Securities Law & Instruments


Instruments, Rules & Policies


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

9 - Derivatives

91-301 Model Provincial Rules – Derivatives Product Determination and Trade Repositories and Derivatives Data Reporting
91-303 Proposed Model Provincial Rule on Mandatory Central Counterparty Clearing of Derivatives
91-304 Model Provincial Rule – Derivatives: Customer Clearing and Protection of Customer Collateral and Positions
91-401 Over-the-Counter Derivatives Regulation in Canada
91-402 Derivatives: Trade Repositories
91-403 Derivatives: Surveillance and Enforcement
91-404 Segregation and Portability in OTC Derivatives Clearing
91-405 Derivatives: End-User Exemption
91-406 Derivatives: OTC Central Counterparty Clearing
91-407 Derivatives: Registration
91-501 91-501CP Strip Bonds
91-502 Trades in Recognized Options
91-503 Trades in Commodity Futures Contracts and Commodity Futures Options Entered Into on Commodity Futures Exchanges Situated Outside Ontario
91-504 and 91-504CP Over-The-Counter Derivatives and Companion Policy 91-504CP
91-506 Derivatives: Product Determination
91-507 Trade Repositories and Derivatives Data Reporting
91-701 Debt-Like Derivative Securities
91-702 Offerings of Contracts for Difference and foreign exchange contracts to investors in Ontario
91-703 OSC Staff Notice 91-703: Staff Recommendation on the Reporting of Inter-Affiliate Transactions by End-Users under OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting
91-704 Ontario Securities Commission Staff Notice - Compliance Review Plan for OSC Rule 91-507 - Trade Repositories and Derivatives Data Reporting
92-401 Derivatives Trading Facilities
94-101 94-101CP NI 94-101 Mandatory Central Counterparty Clearing of Derivatives and Companion Policy 94-101CP Mandatory Central Counterparty Clearing of Derivatives
94-102 NI 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Companion Policy 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions
95-401 CSA Consultation Paper 95-401 – Margin and Collateral Requirements for Non-Centrally Cleared Derivatives

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