Securities Law & Instruments


Instruments, Rules & Policies


Instruments, rules, policies, and other documents, both proposed and final, are organized into these categories:

1 - Procedure and Related Matters

11-101 Principal Regulator System [Note: Never adopted in Ontario. Revoked on September 28, 2009.]
11-102 Passport System [Note: Not adopted in Ontario]
11-103 MI 11-103 Failure-to-File Cease Trade Orders in Multiple Jurisdictions [Note: Not adopted in Ontario, Alberta, Quebec, New Brunswick and Nova Scotia.]
11-201 Electronic Delivery of Documents
11-202 National Policy - Process for Prospectus Reviews in Multiple Jurisdictions
11-203 National Policy - 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 NP 11-206 Process for Cease to be a Reporting Issuer Applications
11-207 NP 11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions
11-301 CSA Strategic Plan 1999 - 2001
11-302 Withdrawal of CSA Notices
11-303 The Uniform Securities Legislation Project (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-304 Responses to Comments Received on Concept Proposal, Blueprint For Uniform Securities Laws For Canada (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-305 Withdrawal of CSA Staff Notice 42-301 and 52-302
11-306 Extension of Comment Period for Consultation Drafts of the Uniform Securities Act and the Model Securities Administration Act (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-307 Responses to Comments Received on Consultation Drafts for a Uniform Securities Act and a Model Securities Administration Act (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-309 Withdrawal of CSA Notices
11-310 Withdrawal of CSA Notices
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 Numbering System
11-313 Withdrawal of Notices and Policies
11-314 Update of CSA Instruments
11-315 Extension of Consultation Period
11-316 Notice of Local Amendments - British Columbia (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
11-317 Withdrawal of Notices
11-318 Guidance for Cease Trade Order Database Users
11-319 Extension of Consultation Period - Consultation Paper 25-401 - Potential Regulation of Proxy Advisory Firms
11-320 Notice of Local Amendments – Nova Scotia and Yukon
11-321 Business Continuity Planning – Industry Testing Exercise
11-322 Extension of Consultation Period - Proposed Amendments to Multilateral Instrument 62-104 Take-Over Bids and Issuer Bids and National Instrument 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues
11-323 Withdrawal of Notices and Policies
11-324 CSA Staff Notice: 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 (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
11-326 Cyber Security
11-328 CSA Staff Notice 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 CSA Staff Notice 11-333 Withdrawal of Notices
11-334 CSA Staff Notice 11-334 Notice of Local Amendments and Changes in Certain Jurisdictions
11-335 CSA Staff Notice 11-335 Notice of Local Amendments and Changes in Certain Jurisdictions
11-336 Summary of CSA Roundtable on Response to Cyber Security Incidents
11-401 Delivery of Documents by Issuers Using Electronic Media
11-402 Concept Proposal for Uniform Securities Legislation (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-404 Consultation Drafts of the Uniform Securities Act and the Model Administration Act (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-405 Securities Regulatory Proposals Stemming from the 2007-2008 Credit Market Turmoil and its Effect on the ABCP Market in Canada
11-501 Electronic Delivery of Documents to the Ontario Securities Commission
11-601 The Securities Advisory Committee
11-602 Guidelines on the Application of the Prohibition Against Orders of General Application to Applications to the OSC for Exemptive Relief
11-706 Withdrawal of Staff Notices
11-709 Assignment of Notice Numbers
11-710 Withdrawal of Staff Accounting Communiques
11-712 Withdrawal of CSA Notices
11-717 Securities Advisory Committee (OSC Policy 11-601)
11-719 A Risk-based Approach for More Effective Regulation
11-722 Recommendations of the Committee on Staff Communications
11-723 Policy Reformulation Project
11-726 Assignment of Policy Numbers (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-727 Assignment of Notice Numbers (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-728 Withdrawal of Staff Notices
11-729 Withdrawal of Staff Notices
11-732 Proposal for the Ontario Securities Administration Act (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-735 IOSCO and International Joint Forum Publish Reports on Outsourcing of Financial Services for Public Comment (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-736 North American Securities Administrators Association (NASAA) Seeks Public Comment on Proposal to Extend the Model Secondary Market Trading Exemption for Qualifying Canadian Securities to TSX Venture Exchange (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-737 Securities Advisory Committee - Vacancies
11-738 IOSCO Seeks Public Comment on draft Code of Conduct Fundamentals for Credit Rating Agencies (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-739 Policy Reformulation Table of Concordance and List of New Instruments
11-740 OSC Staff Notice - International Joint Forum Publishes Consultation Report on Credit Risk Transfer (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-741 OSC Staff Notice - IOSCO Publishes Draft Consultation Policy and Procedures for Public Comment (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-742 The Securities Advisory Committee to the OSC
11-743 IOSCO Publishes Consultation Report Concerning Governance of Collective Investment Schemes (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-744 IOSCO and International Joint Forum Publish Final Recommendations about Outsourcing of Financial Services (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-745 IOSCO Publishes for Consultation Best Practice Standards on Anti-Market Timing and Anti-Money Laundering Guidance for Collective Investment Schemes (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-746 IOSCO Publishes Consultation Report: Policies on Error Trades (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-747 IOSCO and Basel Committee Publish Consultation Document on the Application of Basel II to Trading Activities and the Treatment of Double Default Effects (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-748 IOSCO Publishes a Discussion Paper on the Compliance Function at Market Intermediaries (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-749 International Joint Forum Publishes Final Report on Credit Risk Transfer (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-750 IOSCO Releases Survey Report on the Regulation and Oversight of Auditors (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-751 IOSCO Finalizes Consultation Policy and Procedures (Withdrawn by CSA Notice 11-313, February 19, 2010)
