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Rules

1 - Procedure and Related Matters
11-102 Passport System [Rule 11-102]
11-103 Failure-to-file Cease Trade Orders in Multiple Jurisdictions [MI 11-103]
11-201 Electronic Delivery of Documents [NP]
11-202 Process for Prospectus Reviews in Multiple Jurisdictions
11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions [NP 11-203]
11-205 Process for Designation of Credit Rating Organization in Multiple Jurisdictions
11-206 Process for Cease to be a Reporting Issuer Applications [NP]
11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions [NP 11-207]
11-305 Withdrawal of CSA Notice 42-301 and 52-302
11-309 Withdrawal of CSA Notices
11-310 Withdrawal of CSA Notices
11-312 CSA Staff Notice 11-312 (Revised) National Numbering System
11-312 National Numbering System (Revised)
11-313 Withdrawal of Notices and Policies
11-314 Update of CSA Instruments
11-316 Withdrawn [CSA Notice 11-316]
11-318 Guidance for Cease Trade Order Database Users
11-319 CSA Notice 11-319 - Withdrawn (See CSA Notice 11-341)
11-320 Notice of Local Amendments - Nova Scotia and Yukon
11-322 CSA Notice 11-322 - Withdrawn (See CSA Notice 11-341)
11-323 Withdrawal of Notices and Policies
11-324 Withdrawn [CSA Notice 11-324]
11-326 Cyber Security
11-327 CSA Notice 11-327 - Withdrawn (See CSA Notice 11-341)
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
11-332 Cyber Security [CSA Notice 11-332]
11-333 Withdrawal of Notices [CSA Notice 11-333]
11-334 Notice of Local Amendments and Changes in Certain Jurisdictions [CSA Notice 11-334]
11-335 Notice of Local Amendments and Changes in Certain Jurisdictions [CSA Notice 11-335]
11-336 Summary of CSA Roundtable on Response to Cyber Security Incidents [CSA Notice 11-336]
11-337 Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick [CSA Notice 11-337]
11-338 CSA Market Disruption Coordination Plan [CSA Notice 11-388]
11-339 Notice of Local Changes in Alberta [CSA Notice 11-339]
11-340 CSA Staff Notice Extension of Comment Period for CSA Staff Notice 23-323 Trading Fee Rebate Pilot Study Comment period ended Mar. 1/19.
11-341 Withdrawal of Staff Notices [CSA Notice 11-341]
11-342 Notice of Local Amendments and Changes in Certain Jurisdictions [CSA Notice 11-342]
11-343 CSA Staff Notice and Request for Comment 11-343 Proposal to Establish a CSA Investor Advisory Panel Comment Period Ends Feb 1, 2022
11-344 Notice of Local Amendments in Certain Jurisdictions [CSA Staff Notice 11-344]
11-345 CSA Staff Notice 11-345 Extension of Comment Period for CSA Consultation Paper 43-401 Consultation on NI 43-101 Standards of Disclosure for Mineral Projects
11-346 CSA Staff Notice 11-346 Withdrawal of Staff Notices
11-348 CSA Staff Notice and Consultation 11-348 Applicability of Canadian Securities Laws and the use of Artificial Intelligence Systems in Capital Markets. Comment period ends March 31, 2025
11-406 CSA Multilateral Discussion Paper 11-406 - CSA Financial Innovation Hub Introduces Collaboratory and Data Portability Test
11-501 Secondment Arrangement
11-502 Amendments to the General Securities Rule
11-503 Amendments to the Fee Schedules in the General Securities Rules
11-504 Amendments to the Fees Schedules in the General Securities Rules
11-505 Schedule 1- Fees in the General Securities Rules
11-506 Rule 11-506
11-507 Amendments to the Fees Schedules in the General Securities Rules
11-508 11-508: Amendments to the fee schedule
11-509 Rule 11-509 Amendments to the Fee Schedules in the General Securities Rules
11-510 Rule 11-510 - Amendments to the General Securities Rules
11-510 Rule 11-510 - Amendments to the General Securities Rules
11-601 Routine Access Policy for Nova Scotia Securities Commission
11-701 Amendments to National Policy 11-201
11-704 Repeal of NP 12-201 and NP 43-201
11-705 NSSC Notice 11-705
11-706 Rule 11-502 Amendments to the General Securities Rules
11-707 Rule 11-503 Amendments to the Fees Schedules in the General Securities Rules
11-708 Amendments to the Fees Schedules in the General Securities Rules
11-709 Amendments to Companion Policies and CSA Staff Notices
11-710 Rule 11-507 AMENDMENTS TO THE FEES SCHEDULES N THE GENERAL SECURITIES RULES
11-712 Notice of Amendments (11-712)
11-713 Abridgement Notice re: Rule 11-103 [Notice 11-713]
11-714 RULE 11-508 (AMENDMENT) AMENDMENTS TO THE FEES SCHEDULES IN THE GENERAL SECURITIES RULES [NSSC Notice 11-714]
11-715 NSSC Notice 11-715 - Rule 45-106 Amendment Prospectus Exemptions
11-716 NSSC Notice 11-716 - Rule 11-509 (Amendment) Amendments to the Fees Schedules in General Securities Rules
12-202 Revocation of a Compliance-Related Cease Trade Order [NP]
12-203 Cease Trade Orders for Continuous Disclosure Defaults [NP]
12-307 Withdrawn [CSA Notice 12-307]
12-501 Management Cease Trade Orders Under NP 12-203 Cease Trade Orders for Continuous Disclosure Default
12-502 Assignment Order
13-101 System for Electronic Document Analysis and Retrieval (SEDAR)
13-102 System Fees for SEDAR and NRD [MI 13-102]
13-103 Proposed National Systems Renewal Program Rule [NI 13-103]
13-305 SEDAR Changes for MRRS for Prospectuses & AIFs
13-315 CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2025
13-318 Changes to www.SEDAR.com
13-319 SEDAR Filer Manual Update
13-320 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
13-323 Frequently Asked Questions About Making Exempt Market Offering and Disclosure Filings on SEDAR [CSA Notice]
13-501 Community Economic-Development Corporations Regulations [BO 13-501]
13-502 Rule 13-102 System Fees for SEDAR and NRD
13-503 System Fees for SEDAR and NRD (revoked effective Jan. 13/14)
13-504 Rule 13-102 and Transitional Relief Complying with Consequential Amendments to NI 13-101, 31-102 & 55-102
13-930 Exemptions from certain filing requirements in connection with the launch of the System for Electronic Data Analysis and Retrieval + [BO 13-930]
13-931 CSA Notice regarding the SEDAR+ launch date and Coordinated Blanket Order 13-931 Exemptions from certain filing requirements in connection with the deferred launch of the System for Electronic Data Analysis and Retrieval +
13-932 CSA Notice regarding Coordinated Blanket Order 13-932 Exemptions from certain filing requirements in connection with the launch of the System for Electronic Data Analysis and Retrieval +
13-933 CSA Notice regarding Coordinated Blanket Order 13-933 Temporary exemption from the requirement to transmit a report of exempt distribution through SEDAR+ in connection with distributions of eligible foreign securities to permitted clients
14-101 CSA Notice and Request for Comment Proposed Amendments to National Instrument 14-101 Definitions and Consequential Amendments. Comment period ends July 21, 2021
14-101 Definitions [Rule 14-101]
14-102 Amendments to NI 14-101 Definitions
14-501 Local Definitions
14-502 Rule 14-502 Civil Liability for Secondary Market Disclosure
14-701 Notice re: Civil Liability for Secondary Market Disclosure
15-501 General Rules of Practice and Procedure
15-501 BO Blanket Order relating to Appointments of Examiners
15-502 The Issuance of a Summons or a Notice to Produce Documents and Things
15-503 BO 15-503 - Sanction Payment Status Report
2 - Certain Capital Market Participants
21-101 Marketplace Operations [Rule 21-101]
21-304 CSA Notice 21-304 - Withdrawn (See CSA Notice 11-341)
21-306 CSA Notice 21-306 - Withdrawn (See CSA Notice 11-341)
21-315 Request for Comment - Next Steps in Regulation and Transparency of the Fixed Income Market. Comment period ends Nov. 1, 2015
21-316 Information Processor for Corporate Debt Securities [CSA Notice]
21-317 Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market [CSA Notice]
21-318 Information Processor for Corporate Debt Securities [CSA Notice]
21-319 Data Fees Methodology [CSA Notice 21-319]
21-320 Update: National Instrument 21-101 Marketplace Operation and Related Companion Policy - Dealing with Government Debt Transparency [CSA Notice 21-320]
21-321 Markets in Financial Instruments Directive (MiFID II) – Share Trading Obligation and its Application to Canadian Securities [CSA Notice 21-321]
21-322 Applicability of Regulation to the Operation of MTFs or OTFs in Canada [CSA Staff Notice 21-322 ]
21-323 Notice and Request for Comment 21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Proposed Amendments to NI 21-101.
