Securities Law

11-203 - Process for Exemptive Relief Applications in Multiple Jurisdictions [NP - Rescinded]

Published Date: 2009-09-25
Effective Date: 2009-09-28
Rescinded Date: 2012-07-31
Document(s):

Concurrently Published:

PART 1 APPLICATION

1.1 Application

PART 2 DEFINITIONS

2.1 Definitions
2.2 Further definitions

PART 3 OVERVIEW, PRINCIPAL REGULATOR AND GENERAL GUIDELINES

3.1 Overview
3.2 Passport application
3.3 Dual application
3.4 Coordinated review application
3.5 Hybrid applications
3.6 Principal regulator
3.7 Discretionary change in principal regulator
3.8 General guidelines

PART 4  PRE-FILINGS

4.1 General
4.2 Procedure for passport application pre-filing
4.3 Procedure for dual application pre-filing
4.4 Procedure for coordinated review application pre-filing
4.5 Disclosure in related application

PART 5  FILING MATERIALS

5.1 Election to file under this policy and identification of principal regulator
5.2 Materials to be filed with application
5.3 Materials to be filed to make an exemption available in an additional passport jurisdiction under sections 4.7 and 4.8 of MI 11-102
5.4 Request for confidentiality
5.5 Filing
5.6 Incomplete or deficient material
5.7 Acknowledgment of receipt of filing
5.8 Withdrawal or abandonment of application

PART 6 REVIEW OF MATERIALS

6.1 Review of passport application
6.2 Review and processing of dual application or coordinated review application

PART 7 DECISION-MAKING PROCESS

7.1 Passport application
7.2 Dual application or coordinated review application

PART 8 DECISION

8.1 Effect of decision made under passport application
8.2  Effect of decision made under dual application
8.3 Effect of decision made under coordinated review application
8.4 Listing non-principal jurisdictions
8.5 Form of decision
8.6 Issuance of decision

PART 9 EFFECTIVE DATE AND TRANSITION

9.1 Effective date
9.2 Exemptive relief applications filed before March 17, 2008
9.3 Availability of passport for exemptions applied for before March 17, 2008
9.4 Revocation or variation of MRRS decisions made before March 17, 2008

Annex A

Form of decision for passport application

Annex B

Form of decision for a dual application

Annex C

Form of decision for coordinated review application

Annex D

Form of decision for hybrid application