11-752 Limited Market Dealer Initiative - Compliance Team
11-753 OSC Statement of Priorities
11-754 Amendments to National Policy 43-201 MRRS for Prospectuses and Annual Information Forms, Amendments to National Policy 12-201 MRRS for Exemptive Relief Applications, Amendments to National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities, and MI 81-104 Commodity Pools.
11-755 Notice of WIthdrawal of OSC Staff Notices
11-756 Assignment of Notice Numbers
11-757 Withdrawal of OSC Notices
11-758 Review of Limited Market Dealers
11-759 Business Continuity Planning
11-760 Report on Mutual Fund Sales Practices Under Part 5 of NI 81-105 Mutual Fund Sales Practices
11-761 IOSCO Consults on Changes to Code of Conduct for Credit Rating Agencies
11-762 Regarding Statement of Priorities for Fiscal Year Ending March 31, 2010
11-763 A Focused Review of the Securities Valuation and Expense Allocation Practices of Fund Managers
11-764 Business Continuity Planning – Industry Testing Exercise
11-765 2011-2012 Statement of Priorities – Request for Comments Regarding Statement of Priorities for Fiscal Year Ending March 31, 2012
11-766 Statement of Priorities for Financial Year to End March 31, 2013
11-767 Notice of Statement of Priorities for Financial Year to End March 31, 2013
11-768 Statement of Priorities for Financial Year to End March 31, 2014
11-769 Statement of Priorities for Financial Year to End March 31, 2015
11-770 Notice of Statement of Priorities for Financial Year to End March 31, 2015
11-771 Statement of Priorities - Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2016
11-772 Notice of Statement of Priorities for Financial Year to End March 31, 2016
11-773 The Investor Perspective
11-774 OSC Notice 11-774 – Statement of Priorities – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2017
11-775 Notice of Statement of Priorities for Financial Year to End March 31, 2017
11-776 Investor Office Activity Report 2015-16
11-777 OSC Notice 11-777 – Statement of Priorities – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2018
11-778 Behavioural Insights: Key Concepts, Applications and Regulatory Considerations
11-901 Schedule 1 (Fees) to the Regulation to the Securities Act (Ontario)
11-904 Request for Comment regarding the Proposed Passport System
12-201 Mutual Reliance Review System for Exemptive Relief Applications Implementation
12-202 Revocation of a Compliance-related Cease Trade Order
12-203 Cease Trade Orders for Continuous Disclosure Defaults
12-303 Exemptive Relief Applications and Year End (Withdrawn by CSA Notice 11-313, February 19, 2010)
12-305 Exemptive Relief Application and Year End
12-307 Applications for a Decision that an Issuer is not a Reporting Issuer (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
12-401 National Application System (Withdrawn by CSA Notice 11-313, February 19, 2010)
12-602 Deeming an Issuer from Certain Other Canadian Jurisdictions to be a Reporting Issuer in Ontario
12-702 Applications to be Deemed a Reporting Issuer in Ontario
12-703 Applications for a Decision that an Issuer is not a Reporting Issuer
12-704 Materials to be Provided on a Compact Disc or 3.25" Disk on Exemptive Relief Applications
13-101 System For Electronic Document Analysis And Retrieval (SEDAR)
13-102 System Fees for SEDAR and NRD
13-306 Guidance for SEDAR Users (Withdrawn by CSA Notice 11-313, February 19, 2010)
13-307 Ammendments to SEDAR Filer Manual (Withdrawn by CSA Notice 11-313, February 19, 2010)
13-308 Increases to SEDAR Annual Filing Service Charges (Withdrawn by CSA Notice 11-313, February 19, 2010)
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
13-314 2005 Changes to SEDAR Annual Filing Service Charges (Withdrawn by CSA Notice 11-313, February 19, 2010)
13-315 Securities Regulatory Authority Closed Dates
13-316 Amendments to the SEDAR Filer Manual (Withdrawn by CSA Notice 11-313, February 19, 2010)
13-317 Amendments to the SEDAR Filer Manual
13-318 Changes to www.SEDAR.com
13-319 SEDAR Filer Manual Update
13-320 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
13-401 Request for Changes, Additions or Improvements for a Revised SEDAR System (Withdrawn by CSA Notice 11-302 on December 21, 2001.)
13-501 Payment of Fees
13-502 Fees
13-503 (Commodity Futures Act) Fees
13-601 Public Availability of Material Filed under the Securities Act
13-701 SEDAR Filings and Year 2000 Contingency Plans (Withdrawn by CSA Notice 11-317, June 21, 2012)
13-703 Implementation of Final Rule 13-502 – FAQs (Withdrawn effective April 1, 2006 in Notice of Ministerial Approval)
13-704 Applications for Participation Fee Relief for Certain Small Registered Firms and Reporting Issuers
13-705 Reduced Late Fee for Certain Outside Business Activities Filings
13-706 OSC Staff Notice 13-706 Sedar Filer Manual Update
14-101 National Definitions
14-501 Local Definitions
14-502 (Commodities Futures Act) Designation of Additional Commodites
15-401 Proposed Framework for an OSC Whistleblower Program
15-601 Whistleblower Program
15-701 Meetings with a Commissioner Regarding a Prospectus or an Application for Exemption or Registration
15-702 Credit for Cooperation Program
15-703 Guidelines for Staff Disclosure of Investigations
15-704 Request for Comments on Proposed Enforcement Initiatives
15-705 Notice of Extension of Time for Public Comment on Proposed Enforcement Initiatives and Continuation of Public Consultation through a Policy Hearing
15-706 Update to OSC Staff Notice 15-704 on Proposed Enforcement Initiatives
15-901 Procedures for Opportunities to be Heard Before Director's Decisions on Registration Matters
15-902 Guidelines for Executive Director’s Settlements

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