21-324 Information Processor for Exchange-Traded Securities other than Options [CSA Notice 21-324] (Withdrawn)
21-325 Follow-up on Marketplace Systems Incidents [CSA Notice 21-325]
21-326 Guidance for Reporting Material Systems Incidents [CSA Staff Notice 21-326]
21-327 Guidance on the Application of Securities Legislation to Entities Facilitating the Trading of Crypto Assets [CSA Notice 21-327]
21-328 CSA Staff Notice 21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities
21-329 Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 21-329 Guidance for Crypto-Asset Trading Platforms: Compliance with Regulatory Requirements
21-330 Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 21-330 Guidance for Crypto-Trading Platforms: Requirements relating to Advertising, Marketing and Social Media Use
21-331 CSA Staff Notice 21-331 Information Processor for Exchange-Traded Securities other than Options
21-332 CSA Staff Notice 21-332 Crypto Asset Trading Platforms: Pre-Registration Undertakings Changes to Enhance Canadian Investor Protection
21-333 CSA Staff Notice 21-333 Crypto Asset Trading Platforms: Terms and Conditions for Trading Value-Referenced Crypto Assets with Clients
21-334 CSA Staff Notice 21-334 Next Steps to Facilitate Access to Real-time Market Data
21-402 Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms. Comment period ended May 15, 2019
21-403 CSA Consultation Paper 21-403 Access to Real-Time Market Data. Comment Period Ends Feb. 10, 2023
21-502 Revocation of Blanket Order No. 21-501
23-101 Trading Rules
23-102 Use of Client Brokerage Commissions [Rule 23-102]
23-103 Electronic Trading and Direct Electronic Access to Marketplaces
23-301 CSA Notice 23-301 - Withdrawn (See CSA Notice 11-341)
23-302 CSA Notice 23-302 - Withdrawn (See CSA Notice 11-341)
23-303 Update on Concept Paper 23-403 Best Execution and Soft Dollar Arrangements
23-304 CSA Notice 23-304 - Withdrawn (See CSA Notice 11-341)
23-306 CSA Notice 23-306 - Withdrawn (See CSA Notice 11-341)
23-309 Frequently Asked Questions About the Order Protection Rule and Intentionally Locked or Crossed Markets - Part 6 of NI 23-101
23-311 Regulatory Approach to Dark Liquidity in the Canadian Market
23-313 Blanket Orders Exempting Marketplace Participants from certain provisions of NI 23-103
23-314 Frequently Asked Questions about NI 23-103
23-316 Order Protection Rule: Implementation of the Market Share Threshold and Amendments to Companion Policy 23-101 Trading Rules [CSA Notice]
23-317 Order Protection Rule: Market Share Threshold for the period April 1, 2017 to March 31, 2018 [CSA Notice]
23-318 Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under NI 23-101 Trading Rules [CSA Notice 23-318] (Withdrawn)
23-319 Joint CSA/IIROC Staff Notice 23-319 Internalization in the Canadian Market
23-320 Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada [CSA Notice 23-320]
23-321 Order Protection Rule: Market Share Threshold for the period April 1, 2018 to March 31, 2019 [CSA Notice 23-321]
23-322 Trading Fee Rebate Pilot Study [CSA Notice 23-322] (Withdrawn)
23-323 CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study. Comment period extended to March 1, 2019.
23-324 Order Protection Rule: Market Share Threshold for the period April 1, 2019 to March 31, 2020 [CSA Notice 23-324]
23-325 CSA Notice 23-325 Trading Fee Rebate Pilot Study
23-326 Order Protection Rule: Market Share Threshold for the period April 1, 2020 to March 31, 2021 [CSA Notice 23-326]
23-327 Joint CSA/IIROC Staff Notice 23-327 Update on Internalization within the Canadian Equity Market
23-328 CSA Staff Notice 23-328 Order Protection Rule: Market Share Threshold for the Period April 1, 2021 to March 31, 2022
23-329 Joint CSA and IIROC Staff Notice 23-329 Short Selling in Canada Comment Period Ends March 8, 2023
23-331 CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets. Comment period ends December 4, 2023
23-332 CSA/CIRO Staff Notice 23-332 Summary of Comments and Responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada
23-333 CSA Staff Notice 23-333 Order Protection Rule: Market Share Threshold Effective as of April 1, 2024
23-334 CSA Staff Notice 23-334 Proposed Amendments to NI 23-101 Trading Rules and Proposed Changes to CP 23-101 Trading Rules. Comment period ends July 2, 2025
23-404 CSA/IIROC Consultation Paper - Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada
23-405 Dark Liquidity in the Canadian Market
23-406 Joint CSA/IIROC Consultation Paper 23-406 - Internalization within the Canadian Equity Market - Comment period ended May 13, 2019
23-503 Exemption from Certain Requirements of Part 6 of NI 23-101 [BO 23-503]
23-701 Recognition of the Investment Industry Regulatory Organization of Canada (IIROC) Notice of Approval
23-702 Notice of Consent to MFDA Co-operative Agreement
24-101 CSA Staff Notice 24-319 Regarding National Instrument 24-101 Institutional Trade Matching and Settlement – Update and Staff Recommendation
24-101 Institutional Trade Matching and Settlement [Rule 24-101]
24-102 Rule 24-102 Clearing Agency Requirements
24-301 Responses to Comments on Discussion Paper 24-401 on Straight through Processing and Proposed NI 24-10
24-302 Entitlement payments to The Canadian Depository for Securities Limited (CDS)
24-303 CSA SRO Oversight Project - Review of Oversight of Self-Regulatory Organizations and Market Infrastructures Entities
24-304 CSA-Industry Working Group on National Instrument 24-101 Industrial Trade Matching and Settlement
24-305 Frequently Asked Questions about NI 21-101 INSTITUTIONAL TRADE MATCHING AND SETTLEMENT and Related Companion Policy
24-306 NI 24-101 - INSTITUTIONAL TRADE MATCHING SETTLEMENT - EXCEPTION REPORTING
24-309 Publication of Clearing Agency Requirements in Ontario, Quebec and Manitoba
24-310 CSA Notice 24-310 Status Update: Clearing Agency Requirements (Withdrawn)
24-312 CSA Notice 24-312: Preparing for the Implementation of T+2 Settlement
24-314 Preparing for the Implementation of T+2 Settlement: Letter to Registered Firms [CSA Notice]
24-315 Update on Enhanced Segregation and Portability Initiatives for Clearing Agencies Serving the Domestic Futures Markets [CSA Notice 24-315]
24-316 Feedback on CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment [CSA Staff Notice 24-316]
24-317 Notice of Relief from Certain Filing Provisions under NI 24-101 Institutional Trade Matching and Settlement [CSA Notice 24-317]
24-318 CSA Staff Notice 24-318 Preparing for the Implementation of T+1 Settlement
24-502 Revocation of BO 24-501
24-503 Relief from Certain Reporting Requirements Under NI 24-101 Institutional Trade Matching and Settlement [BO 24-503 - Variation]
24-930 CSA Notice Regarding Coordinated Blanket Order 24-930 Exemption from certain filing requirements of NI 24-101 Institutional Trade Matching and Settlement
25-101 Designated Rating Organizations [Rule 25-101]
25-102 CSA Notice of Amendments to MI 25-102 Designated Benchmarks and Benchmark Administrators and Changes to CP 25-102 Designated Benchmarks and Benchmark Administrators
25-102 Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators and Companion Policy [CSA Notice 25-102]
25-201 Guidance for Proxy Advisory Firms [NP]
25-301 Update on CSA Consultation Paper 25-401 Potential Regulation of Proxy Advisory Firms
25-302 CSA Staff Notice 25-302 Matters Relating to CDOR, LIBOR and Other Interest Rate Benchmarks
25-303 CSA Staff Notice 25-303 2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds
25-304 CSA Staff Notice and Request for Comment 25-304 Application for Recognition of New Self-Regulatory Organization. Comment period ends June 27, 2022
