Securities Instruments

Securities Instruments

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Displaying 41 - 60 of 748

31-504 - NWT Blanket Order - Exemption for Advising Representatives of Portfolio Managers from Sections 3.5 and 3.9 of National Instrument 31-103 Registration Requirements and Exemptions (Revoked 2015-07-23)

PDF • 257.19KB

31-505 - NWT Blanket Order - Exemption for Representatives of Scholarship Plan Dealers from Section 3.3 of National Instrument 31-103 Registration Requirements and Exemptions (Revoked 2015-07-16)

PDF • 255.71KB

32-503 - NWT Blanket Order - Exemption from Restriction on Paying Commissions and Finder Fees in Offering Memorandum Exemption in National Instrument 45-106 Prospectus and Registration Exemptions

PDF • 228.13KB

31-511 - NWT Blanket Order - Exemption for Mutual Fund Dealers from subparagraph 13.2(2)(b)(i) of National Instrument 31-103 Registration Requirements and Exemptions (Revoked 2015-07-23)

PDF • 231.11KB

31-510 - NWT Blanket Order - Relief from the requirement to establish whether a client is an insider under paragraph 13.2(2)(b) of National Instrument 31-103 Registration Requirements and Exemptions (Revoked 2015-07-23)

PDF • 233.96KB

31-503 - NWT Blanket Order - Exemption for Chief Compliance Officers of Portfolio Managers Adding a Category from Sections 3.6, 3.10 and 3.14 of National Instrument 31-103 Registration Requirements and Exemptions (Revoked 2015-07-23)

PDF • 260.23KB

55-801 - NWT Implementing Rule - Adoption of National Instrument 55-104 - Insider Reporting Requirements and Exemptions

PDF • 224.34KB

23-801 - NWT Implementing Rule - Adoption of National Instrument 23-102 - Use of Client Brokerage Commissions

PDF • 219.92KB

31-506 - NWT Blanket Order - Exemption from Section 14.5 of National Instrument 31-103 Registration Requirements and Exemptions (Revoked 2015-07-23)

PDF • 255.08KB

32-501 - NWT Blanket Order - Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions

PDF • 247.8KB

24-801 - NWT Implementing Rule - Adoption of amendments to National Instrument 24-101 - Institutional Trade Matching and Settlement Operation

PDF • 219.83KB

31-502 - NWT Blanket Order - Exemption in connection with transition and grandfathering matters from certain sections of National Instrument 31-103 Registration Requirements and Exemptions (Revoked 2015-07-16)

PDF • 261.21KB

45-801 - NWT Implementing Rule - Adoption of National Instrument 45-106 - Prospectus and Registration Exemptions

PDF • 220.46KB

21-801 - NWT Implementing Rule - Adoption of amendments to National Instrument 21-101 - Marketplace Operation

PDF • 220.05KB

11-802 - NWT Implementing Rule - Adoption of Amendments to Multilateral Instrument 11-102 - Passport System

PDF • 220.18KB

31-801 - NWT Implementing Rule - Adoption of National Instruments 31-103 - Registration Requirements and Exemptions, and 33-109 - Registration Information

PDF • 222.68KB

CSA Staff Notice 81-322 - Status Report on the Implementation of the Modernization of Investment Fund Product Regulation Project and Request for Comment on Phase 2 Proposals

PDF • 51.12KB

Multilateral CSA Staff Notice 91-302 Updated Model Rules – Derivatives Product Determination and Trade Repositories and Derivatives Data Reporting

PDF • 322.33KB

CSA Staff Consultation Paper 91-301 - Model Provincial Rules

PDF • 370.16KB

CSA Discussion Paper and Request for Comment 81-407 - Mutual Fund Fees

PDF • 654.19KB