Securities Instruments

Securities Instruments

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CSA Staff Notice 11-331 - Extension of Consultation Period, Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients

PDF • 54.37KB

CSA Staff Notice 51-346 - Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2016

PDF • 237.84KB

CSA Staff Notice 45-320 - Exemptions for Certain Foreign Issuers from the Requirement to Identify Purchasers as Registrants or Insiders in Reports of Exempt Distribution (withdrawn 2019-03-07)

PDF • 67.08KB

CSA Consultation Paper 95-401 - Margin and Collateral Requirements for Non-Centrally Cleared Derivatives

PDF • 334.8KB

45-503 - NWT Blanket Order - Exemptions from Certain Requirements in Form 45-106F1 Report of Exempt Distribution

PDF • 161.75KB

11-801-2016-07-06.en.pdf

PDF • 635.3KB

23-803 - NWT Implementing Rule - Adoption of amendments to National Instrument 23-101 - Trading Rules

PDF • 597.93KB

Amendments to NI 23-101

PDF • 298.51KB

Changes to 23-101CP

PDF • 458.79KB

45-807 - NWT Implementing Rule - Adoption of amendments to National Instrument 45-106 - Prospectus Exemptions

PDF • 599.08KB

11-801-2016-06-30.en.pdf

PDF • 635.29KB

Multilateral CSA Notice 45-319 - Amendments to Start-up Crowdfunding Registration and Prospectus Exemptions

PDF • 37.81KB

CSA Multilateral Notice of Amendments to MI 91-101 Derivatives: Product Determination and, MI 96-101 Trade Repositories and Derivatives Data Reporting, and Changes to Related Companion Policies

PDF • 189.16KB

CSA Multilateral Notice of Amendments to MI 91-101 Derivatives: Product Determination and, MI 96-101 Trade Repositories and Derivatives Data Reporting, and Changes to Related Companion Policies

PDF • 189.16KB

CSA Staff Notice 81-327 - Next Steps in the CSA’s Examination of Mutual Fund Fees

PDF • 58.02KB

National Policy 12-203

PDF • 420.25KB

National Policy 12-202

PDF • 409.28KB

National Policy 11-207

PDF • 519.29KB

National Policy 11-206

PDF • 533.23KB

Changes to 11-102CP

PDF • 454.92KB