25-305 CSA Staff Notice and Request for Comment 25-305 Application for Approval of the New Investor Protection Fund. Comment Period Ends June 27, 2022
25-306 CSA Staff Notice 25-306 Activist Short Selling Update
25-307 CSA Staff Notice of Approval 25-307 Recognition of New Self-Regulatory Organization of Canada
25-308 CSA Staff Notice of Approval 25-308 Approval and Acceptance of Canadian Investor Protection Fund
25-309 CSA Staff Notice 25-309 Matter Relating to Cessation of CDOR and Expected Cessation of Bankers' Acceptances
25-310 CSA Staff Notice 25-310 2022 Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds
25-311 CSA Staff Notice 25-311 2023 Annual Activities Report on the Oversight of Canadian Investment Regulatory Organization and Canadian Investment Protection Fund
25-314 CSA Notice and Request for Comment 25-314 Proposed approach to oversight and refinements to the proposed binding authority framework for an identified ombudservice. Comment period ends Sept. 29, 2025
25-402 CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework. Comment Period Ends Oct 23, 2020
25-403 CSA Consultation Paper 25-403 Activist Short Selling. Comment period ends March 3, 2021
25-404 CSA Position Paper 25-404 - New Self-Regulatory Organization Framework
25-501 Temporary Relief for Regulated Entities [BO 25-501]
3 - Registration, Compliance and Related Matters
13-315 CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2026
31-101 Revoked [Rule 31-101]
31-102 National Registration Database [Rule 31-102]
31-103 Registration Requirements and Exemptions [Rule 31-103]
31-202 Multilateral Policy 31-202 Registration Requirement for Investment Fund Managers
31-313 Withdrawn
31-314 Withdrawn
31-315 Withdrawn
31-317 Reporting Obligations Related to Terrorist Financing (Replaced by CSA Notice 31-352) (Withdrawn)
31-323 Guidance Relating to the Registration Obligations of Mortgage Investment Entities [CSA Notice 31-323]
31-324 Withdrawn
31-325 Marketing Practices of Portfolio Managers
31-326 Withdrawn
31-327 Withdrawn
31-328 Withdrawn
31-329 Withdrawn
31-330 Withdrawn
31-331 Withdrawn
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
31-333 Withdrawn
31-334 CSA Review of Relationship Disclosure Practices
31-335 Withdrawn
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 Withdrawn
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 CSA Notice 31-339 - Withdrawn (See CSA Notice 11-341)
31-341 CSA Notice 31-341 - Withdrawn (See CSA Notice 11-341)
31-342 Guidance for Portfolio Managers Regarding Online Advice
31-343 Conflicts of interest in distributing securities of related or connected issuers
31-344 OBSI Joint Regulators Committee Annual Report for 2015 [CSA Notice]
31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance [CSA Notice]
31-346 Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers [CSA Notice 31-346]
31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members [CSA Notice 31-347]
31-348 OBSI Joint Regulators Committee Annual Report for 2016 [CSA Notice 31-348]
31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions [CSA Notice 31-349]
31-350 Guidance on Small Firms Compliance and Regulatory Obligations [CSA Notice 31-350]
31-351 Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with requirements regarding the Ombudsman for Banking Services and Investments
31-352 Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations
31-353 OBSI Joint Regulators Committee Annual Report for 2017 [CSA Notice 31-353]
31-354 Suggested Practices for Engaging with Older or Vulnerable Clients [CSA Notice 31-354]
31-355 CSA Staff Notice 31-355 OBSI Joint Regulators Committee Annual Report for 2018
31-356 Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision [CSA Notice 31-356]
31-357 Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of NI 31-103 [CSA Notice 31-357]
31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments. Comment period ends Sept. 30, 2020. [CSA Notice 31-358]
31-359 CSA Staff Notice 31-359 OBSI Joint Regulators Committee Annual Report for 2019
31-360 Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of NI 31-103 [CSA Notice 31-360]
31-361 CSA Staff Notice 31-361 OBSI Joint Regulators Committee Annual Report for 2020
31-361 CSA Staff Notice 31-361 OBSI Joint Regulators Committee Annual Report for 2021
31-363 Staff Notice 31-363 Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance
31-364 CSA Staff Notice 31-364 OBSI Joint Regulators Committee Annual Report for 2022
31-367 CSA Multilateral Staff Notice 31-367 Notice and Consultation Regarding CSA Coordinated Blanket Order 31-930 Exemption to Allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities Under a Prospectus
31-368 Joint CSA/CIRO Staff Notice 31-368 Client Focused Reforms: Review of Registrants' Know You Client, Know Your Product and Suitability Determination Practices and Additional Guidance
31-369 Joint CSA and CIRO Staff Notice 31-369 Guidance on the Application of Securities Legislation to Finfluencer Activity
31-501 Revoked [Rule 31-501]
31-502 Revoked [Rule 31-502]
31-503 No longer relevant - See Rule 31-801 for amendment to section 27 of the General Securities Rules
31-505 BO 31-505 (Amendment) Contingency Trust Fund Requirements
31-506 Revocation of BO 12, 40, 52, 31-501, 31-504, 32-501, 33-501, 33-502 and Section 126 of the Act [BO 31-506]
31-507 Revoked
31-510 Revoked
31-514 Expired Dec. 31/10 [BO 31-514]
31-516 Expired on Sept. 28, 2011 [BO 31-516]
31-517 Expired Sept. 28, 2011 [BO 31-517]
31-521 Revoked
31-522 Revoked
31-523 Expired Dec. 31/13 [BO 31-523]
31-524 Expired Dec. 31/13 [BO 31-524]
31-525 Revoked
31-526 Expired May 1, 2014 [BO 31-526]
31-527 Expired July 10/15 [BO 31-527]
31-528 Expired March 26/14 [BO 31-528]
31-529 Expired on Jan. 19, 2015 [BO 31-529]
31-530 Relief from Certain CRM2 Requirements Prescribed by National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations for MFDA Members
31-531 BO 31-531 Exemption from the Registration Requirement for Trades in Short-Term Debt Instruments
31-533 Exemptions from Certain CRM2 Provisions of NI 31-103
31-534 Revocation of Blanket Orders 31-507, 31-510, 31-521, 31-522 and 31-525 [BO 31-534]
31-535 Temporary Relief for Registrants [BO 31-535]
31-536 Client Focused Reforms regarding Conflict of Interest Provisions of NI 31-103 [BO 31-536]
31-537 Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 [BO 31-537]
31-538 Temporary Exemption from Certain Reporting Requirements for Registrants During the Period June 2 to September 30, 2020 [BO 31-538]
31-539 Transitional Relief in Respect of Client Focused Reforms Regarding Enhanced Conflicts on Interest and Client First Suitability Provisions of NI 31-103 [BO 31-539]
31-703 Policy Statement 2.2 Non-Resident Domestic Advisers and Rule 31-101 National Registration System
31-704 Rule 31-103 and Nova Scotia Consequential Amendments
31-801 Implementing National Instrument 31-103 Registration Requirements and Exemptions
31-930 CSA Notice Regarding Coordinated Blanket Order 31-930 Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus
32-301 Omnibus/Blanket Orders Exempting Certain U.S. Broker-Dealers and U.S. Advisers from the Requirement to Register in Respect of Trades and Advice for U.S. Resident Clients
32-502 BO 32-502:Exemption from the Dealer Registration and Advisor Requirement for Trades & Advice for U.S. Resident Clients
33-102 Revoked
33-105 Underwriting Conflicts
33-109 Registration Information
33-305 CSA Notice 33-305 - Withdrawn (See CSA Notice 11-341)
33-315 Suitability Obligation and Know Your Product
