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General Exemption Orders |
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11-901 |
General Recognition Order |
Recognition Order |
July 7, 1998.
Amended September 5, 2003
and March 15, 2004. |
Sets out the Commission's recognition of certain exchanges, jurisdictions and self-regulatory organizations under certain provisions of the Act. |
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11-902 |
Recognition Order |
Recognition of the Investment Dealers Association of Canada |
July 17, 2000.
Amended April 17, 2003
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Recognizes the Investment Dealers Association of Canada as a self-regulatory organization, subject to certain conditions. |
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11-903 |
Recognition Order |
Recognition of the Mutual Fund Dealers Association of Canada |
Feb 13, 2001
Amended and restated on
April 16, 2004
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Recognizes the Mutual Fund Dealers Association of Canada as a self-regulatory organization, subject to certain terms and conditions. |
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11-904 |
Approval Order |
Approval of the Canadian Investor Protection Fund |
September 13, 2002 |
Approves the Canadian Investor Protection Fund pursuant to section 23(1) of The Securities Regulations on certain conditions. |
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31-901 |
General Exemption Order |
Advisors to Immigrant Investment Syndicates |
Apr 20, 1990. |
Varies certain registration requirements for advisers to immigrant investment syndicates on certain conditions. |
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31-902 |
General Exemption Order |
Saskatchewan Small Business Security Issuers |
July 7, 1998. |
Varies certain registration requirements for certain securities issuers. |
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32-901 |
General Exemption Order |
Direct Purchase Plans |
August 21, 2002 |
Grants an exemption permitting a reporting issuer (other than a mutual fund) and an administrator of the reporting issuer to trade in the issuer's own securities under a direct purchase plan, subject to certain conditions. |
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33-901 |
General Exemption Order |
Suitability Requirements |
July 12, 2001 |
Exempts members of the Investment Dealers Association of Canada from the suitability requirements if they comply with certain IDA requirements. |
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33-902 |
General Exemption Order |
Exemption from Part 4 of Local Instrument 33-502 Requirements for Sale of Certain Securities |
Jan 18, 2002 |
Exempts registered investment dealers and their registered trading officers and salespersons from the provisions of Part 4 of Local Instrument 33-502 Requirements for Sale of Certain Securities. |
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33-903 |
General Exemption Order |
Permanent Registration
System |
December 9, 2002 |
Extends a firm's grace period when it fails to file
annual fees by December 15 of any year. If a firm
does not file required fees on December 15, then the
firm's registration is suspended on January 15 of the
following year, instead of on December 31 of the same
year as now provided in Local Instrument 33-503
Permanent Registration System. |
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33-904 |
General Exemption Order |
Permanent
Registration System and the National Registration
Database |
Nov 24, 2003 |
Extends the time for payment
of fees by firms which participate on the NRD from Dec
15 to Dec 31 of each year. Grants certain other
exemptions. |
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34-901 |
General Exemption Order |
Proficiency Requirements for Salespersons Trading Only in Certain Options |
Dec 12, 2001 |
Exempts individuals who have been approved by the Investment Dealers Association of Canada as an Options Representative - Restricted from the requirement to complete the Canadian Securities Course and Conduct and Practices Course. Certain conditions apply
to the exemption. |
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35-901 |
General Exemption Order |
Non-Resident Registrants |
May 1, 2000. Amended
August 28, 2001, November 8, 2001 and August 19, 2003. |
Exempts investment dealers, brokers, exchange contract dealers and mutual fund dealers from the requirement to maintain a business office and books and records in Saskatchewan on certain conditions. Also exempts domestic advisers and international
advisers from the same requirements on certain conditions. |
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41-901 |
General Exemption Order |
Use of Prospectus Complying with OSC Rule 41-501 Prospectus Requirements |
Dec 20, 2000. |
Exempts issuers from the requirements in the Act and Regulations as to the form and content of a prospectus, if they comply with the form and content requirements of OSC Rule 41-501. |
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43-901 |
General Exemption Order |
Trade Unions Which Sponsor Labor Sponsored Venture Capital Corporations
|
Feb 5, 1997. |
Exempts trade unions which sponsor labour sponsored ventures capital offerings from signing the prospectus certificate on certain conditions. |
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45-901 |
General Exemption Order |
Self-Directed Registered Education Savings Plans |
Oct 24, 1990. |
Grants registration and prospectus exemption to self-directed education savings plans approved under the Income Tax Act. |
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45-902 |
General Exemption Order |
Exemptions for Certain Trades by and to Labor-sponsored Venture Capital Corporations |
Sept 23, 1992. |
Grants registration and prospectus exemptions to facilitate labour-sponsored venture capital offerings on certain conditions. |
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45-905 |
General Exemption Order |
In the Matter of Trades by Issuers Upon Exercise of Certain Conversion or Exchange Rights |
July 8, 1996. |
Grants registration and prospectus exemption to facilitate trades by issuers upon exercise of certain conversion or exchange rights. |
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45-906 |
General Exemption Order |
Rulings granted under Saskatchewan Policy Statement 45-601 - "Community Ventures - Section 83 Rulings" and Resale Restrictions in those Rulings |
July 17, 1997. |
Varies rulings granted to date under the Community Venture policy to relax the resale restrictions on securities acquired under those rulings. |
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45-908 |
General Exemption Order |
Offering
Memorandum Exemption in Clauses 39(1)(y) and 81(1)(s)
|
Feb 13, 2003 |
Waives the limit on the
amount raised and the advertising prohibition in the
exemption under clauses 39(1)(y) and 81(1)(s) |
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45-909 |
General Exemption Order |
Short
Term Debt Exemption
|
July 10, 2003 |
Grants a registration and
prospectus exemption to trades in negotiable promissory
notes or commercial paper on certain conditions. |
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45-910 |
General Exemption Order |
TSX
Venture Exchange's Short Form Offering Exemption
|
Feb 23, 2004.
