Securities Instruments

Securities Instruments

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Displaying 121 - 140 of 1720

CSA Multilateral Notice 24-317 - Notice of Relief from Certain Filing Provisions under National Instrument 24-101 Institutional Trade Matching and Settlement

PDF • 90.3KB

31-519 - NWT Blanket Order - Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants

PDF • 457.8KB

51-502 - NWT Blanket Order - Temporary Exemption from Certain Corporate Finance Requirements

PDF • 386.48KB

81-502 - NWT Blanket Order - Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds

PDF • 370.99KB

21-502 - NWT Blanket Order - Temporary Exemption From Certain Reporting Requirements For Regulated Entities Carrying On Business In The Northwest Territories

PDF • 382.52KB

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

PDF • 316.87KB

CSA Staff Notice 21-328 - Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities

PDF • 105.67KB

CSA Staff Notice 31-103 - Proposed Amendments to 31-103 to Enhance Protection of Older and Vulnerable Clients

PDF • 201.88KB

CSA Staff Notice 43-310 - Confidential Pre-File Review of Prospectuses (for non-investment fund issuers)

PDF • 101.75KB

CSA Notice and Request for Comment - Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions

PDF • 1.4MB

CSA Notice - Amendments to NI 81-105 - Mutual Fund Sales Practices and Related Consequential Amendments

PDF • 236.51KB

CSA Notice 23-326 - Order Protection Rule: Market Share Threshold for the period April 1, 2020 to March 31, 2021

PDF • 78.8KB

CSA Staff Notice - Proposed NI and CP 52-112 - Non-GAAP and Other Financial Measures Disclosure

PDF • 359.86KB

CSA Notice 23-325 - Trading Fee Rebate Study

PDF • 428.25KB

CSA Staff Notice 21-327 - Guidance on the Application of Securities Legislation to Entities Facilitating the Trading of Crypto Assets

PDF • 187.46KB

CSA Consultation Paper 51-405 - Consideration of an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers

PDF • 205.3KB

CSA Staff Notice 81-332 - Next Steps on Proposals to Prohibit Certain Investment Fund Embedded Commissions

PDF • 200.16KB

31-810 - NWT Implementing Rule - Client Focused Reforms

PDF • 659.94KB

CSA Staff Notice 13-315 (Revised) - Securities Regulatory Authority Closed Dates 2020/2021

PDF • 72.1KB

CSA Staff Notice - Amendments to 45-106 and 31-103 - Syndicated Mortgages

PDF • 117.57KB