33-316 Status Report on Consultation under CSA 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 Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients [CSA Notice]
33-318 Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives [CSA Notice 33-318]
33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients [CSA Notice 33-319]
33-320 The Requirement for True and Complete Applications for Registration [CSA Notice 33-320]
33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients [Consultation Paper]
33-702 Rule 33-109 Registration Information
33-703 Policy Statement No. 2.3 Dual Licensing Under the Securities Act and the Insurance Act
34-202 Withdrawn
35-101 Conditional Exemption from Registration for United States Broker-Dealers and Agents
4 - Distribution Requirements
41-101 Prospectus Disclosure Requirements [Rule 41-101]
41-201 Income Trust and other Indirect Offerings [NP 41-201]
41-305 Share Structure Issues - Initial Public Offerings [CSA Notice]
41-306 IFRS Transition - Prospectus Issues [CSA Notice]
41-307 CSA Staff Notice 41-307 (Revised) Concerns regarding an issuer’s financial condition and the sufficiency of proceeds from a prospectus offering
41-307 Prospectus Guidance - Concerns regarding an issuer's financial condition & sufficiency of proceeds from a prospectus offering [CSA Notice]
41-502 Revocation of BO 49, 44-801 and 45-514 [BO 41-502]
41-503 Revocation of BO 41-501 and 44-501 [BO 41-503]
41-701 NP 41-201 Income Trusts and Other Indirect Offerings [NSSC Notice 41-701]
41-930 Exemptions from Certain Prospectus and Disclosure Requirements [BO 41-930]
42-303 Prospectus Requirements [CSA Notice 42-303]
43-101 Standards of Disclosure for Mineral Projects [Rule 43-101]
43-302 FAQs on NI 43-101 Standards of Disclosure for Mineral Projects [CSA Notice 43-302]
43-306 Technical Reports filed for Prospectus Offerings [CSA Notice 43-306]
43-308 Professional Associations under NI 43-101 CSA Notice 43-308]
43-309 Review of Website Investor Presentations by Mining Issuers [CSA Notice 43-309]
43-310 CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers)
43-310 (revised) CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers) [revised]
43-311 CSA Staff Notice 43-311 Review of Mineral Resource Estimates in Technical Reports
44-101 Short Form Prospectus Distributions [Rule 44-101]
44-102 Shelf Distributions [Rule 44-102]
44-103 Post Receipt Pricing [Rule 44-103]
44-301 FAQs regarding the New Prospectus Rules [CSA Notice 44-301]
44-304 LINKED NOTES DISTRIBUTED UNDER SHELF PROSPECTUS SYSTEM [CSA Notice 44-304]
44-305 2015 Update – Structured Notes Distributed Under the Shelf Prospectus System [CSA Notice 44-305]
44-306 Blanket Orders Exempting Well-known Seasoned Issuers from Certain Prospectus Requirements [CSA Notice 44-306]
44-502 Exempting issuers whose securities are listed on the Alpha Venture Plus Marketplace operated by Alpha Exchange Inc. from certain requirements of securities legislation [BO 44-502]
44-503 Exempting issuers whose securities are listed on the Alpha Main marketplace operated by Alpha Exchange Inc. from certain requirements of securities legislation [BO 44-503]
44-504 Aequitas NEO Exchange Inc. [BO 44-504]
44-505 Exemption From Certain Prospectus Requirements for Canadian Well-Known Seasoned Issuers [BO 44-505]
45-101 Revoked [Rule 45-101]
45-102 Resale of Securities [Rule 45-102]
45-106 Prospectus Exemptions [Rule 45-106]
45-107 Listing Representation and Statutory Rights of Action Disclosure Exemptions [Rule 45-107]
45-108 Crowdfunding [Rule 45-108]
45-110 Start-up Crowdfunding Registration and Prospectus Exemptions [NI 45-110]
45-111 CSA Multilateral Notice and Request for Comment Proposed MI 45-111 Self-certified Investor Prospectus Exemption and Proposed CP 45-111 Self-certified Investor Prospectus Exemption and Comment period end Jan 5, 2026
45-301 Implementation of MI 45-102 Resale of Securities [CSA Notice 45-301]
45-304 Notice of Local Exemptions related to NI 45-106 and NI 31-103 (Revised)[CSA Notice 45-304]
45-307 Regulatory Developments Regarding Securitization [CSA Notice 45-307]
45-308 (Revised) Guidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 [CSA Notice 45-308 (Revised)]
45-308 (revised) Guidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 [CSA Notice 45-308 (revised)]
45-309 Guidance for Preparing and filing an Offering Memorandum under NI 45-106 [CSA Notice 45-309]
45-310 Update on CSA Consultation Note 45-101 Review of Minimum amount and Accredited Investor Exemptions [CSA Notice 45-310]
45-311 CSA Notice 45-311 - Withdrawn (See CSA Notice 11-341)
45-312 Proposed Prospectus Exemption for Distributions to Existing Security Holders.[CSA Notice 45-312]
45-313 Prospectus Exemption for Distributions to Existing Security Holders [CSA Notice 45-313]
45-314 (Revised) Consolidated List of Current CSA Exempt Market Initiatives [CSA Notice 45-314 (Revised)]
45-316 Start-up Crowdfunding Registration & Prospectus Exemptions [CSA Notice 45-316]
45-317 Amendments to Start-up Crowdfunding Registration and Prospectus Exemptions [CSA Notice 45-317]
45-319 Amendments to Start-up Crowdfunding Registration and Prospectus Exemptions [CSA Notice 45-319]
45-320 CSA Notice 45-320 - Withdrawn (See CSA Notice 11-341)
45-323 Update on Use of the Rights Offering Exemption in NI 45-106 Prospectus Exemptions [CSA Notice 45-323]
45-324 Update on the Start-up Crowdfunding Registration and Prospectus Exemptions [CSA Notice 45-324]
45-325 Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts [CSA Notice 45-325]
45-326 Update on: Amendments to NI 45- and NI 31-103 and Changes to Companion Policy 45-106CP and Companion Policy 31-103CP relating to Syndicated Mortgages [CSA Notice 45-326]
45-328 CSA Staff Notice 45-328 Update on Amendments relating to Syndicated Mortgages: (Wiuthdrawn)
45-329 CSA Staff Notice 45-329 Guidance for using the start-up crowdfunding registration and prospectus exemptions
45-330 CSA Staff Notice 45-330 (Revised) Frequently Asked Questions about the Listed Issuer Financing Exemption
45-330 CSA Staff Notice 45-330 Frequently Asked Questions about the Listed Issuer Financing Exemption
45-401 Review of Minimum Amount and Accredited Investor Exemptions - Public Consultation [CSA Consultation Note 45-401]
45-501 Statutory Liability for Misrepresentations in an Offering Memorandum under Certain Exemptions from the Prospectus Requirement [Rule 45-501]
45-504 Revocation of BO 20 and BO 27(Revised) [BO 45-504]
45-505 Revocation of BO 45-501 and BO 45-501 (Addendum] [BO 45-505]
45-507 Registration and Prospectus Exemptions for Certain Capital Accumulation Plans [BO 45-507]
45-508 Revocation of Blanket Order Nos. 13, 38, 44 and 45-503 [BO 45-508]
45-509 Trades in Warrants to Acquire Certain Debt Securities [BO 45-509]
45-516 Revocation of Blanket Order Nos. 10, 11, 46, 45-511, 45-512 and 45-513 [BO 45-516]
45-517 Revocation of Blanket Order Nos. 45-510, 45-515 and 45-801 [BO 45-517]
45-518 Specifications Regarding Certain Offering Documents Under Rule 45-106 [BO 45-518]
45-519 Expired on Dec. 21, 2014 [BO 45-519]
45-520 Confidentiality of Schedule 1 to Form 45-106F1 [BO 45-520]
45-521 CEDIFs and NSSC Policy 45-601 [BO 45-521]
45-523 CEDIFs and Promotional Materials [BO 45-523]
45-524 Start-up Crowdfunding Registration & Prospectus Exemptions [BO 45-524]
45-525 (Variation) Exemption from Prospectus Requirement for Certain Trades to Existing Security Holders [BO 45-525 (Variation)]
45-526 Expired on May 24, 2016 [BO 45-526]
45-527 Exemptions from Certain Requirements in Form 45 106FI Report of Exempt Distribution [BO 45-527]
45-528 In the matter of relief from the prospectus and registration requirements for certain syndicated mortgages [BO 45-528]
