses and AIFs
13-306 Guidance for SEDAR Users
13-307 Notice of Amendments to the SEDAR Filer Manual
13-308 Increases to SEDAR Annual Filing Service Charges
13-310 Securities Regulatory Authority Closed Dates 2002
13-311 Changes to SEDAR Annual Filing Service Charges
13-312 Securities Regulatory Authority Closed Dates 2003
13-313 Securities Regulatory Authority Closed Dates 2004 - Revised
13-314 2004 Changes to Sedar Annual Filing Service Charges
13-315 Securities Regulatory Authority Closed Dates 2011*
13-316 Amendments to the SEDAR Filer Manual
13-401 Request for Changes, Additions or Improvements for a Revised SEDAR System
13-501 Filing reports of exempt distribution by facsimile
13-502 Electronic filing of reports of exempt distribution
13-503 Transitional Exemption from Complying with Consequential Amendments to NI 13-101 System for Electronic Document Analysis and Retrieval (SEDAR), NI 31-102 National Registration Database, and NI 55-102 System for Electronic Disclosure by Insiders (SEDI)
13-504 Interim relief for issuers listed on Aequitas NEO Exchange Inc. from the requirements pertaining to venture issuers
13-601 Required Forms
13-602 Confidentiality of Records
13-701 Mutual Reliance Review System - Memorandum of Understanding
14-101 Definitions
15-501 Disclosure of Investigation Information
15-601 Hearings
15-602 Electronic hearings
15-901 Summons to Attend Before an Investigator Under Section 144
15-902 Demand for Production under Section 144