Securities Instruments

Securities Instruments

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CSA Staff Notice and Request for Comment 23-323 - Trading Fee Rebate Pilot Study

PDF • 291.43KB

81-809 - NWT Implementing Rule - Adoption of amendments to National Instruments - Modernization of Investment Fund Product Regulation – Alternative Mutual Funds

PDF • 743.79KB

CSA Staff Notice 51-356 - Problematic promotional activities by issuers

PDF • 77.87KB

31-518 - NWT Local Rule - Conditions of registration — approved compensation and contingency funds

PDF • 747.73KB

CSA Staff Notice 11-339 - Notice of Local Changes in Alberta

PDF • 54.97KB

NWT Authorization Order - Investment Industry Regulatory Organization of Canada (IIROC)

PDF • 506.01KB

NWT Recognition Order - Investment Industry Regulatory Organization of Canada (IIROC)

PDF • 1.01MB

CSA Notice and Request for Comment - Proposed Amendments to NI 24-102 and 24-102CP - Clearing Agency Requirements

PDF • 500.79KB

CSA Staff Notice 11-338 - CSA Market Disruption Coordination Plan

PDF • 66KB

CSA Staff Notice 51-357 - Staff Review of Reporting Issuers in the Cannabis Industry

PDF • 199.47KB

CSA Staff Notice 45-308 (Revised) - Guidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 - Prospectus Exemptions

PDF • 244.2KB

CSA Notice of Amendments Modernization of Investment Fund Product Regulation – Alternative Mutual Funds

PDF • 816.1KB

CSA Notice of Amendments Modernization of Investment Fund Product Regulation – Alternative Mutual Funds

PDF • 816.1KB

CSA Notice of Amendments Modernization of Investment Fund Product Regulation – Alternative Mutual Funds

PDF • 816.23KB

CSA Notice of Amendments Modernization of Investment Fund Product Regulation – Alternative Mutual Funds

PDF • 816.08KB

CSA Notice of Amendments Modernization of Investment Fund Product Regulation – Alternative Mutual Funds

PDF • 816.09KB

CSA Notice of Amendments Modernization of Investment Fund Product Regulation – Alternative Mutual Funds

PDF • 816.09KB

11-801.2018-10-05.en.pdf

PDF • 636.31KB

45-809 - NWT Implementing Rule - Adoption of Amendments to National Instrument 45-106 -Prospectus Exemptions

PDF • 423.28KB

CSA Multilateral Staff Notice 58-310 - Report on Fourth Staff Review of Disclosure regarding Women on Boards and in Executive Officer Positions

PDF • 1004.12KB