Securities Law

4 - Distribution Requirements

Document
41-101 General Prospectus Requirements
41-201 Income Trusts and Other Indirect Offerings
41-305 Share Structure Issues – Initial Public Offerings
41-306 IFRS Transition – Prospectus Issues
41-307 Concerns regarding an issuer’s financial condition and the sufficiency of proceeds from a prospectus offering
43-101 Standards of Disclosure for Mineral Projects
43-306 Technical reports filed for prospectus offerings
43-307 Mining Technical Reports - Preliminary Economic Assessments
43-309 Review of Website Investor Presentations by Mining Issuers
43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers)
43-311 Review of Mineral Resource Estimates in Technical Reports
43-501 Exemption from certificate requirement for foreign underwriters
44-101 Short Form Prospectus Distributions
44-102 Shelf Distributions
44-103 Post-Receipt Pricing
44-304 Linked Notes Distributed under Shelf Prospectus System
44-305 2015 Update – Structured Notes Distributed Under the Shelf Prospectus System
45-102 Resale of Securities
45-106 Prospectus Exemptions
45-110 Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions
45-304 Notice of Local Exemptions Related to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (Revised)
45-307 Regulatory Developments Regarding Securitization
45-308 Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions (Revised)
45-309 Guidance for Preparing and Filing an Offering Memorandum 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 Updated List of Current CSA Exempt Market Initiatives
45-315 Proposed Prospectus Exemption for Certain Distributions through an Investment Dealer
45-316 Start-up Crowdfunding Registration and Prospectus Exemptions
45-318 Prospectus Exemption for Certain Distributions through an Investment Dealer
45-319 Amendments to Start-up Crowdfunding Registration and Prospectus Exemptions
45-321 Frequently Asked Questions about the Investment Dealer Prospectus Exemption
45-323 Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions (revised)
45-324 Update on the Start-up Crowdfunding Registration and Prospectus Exemptions
45-325 Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts
45-326 Update on: Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP Prospectus Exemptions and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages
45-401 Review of Minimum Amount and Accredited Investor Exemptions
45-501 Mortgages
45-504 Trades to trust companies, insurers and portfolio managers outside British Columbia
45-505 Alternate Reporting Requirements for Exempt Distributions of Securities of Eligible Pooled Funds
45-512 Real Estate Securities
45-514 The Employee Investment Act
45-524 Registration and Prospectus Exemption for Certain Capital Accumulation Plans
45-528 Trades under a realization on collateral given for a debt
45-530 Exemptions for Securities Issued by a Cooperative Association
45-531 Exemptions for shares or deposits of a credit union
45-534 Exemption from Prospectus Requirement for Certain Trades to Existing Security Holders
45-535 Start-up Crowdfunding Registration and Prospectus Exemptions
45-536 Exemption from Prospectus Requirement for Certain Distributions Through an Investment Dealer
45-537 Exemptions from certain requirements in Form 45-106F1 Report of Exempt Distribution
45-601 Discretionary Exemptions
45-901 Offering Memorandum for Syndicated Mortgages
45-906 Offering Memorandum - Real Estate Securities
46-201 Escrow for Initial Public Offerings
46-303 Principal Protected Notes
46-304 Update on Principal Protected Notes
46-305 Canadian Securities Administrators' Notice 46-305 Second Update on Principal Protected Notes
46-306 Third Update on Principal Protected Notes
46-307 Cryptocurrency Offerings
46-308 Securities Law Implications for Offerings of Tokens
46-309 Bail-in Debt
47-201 Trading Securities Using the Internet and Other Electronic Means
47-601 Advertising
47-701 Blanket Permission Under Section 50(1)(c) of the Securities Act
Document
41-101 General Prospectus Requirements
41-103 Supplementary Prospectus Disclosure Requirements for Securitized Products
41-201 Income Trusts and Other Indirect Offerings
41-301 The Year 2000 Challenge Disclosure Issues
41-303 Harmonization of Prospectus Requirements Across the CSA
41-304 Income trusts: prospectus disclosure of distributable cash
41-501 Variation of Prospectus Disclosure Requirements for Issuers Using OSC Prospectus Rule
41-502 Waiver - Firm Commitment Underwriting for Issuers Using OSC Prospectus Rule
41-601 Prospectus Filing Requirements
41-901 Prospectus / Annual Information Form
42-301 Dual Reporting of Financial Information
42-303 Prospectus Requirements
43-101 Standards of Disclosure for Mineral Projects
43-201 Mutual Reliance Review System for Prospectuses
43-301 CSA Mining Technical Advisory And Monitoring Committee
43-302 Frequently Asked Questions - National Instrument 43-101 Standards of Disclosure for Mineral Projects
43-303 Revised Frequently Asked Questions - National Instrument 43-101 Standards of Disclosure for Mineral Projects
43-304 Prospectus Filing Matters - Arthur Andersen LLP Consent
43-305 CSA Mining Technical Advisory and Monitoring Committee
43-308 Professional Associations under NI 43-101 Standards of Disclosure for Mineral Projects
43-501 Exemption from certificate requirement for foreign underwriters
43-901 Technical Report On Oil And Gas Properties