Amended March 1, 2004.
Amended March 30, 2004.
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Grants an exemption from the
prospectus requirements for distributions made pursuant
to TSX Venture Exchange's Policy 4.6 Public Offerings
by Short Form Offering Document and Form
4H Short Form Offering Document. |
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47-901 |
General Exemption Order |
Testing the Waters
|
July 9, 1996. |
Grants registration and prospectus exemption to certain activity to gauge the interest of potential investors in a proposed trade of securities. |
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48-901 |
General Exemption Order |
Listing Representations |
June 16, 1998. |
Grants exemptions on certain conditions from the prohibition in subsection 44(3) of the Act against listing representations. |
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51-901 |
General Exemption Order |
Exemption Orders made Pursuant to Parts XI, II and XIII of the Act |
Nov 7, 1988.
Amended March 30, 2004. |
Makes exemption orders from the continuous disclosure requirements under the former Act uniform. |
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51-903 |
General Exemption Order |
Implementation of Saskatchewan Local Instrument 51-501 |
Apr 17, 2001 |
Grants an exemption from Saskatchewan Local Instrument 51-501 Annual Information Forms and Management's Discussion and Analysis if issuers comply with OSC Rule 51-501 AIF & MD&A. |
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51-904 |
General Exemption Order |
Curing Issuers' Defaults of Reporting Obligations |
Jan 22, 2001
Amended July 7, 2004
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Orders that reporting issuers that have been in default of their continuous disclosure reporting obligations are deemed not to be in default if they meet certain conditions. |
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51-905 |
General Exemption Order |
Varying
the Terms of Previously Granted Orders |
March 30, 2004 |
Varies the terms of rulings
previously granted by the Commission which impose
continuous disclosure requirements on issuers. |
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51-906 |
General Exemption Order |
Exemption
from Certain Continuous Disclosure Requirements under NI
51-102 Continuous Disclosure Obligations |
March 30, 2004 |
Exempts certain issuers from certain financial reporting requirements
under NI 51-102 on certain conditions. |
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51-907 |
General Exempiton Order |
Venture
Issuers
Trading on Certain Foreign Markets |
March 30, 2004 |
Grants an exemption from the
requirement in the definition of "venture
issuer" in NI 51-102 that a reporting issuer
not have any of its securities listed on a marketplace
outside of Canada or the US. |
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51-908 |
General Exemption Order |
Exemption
from Interim Periods in Non-Standard Financial Years |
November 1, 2004
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Grants an exemption from the
requirement to file financial statements for interim
periods ending 9, 6 and 3 months before the end of its
financial to issuers that have non-standard financial
years. |
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51-705 |
Staff Notice |
National
Instrument 51-102 - Definition of "Interim
Period" - GRO 51-908 |
November 1, 2004
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Provides background to GRO
51-908. |
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52-903 |
General Exemption Order |
Exemption
from Multilateral Instrument 52-109 Certification of
Disclosure in Companies Annual and Interim Filings |
March 30, 2004
Amended April 7, 2004
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Permits the CEO and CFO of
Junior and Senior Issuers Reporting by Order to file
alternate annual and interim certificates under MI
52-109. |
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55-905 |
General Exemption Order |
Insider Trading Reports |
June 9, 2003 |
Grants certain exemptions from the insider reporting requirements. |
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61-901 |
General Exemption Order |
Exemption from Valuation Requirement in Certain Take-over Bids |
Feb 8, 2002 |
Exempts offerors from the valuation requirements in subsection 146(1) of The Securities Regulations if those requirements arise solely because the offeror anticipates that a going private transaction will follow the take-over bid. |
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72-901 |
General Exemption Order |
Trades
to Purchasers Outside of Saskatchewan
|
March 30, 2004 |
Grants exemptions from the
registration and prospectus requirements for trades by
issuers of their own securities to purchasers outside of
Saskatchewan, subject to certain conditions. |
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81-901 |
General Exemption Order |
Exemption
for Mutual Funds from Delivering Financial Statements
|
Feb 13, 2003 |
Exempts mutual funds from
delivering annual and interim financial statements on
certain conditions. |
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91-901 |
General Exemption Order |
Trading in Recognized Options Cleared Through Recognized Clearing Organizations
|
Sept 5, 1991. |
Exempts trades in Recognized Options cleared through Recognized Clearing Organizations from the registration and prospectus requirements on certain conditions. |
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91-902 |
General Exemption Order |
The Toronto Futures Exchange
|
Nov 7, 1988. |
Exempts trades in specified futures contracts entered into on the Toronto Futures Exchange and cleared through a specified clearing corporation from the registration and prospectus requirements on certain conditions. |
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91-903 |
General Exemption Order |
Trading on the Toronto Futures Exchange of Toronto Stock Exchange Spot Index Contracts
|
Nov 7, 1988. |
Exempts trades in specified contracts entered into on the Toronto Futures Exchange and settled in cash from the registration and prospectus requirements on certain conditions. |
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91-904 |
General Exemption Order |
Trades in Government Warrants |
June 11, 1990. |
Exempts trades in specified Government Warrants from the registration and prospectus requirements on certain conditions. |
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91-905 |
General Exemption Order |
Certain Interests in Government Securities |
Nov 7, 1988. |
Exempts trades in certain interest in government securities from the registration and prospectus requirements on certain conditions. |
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91-906 |
General Exemption Order |
Strip Bonds |
June 6, 2002 |
Exempts trades in strip bonds from the registration and prospectus requirements provided that first-time purchasers are given a disclosure document that contains specified information and is approved by the Director. |