45-601 Community Economic Development Funds (CEDIFs) [NSSC Policy 45-601]
45-704 Rule 45-102 Resale of Securities [NSSC Notice 45-704]
45-705 NI 45-106 Capital Raising Exemption Monitoring Program [NSSC Notice 45-705]
45-706 Community Economic-Development Corporations Regulations [NSSC Notice 45-706]
45-707 Repeal of Notice Nos. 29 and 45-703 [NSSC Notice 45-707]
45-709 CSA Notices 45-302 and 45-305 [NSSC Notice 45-709]
45-710 Rule 45-501 Statutory Liability for Misrepresentations in an Offering Memorandum under Certain Exemptions from the Prospectus Requirement [NSSC Notice 45-710]
45-711 Rule 45-501 and BO 45-520 [Notice 45-711]
45-712 Notice and Request for Comment - NSSC Policy 45-601 CEDIFs [NSSC Notice 45-712]
45-713 Rule 45-501 [Notice 45-713]
45-714 CEDIFs and NSSC Policy 45-601 [NSSC Notice 45-714]
45-716 Request for Comment on Proposed Amendments to NI 45-106 relating to the Offering Memorandum [NSSC Notice 45-716]
45-717 Electronic Delivery of Private Offering Memoranda to the Director [NSSC Notice 45-717]
45-718 Prospectus and Registration exemptions relating to certain syndicated mortgages in Nova Scotia
45-801 Implementing NI 45-106 Prospectus and Registration Exemptions [Rule 45-801]
45-930 Prospectus Exemption for New Reporting Issuers [BO 45-930]
45-933 Exemption from the Investment Limit under the Offering Memorandum Prospectus Exemption to Exclude Reinvestment Amounts [BO 45-933]
45-935 CSA Notice Regarding Coordinated Blanket Order Coordinated Blanket Order 45-935 Exemptions from Certain Conditions of the Listed Issuer Financing Exemption
46-201 Escrow for Initial Public Offerings [NP 46-201]
46-301 Proposal for Uniform Terms of Escrow Applicable to Initial Public Distributions [CSA Notice 46-301]
46-303 Principal Protected Notes [CSA Notice 46-303]
46-304 Update on Principal Protected Notes [CSA Notice 46-304]
46-305 Second Update on Principal Protected Notes (PPNs) [CSA Notice 46-305]
46-306 Third Update on Prinicpal Protected Notes [CSA Notice 46-306]
46-307 Cryptocurrency Offerings [CSA Notice 46-307]
46-308 Securities Law Implications for Offerings of Tokens [CSA Staff Notice 46-308]
46-309 Bail-in Debt [CSA Notice 46-309]
47-201 Trading Securities Using Internet and Other Electronic Means [NP 47-201]
5 - Ongoing Requirements for Issuers and Insiders
51-101 Standards of Disclosure for Oil and Gas Activities [Rule 51-101]
51-102 Continuous Disclosure Obligations [Rule 51-102]
51-105 Issuers Quoted in the U.S. Over-The-Counter Markets [Rule 51-105]
51-107 CSA Notice and Request for Comment Proposed NI 51-107 Disclosure of Climate-related Matters Comment period extended to Feb 16, 2022
51-201 Disclosure Standards [NP 51-201]
51-304 Report on Staff’s Review of Executive Compensation Disclosure [CSA Notice 51-304]
51-308 Filing of Management's Discussion and Analysis and NI 51-102 [CSA Notice 51-308]
51-309 Acceptance of Certain Foreign Professional Boards as a "Professional Organization" under NI 51-101 [CSA Notice 51-309]
51-310 Report on staff's Continuous Disclosure Review of Income Trust Issuers [CSA Notice 51-310]
51-311 Frequently Asked Questions regarding NI 51-102 [CSA Notice 51-311]
51-312 Harmonized Continuous Disclosure Review Program [CSA Notice 51-312]
51-314 Retirement Benefits Disclosure [CSA Notice 51-314]
51-319 Report on Staff's Second Continuous Disclosure Review of Income Trust Issuers [CSA Notice 51-319]
51-320 Options Backdating [CSA Notice 51-320]
51-322 Reporting Issuer Defaults [CSA Notice 51-322]
51-323 XBRL filing program and request for volunteers [CSA Notice 51-323]
51-324 Revised Glossary to NI 51-101 [CSA Notice 51-324]
51-324 (revised) CSA Staff Notice 51-324 (Revised) Glossary to NI 51-101 Standards of Disclosure for Oil and Gas Activities
51-325 Status of Proposed Repeal and substitution of Form 51-102F6 [CSA Notice 51-325]
51-327 Revised Guidance On Oil and Gas Disclosure [CSA Notice 51-327]
51-328 Continuous Disclosure Considerations Related to Current Economic Conditions [CSA Notice 51-328]
51-330 Guidance Regarding the Application of Forward-looking Information Requirements under NI 51-102 [CSA Notice 51-330]
51-331 Report on Staff's Review of Executive Compensation Disclosure [CSA Notice 51-331]
51-332 Withdrawn [CSA Notice 51-332]
51-333 Environmental Reporting Guidance [CSA Notice 51-333]
51-334 Withdrawn [CSA Notice 51-334]
51-336 Issuers Using Mass Advertising [CSA Notice 51-336]
51-337 Withdrawn [CSA Notice 51-337]
51-338 Continuous Disclosure and Prospectus Requirements Relating to Documents Prepared Under the U.S. Securities and Exchange Act of 1934 (CSA Notice51-338)
51-339 Continuous Disclosure Review Program Activites for the fiscal year ended March 31, 2013 ( CSA Notice 51-339)
51-340 Update on proposed NI 51-103 Ongoing Governance and Disclosures Requirements for Venture Issuers (CSA Notice 51-340)
51-341 Continuous Disclosure Review 2014 [CSA Notice 51-341]
51-342 Staff Review of Issuers Entering Into Medical Marijuana Business Opportunities [CSA Notice 51-342]
51-343 Venture Issuers with Securities Listed on the Bolsa de Santiago, Venture Market [CSA Notice 51-343]
51-344 Continuous Disclosure Review Program Activities for the fiscal year ended March 31/15 [CSA Notice 51-344]
51-345 Disclosure of Abandonment and Reclamation Costs in NI 51-101 [CSA Notice 51-345]
51-346 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2016 [CSA Notice 51-346]
51-348 Staff’s Review of Social Media Used by Reporting Issuers [CSA Notice 51-348]
51-350 Extension of Consultation Period CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers [CSA Notice 51-350]
51-351 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017 [CSA Notice 51-351]
51-352 Issuers with U.S. Marijuana-Related Activities [CSA Notice 51-352]
51-353 Update on CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers [CSA Notice 51-353]
51-354 Report on Climate change-related Disclosure Project [CSA Notice 51-354]
51-355 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2018 and March 31, 2017 [CSA Notice 51-355]
51-356 Problematic Promotional Activities by Issuers [CSA Notice 51-356]
51-357 Staff Review of Reporting Issuers in the Cannabis Industry [CSA Notice 51-357]
51-358 Reporting of Climate Change-related Risks [CSA Notice 51-358]
51-359 Corporate Governance Related Disclosure Expectations for Reporting Issuers in the Cannabis Industry [CSA Notice 51-359]
51-360 CSA Staff Notice 51-360 Frequently Asked Questions Regarding Filing Extension Relief Granted by way of a Blanket Order in Response to COVID-19
51-360 Frequently Asked Questions Regarding Filing Extension Relief Granted by Way of a Blanket Order in Response to Covid-19 [CSA Notice 51-360] (Withdrawn)
51-361 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2020 and March 31, 2019 [CSA 51-361]
51-362 CSA Staff Notice 51-362 Staff Review of COVID-19 Disclosures and Guide for Disclosure Improvements
51-363 CSA Staff Notice 51-363 Observations on Disclosure by Crypto Assets Reporting Issuers
51-364 CSA Staff Notice 51-364 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2022 and March 31, 2021
51-365 CSA Staff Notice 51-365 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2024 and March 31, 2023
51-366 CSA Staff Notice 51-366 Regulatory Concerns with Certain Asset or Business Acquisitions
51-403 Tailoring Venture Issuer Regulation [CSA Consultation Paper 51-403]
51-404 Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers.(Withdrawn)
51-405 Consultation Paper 51-405 Consideration of an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers. Comment period ends March 9, 2020.
