Securities Instruments

Securities Instruments

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Companion Policy (Consolidated up to 01 February 2017)

PDF • 863.67KB

CSA Staff Notice 23-317 - Order Protection Rule: Market Share Threshold for the period April 1, 2017 to March 31, 2018

PDF • 47.26KB

CSA Staff Notice of Publication 54-305 - Meeting Vote Reconciliation Protocols

PDF • 413.14KB

CSA Notice - Amendments to NI 23-101 and 23-101CP - Trading Rules

PDF • 75.62KB

96-504 - NWT Blanket Order - Exemption from certain requirements to publicly disseminate data under MI 96-101 - Trade Repositories and Derivatives Data Reporting

PDF • 760.04KB

CSA Staff Notice 11-334 - Notice of Local Amendments and Changes in Certain Jurisdictions

PDF • 120.86KB

CSA Staff Notice 11-334 - Notice of Local Amendments and Changes in Certain Jurisdictions

PDF • 120.86KB

CSA Staff Notice 11-334 - Notice of Local Amendments and Changes in Certain Jurisdictions

PDF • 120.86KB

CSA Notice of Adoption of NI 94-101 - Mandatory Central Counterparty Clearing of Derivatives, and Related Companion Policy

PDF • 249.58KB

CSA Notice of National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Related Companion Policy

PDF • 490.96KB

CSA Consultation Paper 81-408 – Consultation on the Option of Discontinuing Embedded Commissions

PDF • 1.74MB

CSA Staff Notice 33-318 - Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives

PDF • 74.91KB

CSA Staff Notice 21-319 - Data Fees Methodology

PDF • 173.41KB

CSA Notice of Amendments to NI 41-101 - General Prospectus Requirements, to 41-101CP, and Related Consequential Amendments

PDF • 707.22KB

CSA Notice of Amendments to NI 81-102 - Investment Funds, and Related Consequential Amendments

PDF • 330.48KB

CSA Notice of Amendments to NI 81-102 - Investment Funds, and Related Consequential Amendments

PDF • 330.48KB

CSA Staff Notice 11-333 - Withdrawal of Notices

PDF • 71.18KB

CSA Staff Notice - Guidance as to the Scope of the International Dealer Exemption in Relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers

PDF • 94.1KB

CSA Multilateral Notice of Amendments to Certain National, Multilateral and Local Instruments, and Changes to 31-103CP

PDF • 71.69KB

CSA Multilateral Notice of Amendments to Certain National, Multilateral and Local Instruments, and Changes to 31-103CP

PDF • 71.69KB