Securities Law & Instruments


Instruments, Rules & Policies


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

3 - Registration Requirements and Related Matters

31-101 Requirements Under the National Registration System
31-102 National Registration Database
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-201 National Registration System
31-305 Registration Streamlining System
31-306 National Registration Database (NRD)
31-307 National Registration Database (NRD) - NRD Enrolment and User Fees
31-308 Frequently Asked Questions Regarding National Instrument 31-101 National Registration System and National Policy 31-201 National Registration System(Withdrawn by CSA Notice 11-313, February 19, 2010)
31-309 Proposed NI 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-310 Proposed NI 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-311 Proposed NI 31-103 Registration Requirements and Exemptions – Transition into the new registration regime (Withdrawn by CSA Notice 11-317, June 21, 2012)
31-312 The Exempt Market Dealer Category under NI 31-103 Registration Requirements and Exemptions
31-313 NI 31-103 Registration Requirements and Exemptions and related instruments – Frequently Asked Questions as of December 18, 2009 (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-314 NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of February 5, 2010 (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-315 Omnibus / blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements and Exemptions (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-316 Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments
31-317 Reporting Obligations Related to Terrorist Financing for Registrants, Exempt International Dealers, and Exempt International Advisers
31-318 Omnibus/blanket order exempting mortgage investment entities from the requirement to register as investment fund managers and advisers
31-319 Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions
31-320 Additional Request for Comment by the OSC and Autorité des Marchés Financiers on Proposed Exemptions from Investment Fund Manager Registration Requirement for International and Certain Domestic Investment Fund Managers
31-321 Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions (Withdrawn by CSA Notice 11-317, June 21, 2012)
31-322 Extension of Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
31-323 Guidance Relating to the Registration Obligations of Mortgage Investment Entities
31-324 Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions (withdrawn by CSA Notice 31-345, April 14, 2016)
31-325 Marketing Practices of Portfolio Managers
31-326 Outside Business Activities (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-327 Broker-Dealer Registration in the Exempt Market Dealer Category (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-328 Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations(Withdrawn by CSA Notice 11-329, June 16, 2015)
31-329 Omnibus/blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-330 Omnibus/Blanket Orders Extending Certain Transition Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-331 Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
31-333 Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-334 CSA Review of Relationship Disclosure Practices
31-335 Extension of Interim Relief for Members of the Investment Industry Regulatory Organization of Canada from the Requirement in section 14.2(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations in Respect of the Provision of Relationship Disclosure Information to Existing Clients (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
31-337 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance as of February 27, 2014(withdrawn by CSA Notice 31-345, April 14, 2016)
31-338 Guidance on Dispute Resolution Services - Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization
31-339 Omnibus/ Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-340 OBSI Joint Regulators Committee Annual Report for 2014
31-341 Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-342 Guidance for Portfolio Managers Regarding Online Advice
31-343 Conflicts of interest in distributing securities of related or connected issuers
31-344 CSA Staff Notice 31-344 – OBSI Joint Regulators Committee Annual Report for 2015
31-345 CSA Staff Notice 31-345 – Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance
31-346 CSA Staff Notice 31-346 – Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers
31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
31-348 OBSI Joint Regulators Committee Annual Report for 2016
31-349 CSA Staff Notice 31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
31-350 CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
31-401 Registration Forms Relating to the National Registration Database
31-402 Registration Forms Relating to the National Registration Database (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-501 Registrant Relationships
31-502 Proficiency Requirements for Registrants
31-503 Limited Market Dealers
31-504 Applications for Registration
31-505 Conditions of Registration
31-506 SRO Membership - Mutual Funds Dealers
31-507 SRO Membership Securities Dealers and Brokers
31-508 Permanent Registration
31-509 Rule and Companion Policy - National Registration Database
31-702 Designation of Courses Under Rule 31-502 Proficiency Requirements for Registrants (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-705 Common Renewal Date
31-708 National Registration Database (NRD) Filing Deadlines Extended (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-709 National Registration Database (NRD) Filing Deadlines Extended to November 15, 2003
31-710 National Registration Database (NRD) Extention of Certain Filing Deadlines
31-711 Ontario Securities Commission Rule 31-502 - Proficiency Requirements for Registrants and Ontario Securities Commission Rule 31-505 - Conditions of Registration (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-712 Mutual Fund Dealers Business Arrangements
31-714 OSC Staff Supplement to CSA Staff Notice 31-328 Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-715 OSC Staff Notice 31-715, IIROC Notice Number 15-0210 and MFDA Bulletin Number 0658-C – Mystery Shopping for Investment Advice: Insights into advisory practices and the investor experience in Ontario
32-101 Small Security holder Selling and Purchase Arrangements
32-102 Registration Exemptions for Non-Resident Investment Fund Managers
32-501 Direct Purchase Plans
32-502 Registration Exemption for Certain Trades by Financial Intermediaries
32-503 Registration and Prospectus Exemption for Trades by Financial Intermediaries in Mutual Fund Securities to Corporate Sponsored Plans
32-504 Advisory Registration Exemption
32-505 Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario
32-701 and 33-712 Processing of Equity and Fixed Income Trades By Financial Institutions and Mutual Fund Dealers