51-501 Rule 51-102 Continuous Disclosure Obligations [BO 51-501]
51-502 Venture Issuers Traded on Certain Foreign Markets [BO 51-502]
51-504 CEDC Regulations and Continuous Disclosure Obligations [BO 51-504]
51-505 Exemption from the requirement to send financial statements and related disclosure to securityholders during a disruption in postal service [BO 51-505]
51-506 Revoked [BO 51-506]
51-507 Venture Issuers Traded on the Santiago Stock Exchange, Venture Market [BO 51-507]
51-508 Exemptions from Multilateral Instrument 51-105 [BO 51-508]
51-509 Temporary Relief from Certain Corporate Finance Requirements [BO 51-509]
51-510 Temporary Relief for Community Economic-Development Corporations [BO 51-510]
51-511 Temporary Exemptions from Certain Requirements to file or send Securityholder Materials [BO 51-511]
51-512 Temporary Exemption from Certain Corporate Finance Requirements During the Period June 2 to August 31, 2020 [BO 51-512]
51-513 Temporary Exemption from Certain Corporate Finance Requirements for Community Economic-Development Corporations During the Period June 2 to August 31, 2020 [BO 51-513]
51-601 Reporting Issuers List [NSSC Policy 51-601]
51-701 Rule 51-101 and National Policy Statement No. 2-B [Notice 51-701]
51-702 Rule 51-102 and Amendments to National Policy Statement Nos. 31 and 51 [Notice 51-702]
51-703 Amendments to Rule 51-102, Rule 71-102 and NP #3 Unacceptable Auditors [Notice 51-703]
51-801 Implementing NI 51-102 Continuous Disclosure Obligations [Rule 51-801]
51-930 CSA Coordinated Blanket Order 51-930 Exempting Reporting Issuers Incorporated under the Canada Business Corporations Act from the Director Election Form of Proxy Requirement
51-931 CSA Notice BO 51-931Temporary Exemption from requirements in NI 51-102 Continuous Disclosure Requirements and NI 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer to send certain proxy-related materials during a postal strike
51-932 CSA Notice regarding Coordinated Blanket Order 51-932 Temporary Exemption from Requirements in NI 51-102 Continuous Disclosure Obligations and NI 54-101 Communication with Beneficial Owners of Securities...
51-933 CSA Notice of Coordinated Blanket Order 51-933 Exemptions to Permit Semi-Annual Reporting for Certain Venture Issuers
51-933 CSA Notice of Publication and Request for Comment Proposed Coordinated Blanket Order 51-933 Exemptions to Permit Semi-Annual Reporting for Certain Venture Issuers. Comment period ends Dec 22,2025
52-107 Acceptable Accounting Principles and Auditing Standards [Rule 52-107]
52-108 Auditor Oversight [Rule 52-108]
52-109 Certification of Disclosure in Issuers' Annual and Interim Filings [Rule 52-109]
52-110 Audit Committees [Rule 52-110]
52-112 Rule 52-112 Non-GAAP and Other Financial Measures Disclosure
52-306 Non-GAAP Financial Measure [CSA Notice 52-306]
52-307 Auditor Oversight and Financial Statements accompanied by an Audit Report dated on or after March 30, 2003 [CSA Notice 52-307]
52-308 Status of Proposed Instrument regarding reporting on Internal Control over Financial Reporting [CSA Notice 52-308]
52-310 Proposed Timing of Proposed MI 52-111 and Companion Policy 52-111CP [CSA Notice 52-310]
52-312 Audit Committee Compliance Review [CSA Notice 52-312]
52-313 Status of Proposed MI 52-111 and Proposed Amended and Restated MI 52-109 [CSA Notice 52-313]
52-315 Certification Compliance Review [CSA Notice 52-315]
52-317 Timing of Proposed NI 52-109 [CSA Notice 52-317]
52-320 Disclosure of Expected Changes in Accounting Policies Relating to Changeover to International Financial Reporting Standards [CSA Notice 52-320]
52-321 Early Adoption of International Financial Reporting Standards [CSA Notice 52-321]
52-322 Status of Proposed Repeal and Replacement of MI 52-109 (Withdrawn by CSA Notice of NI 52-109 and Repeal of MI 52-109 effective Dec. 15, 2018) [CSA Notice 52-322]
52-323 Coming into force of NI 52-109 and Consequential Policy Amendments [CSA Notice 52-323]
52-324 Issues relating to changeover to International Financial Reporting Standards [CSA Notice 52-324]
52-325 Certification Compliance Review [CSA Notice 52-325]
52-326 IFRS Transition Disclosure Review [CSA Notice 52-326]
52-327 Certification Compliance Update [CSA Notice 52-327]
52-328 Disclosure about Accounting Policies in the Year of Changeover to International Financial Reporting Standards [CSA Notice 52-328]
52-329 Distribution Disclosures and Non-GAAP Financial Measures in the Real Estate Industry [CSA Notice 52-329]
52-330 Update on CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence [CSA Notice 52-330]
52-403 Consultation Paper 52-403 Auditor Oversight Issues in Foreign Jurisdictions. Comment period ended June 24/17
52-404 Approach to Director and Audit Committee Member Independence [Consultation Paper 52-404] Comment period ends Jan. 25/17
52-502 Revocation of BO 52-501 [BO 52-502]
52-503 Relief from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure in Connection with OSFI Guidelines [BO 52-503]
52-701 Rule 52-107 and NP 27 and NP 50 [Notice 52-701]
52-702 IFRS Transition Disclosure [Notice 52-702]
52-801 Implementing NI 52-107 [Rule 52-801]
54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer [Rule 54-101]
54-301 Frequently Asked Questions about NI 54-101 [CSA Notice 54-301]
54-302 Update on CSA Consultation Paper 54-401 Review of the Proxy Voting Infrastructure [CSA Notice 54-302]
54-303 Progress Report on Review of the Proxy Voting Infrastructure [CSA Notice 54-303] (Withdrawn)
54-304 Final Report on Review of the Proxy Voting Infrastructure & Request for Comments on Proposed Meeting Vote Reconciliation Protocols [CSA Notice 54-304] (Withdrawn)
54-305 Meeting Vote Reconciliation Protocols [CSA Notice 54-305]
54-401 Review of the Proxy Voting Infrastructure [Consultation Paper 54-401]
54-501 Rule 54-102 Interim Financial Statement and Report Exemption [BO 54-501]
54-701 Repeal of National Policy Statement No. 41 [Notice 54-701]
55-102 System for Electronic Disclosure by Insiders (SEDI) [Rule 55-102]
55-104 Insider Reporting Requirements and Exemptions [Rule 55-104]
55-308 Questions on Insider Reporting [CSA Notice 55-308]
55-310 Questions and Answers on SEDI [CSA Notice 55-310]
55-312 Insider Reporting Guidelines for Certain Derivatives Transactions (Equity Monetization) (Revised)[CSA Notice 55-312]
55-315 Frequently Asked Questions about NI 55-104 [CSA Notice 55-315]
55-316 Questions and Answers on Insider Reporting and the System for Electronic Disclosure by Insiders (SEDI) [CSA Notice 55-316]
55-317 CSA Staff Notice 55-317 Automatic Securities Disposition Plans
55-501 Revocation of Blanket Order 45 [BO 55-501]
55-801 Implementing NI 55-104 Insider Reporting Requirements and Exemptions [Rule 55-801]
57-301 Failing to file Financial Statements on Time - Management Cease Trade Reports [CSA Notice 57-301]
57-303 Frequently Asked Questions regarding Management Cease Trade Orders issued as a consequence of a failure to file financial statements [CSA Notice 57-303]
58-101 Disclosure of Corporate Governance Practices [Rule 58-101]
58-201 Corporate Governance Guidelines [NP 58-201]
58-305 Status Report on the Proposed changes to the Corporate Governance Regime [CSA Notice 58-305]
58-306 Corporate Governance Disclosure Compliance Review - 2010 [CSA Notice 58-306]
58-307 Staff Review of Women on Boards and in Executive Officer Positions - Compliance with NI 58-101 [CSA Notice 58-307]
58-308 Staff Review of Women on Boards and in Executive Officer Positions – Compliance with NI 58-101 [CSA Notice 58-308]
58-309 Staff Review of Women on Boards and in Executive Officer Positions – Compliance with NI 58-101 Disclosure of Corporate Governance Practices [CSA Notice 58-309]
58-310 Report on Fourth Staff Review of Disclosure regarding Women on Boards and in Executive Officer Positions [CSA Notice 58-310]
58-311 Report on Fifth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions [CSA Notice 58-311]
58-312 CSA Multilateral Staff Notice 58-312 Report on Sixth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions
58-313 CSA Multilateral Staff Notice 58-313 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions Year Seven Report
58-314 CSA Multilateral Staff Notice 58-314 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions Year 8 Report
58-315 CSA Staff Notice 58-315 Extension of Comment Period. Proposed Amendments to Form 58-101F1 Corporate Governance Disclosure of NI 58-101 Disclosure of Corporate Governance Practices and Proposed Changes to NP 58-201 Corporate Governance Guidelines
58-316 CSA Multilateral Staff Notice 58-316 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions Year 9 Report
58-317 CSA Multilateral Staff Notice 58-317 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions
6 - Take-Over Bids and Special Transactions
61-301 Staff Guidance on the Practice of "Mini-Tenders" [CSA Notice 61-301]
61-303 CSA Notice 61-303 and Request for Comment - Soliciting Dealer Arrangements. Comment period ended June 11, 2018.