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 National Instrument 44-101 Short Form Prospectus Distributions
44-401 Notice and Request for Comment - Concept Proposal for an Integrated Disclosure System
44-501 Exemption of short form prospectuses from general disclosure requirements
44-502 Variation of BC Instrument 44-801 Implementing National Instrument 44-101 Short Form Prospectus Distributions, BC Instrument 44-802 Implementing National Instrument 44-102 Shelf Prospectus and BC Instrument 44-803 Implementing National Instrument 44-103 Post-Receipt Pricing
44-801 Implementing National Instrument 44-101 Short Form Prospectus Distributions
44-802 Implementing National Instrument 44-102 Shelf Distributions
44-803 Implementing National Instrument 44-103 Post-Receipt Pricing
44-901 Notice by Canadian Reporting Issuer to Become a Public Issuer/Mutual Fund
45-101 Rights Offering
45-102 Resale of Securities
45-103 Capital Raising Exemptions
45-105 Trades to Employees, Senior Officers, Directors, and Consultants
45-106 Prospectus and Registration Exemptions
45-301 Implementation of Multilateral Instrument 45-102 Resale of Securities
45-302 Frequently Asked Questions regarding the New Resale Rules
45-303 Interpretation of the Amalgamation Exemption
45-304 Notice of Local Exemptions Related to National Instrument 45-106 Prospectus and Registration Exemptions
45-305 Frequently asked questions regarding National Instrument 45-106 Prospectus and Registration Exemptions
45-308 Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions (Revised)
45-312 Proposed Prospectus Exemption for Distributions to Existing Security Holders
45-313 Prospectus Exemption for Distributions to Existing Security Holders
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
45-323 Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions
45-501 Mortgages
45-502 Cooperative Associations
45-503 Syndicated Mortgages Transitional Relief
45-504 Trades To Trust Companies, Insurers And Portfolio Managers Outside British Columbia
45-505 Alternate reporting requirements for exempt distributions of securities of eligible pooled funds
45-506 In The Matter Of The System For Shorter Hold Periods With An Annual Information Form
45-507 Trades to Employees, Executives and Consultants
45-508 Hold Period for Securities Issued by an Exchange Issuer under Section 74(2)(18) of the Securities Act
45-509 Short form offerings of listed securities and units by qualifying issuers
45-510 Trades in Self-Directed Registered Educational Savings Plans
45-511 Trades Of Government Warrants
45-512 Real Estate Securities
45-513 Resale Relief For Eligible Real Estate Securities
45-514 The Employee Investment Act
45-515 Resale of Rights
45-516 Amendments to Multilateral Instrument 45-102 Resale of Securities
45-517 Transitional Resale Relief for certain Securities of SHAIF Issuers
45-518 Transitional Resale Relief for certain Securities of Exchange Issuers
45-519 Retention of Current Exemptions for Six Months
45-520 Exemption from National Instrument 43-101 Standards Of Disclosure For Mineral Projects
45-521 Transition Period for Amended Multilateral Instrument 45-103
45-522 Exemption from Requirement to file Reports of Exempt Distribution
45-523 Transition period for minimum purchase price and asset acquisition exemptions
45-525 Exemption for distribution reinvestment plans
45-526 Removal of exemptions for rights offerings
45-527 Exemptions for certain supranational agencies
45-528 Trades under a realization on collateral given for a debt
45-529 Bonus or Finder’s Fee
45-530 Exemptions for securities issued by a cooperative association
45-532 Exemption for use of information by representatives of the media
45-533 Exemptions from Form 45-106F6 requirements
45-534 Exemption from prospectus requirement for certain trades to existing security holders
45-535 Start-up Crowdfunding Registration and Prospectus Exemptions
45-536 Exemption from prospectus requirement for certain distributions through an investment dealer
45-537 Exemptions from Certain Requirements in Form 45-106F1 Report of Exempt Distribution
45-5XX Exemption from Prospectus Requirement for Certain Distributions Through an Investment Dealer
45-601 Statutory and Discretionary Exemptions
45-701 Meaning of "Fully Managed" Accounts
45-702 Exemptive Relief for Certain Real Estate Securities
45-703 Offering Documents Requiring Written Underwriting Procedures and Registration as an Underwriter
45-901 Offering Memorandum For Syndicated Mortgages
45-902 Report Of Exempt Distribution
45-903 Acknowledgment of Individual Purchaser
45-904 Offering Memorandum
45-905 Offering Memorandum - Immigrant Investor Program
45-906 Offering Memorandum - Real Estate Securities
45-907 Offering Memorandum
45-908 Risk Acknowledgement - Non Public Issuers
45-909 Risk Acknowledgement - Public Issuers
45-910 Report of Exempt Offering
45-911 Report of Section 18(3) Offering by Public Issuer
46-201 Escrow for Initial Public Offerings
46-301 Proposal for Uniform Terms of Escrow Applicable to Initial Public Distributions
46-302 Consent to Amend Existing Escrow Agreements
46-901 Escrow Agreement
47-201 Trading Securities Using the Internet and Other Electronic Means
47-302 Pre-marketing of underwriters’ options on bought deals
47-501 Exemption for solicitations of expressions of interest
47-601 Advertising
48-501 Distribution Period For Firm Commitment Underwritings