32-702 Applications for Exemption from the Time Limits on Completion of Courses and Previous Registrations (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-101 Administration of Self-Directed RRSPs, RESPs and RRIFs by Dealers
33-102 Revised Principles of Regulation - National Instrument 33-102 Registrant Dealings with Clients
33-103 Distribution Networks
33-104 Selling Arrangements
33-105 Underwriting Conflicts
33-107 Proficiency Requirements for Registrants Holding Themselves Out As Providing Financial Planning Advice
33-108 Permanent Registration
33-109 Registration Information Requirements
33-201 Networking And Selling Arrangement
33-303, 81-304 Trust Accounts for Mutual Fund Securities
33-304 CSA Distribution Structures Committee Position Paper (Withdrawn by CSA Notice 11-313, February 19, 2010)
33-305 Sale of Insurance Products by Dually Employed Salespersons
33-306 Date of NRD Freeze Period
33-307 List of Canadian Registrant and Non-Registrant Firms that Completed the CSA STP Readiness Assessment Survey (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-308 The CSA STP Readiness Assessment Survey Report (Survey Report) is Now Available on the OSC Website (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-309 The CSA STP Infrastructure Survey Report is Now Available on the OSC Website (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-310 Joint Forum Releases Summary of Comments and Responses on Principles and Practices for the Sale of Products and Services in the Financial Sector
33-311 CSA Staff Notice 33-311 List of Canadian Registrant and Non-Registrant Firms that Completed the CSA STP Readiness Assessment Survey (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-312 The CSA STP Readiness Assessment Survey Report is Now Available on the OSC Website (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-313 International Financial Reporting Standards and Registrants
33-314 International Financial Reporting Standards and Registrants
33-315 Suitability Obligation and Know Your Product
33-316 Status Report on Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
33-317 CSA Staff Notice 33-317 Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients
33-318 Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives
33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
33-320 CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration
33-401 Canadian Capital Markets Association - T + 1 White Paper (Withdrawn by CSA Notice 11-313, February 19, 2010)
33-402 Principles and Practices for the Sale of Products and Services in the Financial Sector (Withdrawn by CSA Notice 11-313, February 19, 2010)
33-403 The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients
33-501 Surrender of Registration
33-502 Exceptions To Conflict Rules In The Sale of Mutual Fund Securities
33-503 Change of Registration Information, Rescission of Notice and Revocation of Regulations under the Securities Act
33-504 Compliance with Section 42
33-505 (Commodity Futures Act) Permanent Registration
33-506 Registration Information Requirements
33-601 Guidelines for Policies and Procedures Concerning Inside Information
33-701 Calculation of Regulatory Capital (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-712 and 32-701 Processing of Equity and Fixed Income Trades By Financial Institutions and Mutual Fund Dealers
33-713 Registrant Regulatory Filings
33-718 Networking Applications (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-719 Registration Renewal & Permanent Registration (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-720 2001 National Compliance Review (NCR)
33-721 CSA/OSC STP Readiness Assessment Survey
33-722 Registration Renewal Procedure and Payment of Annual Participation Fees (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-723 Fair Allocation of Investment Opportunities - Compliance Team Desk Review (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
33-724 OSC Compliance Team, Capital Markets Branch Annual Report
33-725 Industry Report on Scholarship Plan Dealers
33-726 IOSCO Publishes Final Report on Compliance Function at Market Intermediaries (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-727 IOSCO Publishes Consultation Report on Market Intermediary Management of Conflicts that Arise in Securities Offerings (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
33-728 2007 Annual Report - Compliance Team
33-729 Marketing Practices of Investment Counsel/Portfolio Managers
33-730 Capital Calculations for Investment Counsel/Portfolio Managers
33-731 2008 Compliance Team Annual Report
33-732 2009 Compliance Team Annual Report
33-733 Report on Focused Reviews of Investment Funds, September 2008 - September 2009
33-734 2010 Compliance and Registrant Regulation Branch Annual Report
33-735 Sale of Exempt Securities to Non-Accredited Investors
33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-737 Enhanced Transparency of Communications with Registrants
33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-739 Termination of the Ontario Contingency Trust Fund
33-740 Report on the results of the 2012 targeted review of portfolio managers and exempt market dealers to assess compliance with the know-your-client, know-your-product and suitability obligations
33-741 Report on the Results of the Reviews of Capital Markets Participation Fees
33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-743 Guidance on sales practices, expense allocation and other relevant areas developed from the results of the targeted review of large investment fund managers
33-744 Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario)
33-745 OSC Staff Notice 33-745: Compliance and Registrant Regulation - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-746 OSC Staff Notice 33-746: Compliance and Registrant Regulation - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-747 OSC Staff Notice 33-747 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-748 OSC Staff Notice 33-748 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
33-901 Fair Dealing Model: Concept Paper of the Ontario Securities Commission 33-901 - Fair Dealing Model: Concept Paper of the Ontario Securities Commission (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
34-201 Breach of Requirements of Other Jurisdictions
34-202 Registrants Acting as Corporate Directors (Withdrawn by CSA Notice 11-329, June 16, 2015)
34-601 Registration - Declaration of Personal Bankruptcy
34-602 Suspension of Registration-Criminal Charges Pending
34-701 Publication of Decisions of the Director on Registration Matters under Part XI of the Securities Act (Ontario) (“Opportunities to be Heard”)
35-101 Conditional Exemption From Registration For United States Broker-Dealers and Agents
35-301 Conditional Exemption from Registration for United States Broker-Dealers and Agents
35-501 Registration of Non-Residents (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
35-502 Non-Resident Advisers
35-503 Trades by Certain Members of the TSE
35-704 (Commodity Futures Act) Non-Resident Advisers

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