62-101 Rescinded [Rule 62-101]
62-102 REVOKED [Rule 62-102]
62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting Issues [Rule 62-103]
62-104 Take-Over Bids and Issuer Bids [Rule 62-104]
62-202 Take-Over Bids - Defensive Tactics [NP 62-202]
62-203 Take-Over Bids and Issuer Bids [NP 62-203]
62-305 Varying the Terms of Take-Over Bids [CSA Notice 62-305]
62-306 Update on Proposed NI 62-105 and AMF Consultation Paper [CSA Notice 62-306]
62-307 Update on Proposed Amendments to MI 62-104, NI 62-103 and National Policy 62-203 [CSA Notice 62-307]
62-502 Rule 62-104 Take-Over Bids and Issuer Bids [BO 62-502]
62-503 MI 62-104 Take-Over Bids and Issuer Bids [BO 62-503]
62-504 MI 62-104 Take-Over Bids and Issuer Bids [BO 62-504]
62-701 Rule 62-104 and NP 62-201 [Notice 62-701]
7 - Securities Transactions Outside the Jurisdiction
71-101 The Multijurisdictional Disclosure System [Rule 71-101]
71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers [Rule 71-102]
71-801 Rule 71-101 [BO 71-801 (Amendment)]
71-802 Rule 71-102 [BO 71-802 (Variation)]
8 - Mutual Funds
81-101 CSA Notice of Amendments Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1
81-101 Mutual Fund Prospectus Disclosure Rule [Rule 81-101]
81-102 Investment Funds [Rule 81-102]
81-104 Alternative Mutual Funds [Rule 81-104]
81-105 Mutual Fund Sales Practices [Rule 81-105]
81-106 Investment Fund Continuous Disclosure [Rule 81-106]
81-107 Independent Review Committee for Investment Funds [Rule 81-107]
81-313 Status Report on Consultation under CSA Discussion Paper and Request for Comment 81-407 Mutual Fund Fees [CSA Notice 81-313]
81-314 Withdrawn [CSA Notice 81-314]
81-316 Hedge Funds [CSA Notice 81-316]
81-317 Frequently Asked Questions on NI 81-107 Independent Review Committee for Investment Funds [CSA Notice 81-317]
81-318 Request for comment - Framework 81-406 Point of sale disclosure for mutual funds and segregated funds. Comment Period ended December 23, 2008.
81-319 Withdrawn [CSA Notice 81-319]
81-320 CSA Notice 81-320 - Withdrawn (See CSA Notice 11-341)
81-321 Withdrawn [CSA Notice 81-321]
81-322 CSA Staff Notice 81-322 - Next Steps on Proposals to Prohibit Certain Investment Fund Embedded Commissions
81-322 Withdrawn [CSA Notice 81-322]
81-324 Notice and Request for comment Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts. Comment period ended March 12, 2014
81-325 CSA Notice 81-325 - Withdrawn (See CSA Notice 11-341)
81-326 CSA Notice 81-326 - Withdrawn (See CSA Notice 11-341)
81-327 Next Steps in the CSA's Examination of Mutual Fund Fees [CSA Notice]
81-328 Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of NI 81-102 [CSA Notice 81-328]
81-329 Reducing Regulatory Burden for Investment Fund Issuers [CSA Staff Notice 81-329]
81-330 Status Report on Consultation on Embedded Commissions and Next Steps [CSA Notice 81-330]
81-331 Investment Funds Investing in Bail-in Debt [CSA Notice 81-331]
81-333 CSA Staff Notice 81-333 Guidance on Effective Liquidity Risk Management for Investment Funds
81-334 CSA Staff Notice 81-334 (Revised) ESG-Related Investment Fund Disclosure
81-334 CSA Staff Notice 81-334: ESG-Related Investment Fund Disclosure
81-335 CSA Staff Notice 81-335 Investment Fund Settlement Cycles
81-336 Canadian Securities Administrators Staff Notice 81-336 Guidance on Crypto Asset Investment Funds that are Reporting Issuers
81-338 CSA Staff Notice 81-338 Guidance on the Use of Discretion under the CSA Investment Risk Classification Methodology
81-407 CSA Discussion Paper & Request for Comment 81-407 Mutual Funds Fees
81-408 Consultation on the Option of Discontinuing Embedded Commissions [CSA Consultation Paper 81-408]
81-409 CSA Consultation Paper 81-409 Enhancing Exchange-Traded Fund Regulation: Proposed Approaches and Discussion. Comment period ends October 31, 2025
81-501 BO 81-501 - Rule 81-106 - Investment Fund Continuous Disclosure
81-503 NI 81-102 and Certain MFDA Members, Commingling of Funds
81-504 Exemption from Prescribed Form of Mutual Fund Audit Reports in NI 81-102 [BO 81-504]
81-505 Temporary Relief for Investment Funds [BO 81-505]
81-506 A TEMPORARY EXEMPTION FROM BORROWING LIMIT TO ACCOMMODATE REDEMPTION REQUESTS OF MUTUAL FUNDS INVESTING IN FIXED INCOME SECURITIES [BO 81-506]
81-507 Extension of Certain Filing, Delivery, and Prospectus Renewal Requirements of Investments Funds with Deadlines During the Period June 2 to September 30, 2020 [BO 81-507]
81-508 Exemptions from National Instrument 81-104 Alternative Mutual Funds [BO 81-508]
81-509 Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commission and Clients Transfers [BO 81-509]
81-701 Rule 81-101, Rule 81-102 and National Policy Statement Nos. 34, 36 and 39
81-702 Rule 81-106 - Investment Fund Continuous Disclosure and National Policy Statement Nos. 27, 31, 50 and 51
81-703 NI 81-101 Mutual Fund Prospectus Disclosure and NI 41-101 General Prospectus Requirements
81-801 Implementing NI 81-106 Investment Fund Continuous Disclosure
81-802 Implementing NI 81-107 Independent Review Committee for Investment Funds
81-930 CSA Notice regarding Coordinated Blanket Order 81-930 Exemptions from Certain Repurchase Transactions Requirements for Investment Funds [BO 81-930]
9 - Derivatives
91-101 Derivatives: Product Determination [Rule 91-101]
91-102 Prohibition of Binary Options [Rule 91-102]
91-301 Model Provincial Rules – Derivatives: Product Determination and Trade Repositories and Derivatives Data Reporting [Consultation Paper 91-301]
91-302 Updated Model Rules – Derivatives Product Determination and Trade Repositories and Derivatives Data Reporting [CSA Notice 91-302]
91-303 Proposed Model Provincial Rule on Mandatory Central Counterparty Clearing of Derivatives [CSA Notice 91-303]
91-304 Model Provincial Rule - Derivatives: Customer Clearing and Protection of Customer Collateral and Positions [CSA Notice 91-304]
91-305 Frequently Asked Questions relating to MI 91-101 and MI 96-101 [CSA Notice 91-305]
91-402 Derivatives: Trade Repositories [Consultation Paper 91-402]
91-403 Derivatives: Surveillance and Enforcement [Consultation Paper 91-403]
91-404 Derivatives: Segregation and Portability in OTC Derivatives Clearing [Consultation Paper 91-404]
91-405 Derivatives: End-User Exemption [Consultation Paper 91-405]
91-406 Derivatives: OTC Central Counterparty Clearing [Consultation Paper 91-406]
91-407 Derivatives: Registration [Consultation Paper 91-407]
