Saskatchewan Staff Notices

11-701	Saskatchewan Staff Notice	Commission Regulatory Instruments	Nov 27, 1997. Amended July 13, 2002.	Describes the nature and use of regulatory instruments, including local and national instruments, general exemption orders, policy statements and staff notices.
11-702	Saskatchewan Staff Notice	Numbering System for National and Local Regulatory Instruments	Nov 27, 1997.	Describes the numbering system under which numbers are assigned to national and local instrument in Saskatchewan.
13-701	Saskatchewan Staff Notice	Refund of Fees	Jan 18, 1993.	Describes the approach the Director will take on recommending refunds of fees.
13-702	Saskatchewan Staff Notice	Access to Commission Records	June 29, 2000.	Sets out that Local Policy 13-601 is rescinded, and that requests for records will be dealt with on a case by case basis.
31-701	Saskatchewan Staff Notice	Form 4s Not Required for Certain Non-Trading Officers	Apr 30, 2001.  Amended May 9, 2003.	Declares that firms that do not have their head office in Saskatchewan no longer have to submit Form 4s for their non-trading officers.
33-701	Saskatchewan Staff Notice	Telemarketing Activities	Apr 16, 1993.	Sets out staff views on when telemarketers should be registered.
33-702	Saskatchewan Staff Notice	Transfer of Registration	Apr 16, 1993.  Amended Sept 14, 2000 and May 9, 2003.	Sets out what registered individuals must do if they wish to transfer from one company to another.
33-704	Saskatchewan Staff Notice	Uniform Termination Notice	May 28, 1992. Amended May 7, 2003.	Specifies the form of notice that individual registrants must give when their employment with a firm ends.
33-705	Saskatchewan Staff Notice	Dealing with Non-Residents	In effect Apr 16, 1998.	Provides guidance to registrants living in Saskatchewan who are considering dealing with investors who live elsewhere. Also provides guidance to registrants who do not live in Saskatchewan, but are considering dealing with investors who live in Saskatchewan.
33-706	Saskatchewan Staff Notice	Processing of Equity and Fixed Income Trades by Financial Institutions and Mutual Fund Dealers	Feb 7, 2000.	Sets out staffs' views on processing of equity and fixed income trades by financial institutions and mutual fund dealers.
33-709	Saskatchewan Staff Notice	Annual Delivery of Registration Fees and Documents	Nov 24, 2003	Describes the process for the annual filing of documents and payment of fees.
33-710	Saskatchewan Staff Notice	Branch Managers	Oct 15, 2004	Sets out the application of the branch manager requirement.
34-701	Saskatchewan Staff Notice	Registration of Individuals as Investment Counsel	Sept 27, 1989.	Sets out alternate registration requirements for junior investment counsel acting under the supervision of a senior investment counsel.
34-702	Saskatchewan Staff Notice	Rewriting of Proficiency Examinations	Jan 20, 1994.	Sets out staffs' views on when proficiency courses must be rewritten.
35-701	Saskatchewan Staff Notice	Registration of Non-Resident Individuals	October 11, 2002 Amended April 1, 2003.	Sets out the conditions of registration that the Director will apply to  individuals who do not live in Saskatchewan and are applying  for registration.
43-701	Saskatchewan Staff Notice	Capital Pool Companies	May 31, 2000.	Gives notice that companies may make offerings in Saskatchewan under the Canadian Venture Exchange's Capital Pool Company program.  Gives an outline of how the Capital Pool Company program works.
45-701	Saskatchewan Staff Notice	Applications Pursuant to Subsection 44(3) of The Securities Act, 1988	Sept 27, 1991.	Sets out when you do not have to make a formal application under subsection 44(3) to make a listing representation.
45-703	Saskatchewan Staff Notice	Monitoring the Use of the Exemptions Under Multilateral Instrument 45-103 Capital Raising Exemptions	June 26, 2003	Describes how Commission staff will monitor the use of the exemptions under MI 45-103 to ensure that issuers are complying with the conditions that attach to the exemptions.
51-701	Saskatchewan Staff Notice	Continuous Disclosure Reporting Requirements for Issuers under Section 21 Exemption Orders	Sept 17, 1990.	Sets out staffs' views of effect of continuous disclosure requirements under orders issued under prior Act.
51-702	Saskatchewan Staff Notice	Reporting Issuer Status after Exempt Securities Exchange	May 7, 1993.	Sets out staffs' views that an issuer which files a securities exchange take-over bid pursuant to clause 102(1)(e) of the Act becomes a reporting issuer.
51-703	Saskatchewan Staff Notice	New Requirements for Issuers Reporting by Order	March 23, 2004 Amended April 27, 2004	Sets out how the new continuous disclosure rules that come into effect on March 30, 2004 will affect issuers reporting by order.
51-704	Saskatchewan Staff Notice	Filing Fees for Annual Information Forms from March 30, 2004	April 6, 2004	Give information about filing AIFs on SEDAR from March 30, 2004 with the introduction of NI 51-102.
51-705	Staff Notice	National Instrument 51-102 - Definition of "Interim Period" - GRO 51-908	November 1, 2004	Provides background to GRO 51-908.
52-701	Saskatchewan Notice	Exemption from Filing on SEDAR	Jan 20, 2004	Gives notice of the repeal of GRO 13-801 Exemption from Filing on SEDAR effective June 30, 2004.
61-701	Saskatchewan Staff Notice	Take-over Bids, Amalgamations, Mergers and Arrangements	May 7, 1993.	Sets out staffs' views on when an amalgamation, merger or other corporate reorganization might be a take-over bid.
81-701	Saskatchewan Staff Notice	Limited Powers of Attorney and Letters of Authorization Used in the Sale of Mutual Funds	Sept 12, 2000.	Sets out staff views on salespersons acting under powers of attorney.

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