91-501 Over the Counter Trades in Derivatives [BO 91-501]
91-502 Designating over-the-counter derivatives to be securities [DO 91-502]
91-701 Guidance on BO 91-501 [NSSC Notice 91-701]
91-702 Proposed Consequential Amendments to Certain National Instruments and Policies related to Derivatives Regulation in Nova Scotia [NSSC Notice 91-702]
92-401 Derivatives Trading Facilities [Consultation Paper 92-401]
93-101 Multilateral Instrument 93-101 Derivatives: Business Conduct & Companion Policy 93-101CP
93-102 Request for Comment Proposed NI 93-102 Derivatives: Registration and Proposed Related Companion Policy [CSA Notice]
93-301 Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period [CSA Notice 93-301]
93-930 Temporary exemptions for derivatives firms from certain obligations when transacting with certain investment funds and for senior derivatives managers from certain reporting obligation [BO 93-930]
94-101 Mandatory Central Counterparty Clearing of Derivatives [Rule 94-101]
94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions [Rule 94-102]
94-301 Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing [CSA Notice 94-301]
94-302 Delivery of Forms Required under National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions [CSA Staff Notice 94-302]
94-303 Variation, Amendment, or Revocation and Replacement of Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing and Update on Proposed Amendments to NI 94-101 [CSA Notice 94-303]
94-304 CSA Notice 94-304 Frequency of the requirement to deliver Form 94-102F3 Customer Collateral Report: Regulated Clearing Agency
94-501 Relief from Certain Counterparties from Mandatory Clearing under NI 94-101 [BO 94-501]
94-502 Relief for Certain Counterparties from Mandatory Clearing under NI 94-101 [BO 94-502]
94-503 Exempting regulated clearing agencies from the frequency of the requirement to deliver Form 94-102F3 Customer Collateral Report: Regulated Clearing Agency [BO 94-503]
95-301 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives [CSA Notice 95-301]
95-302 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives [CSA Notice 95-302]
95-401 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives [Consultation Paper 94-501] Comment period ended Sept. 6/16.
96-101 Trade Repositories and Derivatives Data Reporting [Rule 96-101]
96-301 Matters Related to the Coming Into Force of MI 91-101 Derivatives: Product Determination and MI 96-101 Trade Repositories and Derivatives Data Reporting [CSA Notice 96-301]
96-302 Variation, amendment, or revocation and replacement of Blanket Order Relief from Certain Derivatives Data Reporting Requirements under Multilateral Instrument 96-101
96-306 CSA Staff Notice 96-306 Coordinated Blanket Order 96-933 Re Temporary Exemptions from Derivatives Data Reporting Requirements relating to the Unique Product Identifier for Commodity Derivatives
96-307 CSA Staff Notice 96-307 (Revised) Frequently Asked Questions about Derivatives Trade Reporting
96-307 CSA Staff Notice 96-307 Frequently Asked Questions about Derivatives Trade Reporting
96-308 CSA Staff Notice 96-308 Derivatives Trade Reporting Notice of Significant Error of Omission
96-501 Relief from Certain Derivatives Reporting Requirements [BO 96-501(Amendment)]
96-502 Exemption from Derivatives Reporting Requirements in MI 96-101 for Certain Derivatives Reported to Certain Data Centres [BO 96-502]
96-503 Exemption from Certain Derivative Reporting Requirements under MI 96-101 for Certain Financially-Settled Electricity-Based Derivatives [BO 96-503]
96-504 Relief from Certain Requirements to Publicly Disseminate Data under MI 96-101 [BO 96-504]
96-930 Exemption from derivatives reporting requirements in Multilateral Instrument 96‐ 101 Trade Repositories and Derivatives Data Reporting for certain derivatives data relating to U.S. dollar London interbank offered rate [BO 96-930]
96-931 Exemption from derivatives reporting requirements in Multilateral Instrument 960191 Trade Repositories and Derivative Data Reporting for certain derivatives relating to Canadian dollar offered rate [BO 96-931]
96-932 Temporary Exemptions from Certain Derivatives Data Reporting Requirements [BO 96-932]
96-933 CSA Notice regarding Coordinated Blanket Order 96-933 Re Temporary Exemptions from Derivatives Data Reporting Requirements relating to the Unique Product Identifier for Commodity Derivatives
96-933 Temporary Exemptions from Derivatives Data Reporting Requirements relating to the Unique Product Identifier for Commodity Derivatives [BO 96-933]
Documents Under Old Numbering System
1 BO 1 Grandfathering Provision
1.2 Local Policy 1.2 Strip Bonds
3 BO 3 Zero Coupon Strip Bonds - Registration and Prospectus Exemption
5 Notice 5 - Recognition of the Toronto Stock Exchange
6 Notice 6 - Applications for Exemption Orders
14-101 Rule 14-101 (Amendment) & Consequential Amendments
15 BO 15 Recognized Options Rationalization Order and Variations
16 BO 16 Commodity Futures Contracts and Options - Prospectus Exemption
23 BO 23 Director's Power to Determine Confidentiality of Filed Material
24 BO 24 Certain Certificates of Government Securities - Registration and Prospectus Exemption
27 Notice 27B An Application by a Registered Dealer or Registered Advisor for Acceptance of the Voluntary Surrender of Its Registration
29 BO 29 Prescription of a Company to be a Loan or Trust Company
32a BO 32A Trades of Real Return Bond Strip Bonds - Registration and Prospectus Exemptions
37 BO 37 Statutory Arrangements - Exemption
42 Advertising of Securities on Radio or Television [NP 42]
47 BO 47 - Distribution of Mutual Funds Established for Employees of a Company and its Affiliates
51 BO 51 - Exemptive Relief Pending Adoption of National and Multilateral Instruments
63 Notice 63 National Policies
67 Notice 67 Exemptive Relief Pending Adoption of National and Multilateral Instruments
68 Notice 68 Prospectus Disclosure Rules 41-101, 44-101, 44-102 & 44-103 and Repeal of NP 12, 13, 32, 35, 44, 47
70 Notice 70 Publication Requirements
71 Notice 71 - Rule 71-101 The Multijurisdictional Disclosure System and NP45
72 Notice 72 - Rule 33-102 Regulation of Certain Registrant Activities and Policy Statement No. 2.1
73 Notice 73 - Rule 43-101 Standards of Disclosure for Mineral Projects and NP 2A
74 Notice 74 - NP 12-201, 46-201 and 51-201 and Repeal of NP 40
GSR-1 Annual Co-operative Report of Exempt Distributions