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PART 1 -
PROCEDURE AND RELATED MATTERS |
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General |
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11-101 |
National Instrument |
Principal
Regulator System
Amendments |
In effect September 19, 2005.
Amended
December 30, 2005
In effect March 17, 2008 |
Implements a system that gives
a market participant access to the capital markets in
several jurisdictions by dealing with the regulator and the
law of its principal jurisdiction. |
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Form
11-101F1 Notice of Principal Regulator |
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Companion
Policy 11-101CP
Amendments |
In effect March 17, 2008 |
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11-102
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Multilateral Instrument |
Passport System
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In effect March 17, 2008 |
Implements, in the main areas
of securities regulation, a system that gives a market
participant access to the capital markets in multiple
jurisdictions by dealing only with its principal regulator
and meeting the requirements of one set of harmonized
rules. |
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Companion Policy 11-102CP |
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11-201 |
National Policy |
Delivery of Documents by Electronic Means
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In effect Jan 1, 2000. Amended
Feb 14, 2003. |
States the views of the CSA on how obligations imposed by securities legislation to deliver documents can be satisfied by electronic means. |
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11-202 |
National Policy |
Process for Prospectus Reviews in Multiple Jurisdictions |
In effect March 17, 2008 |
Sets out the processes for the
filing and review of prospectuses in multiple jurisdictions
and includes interfaces for market participants to gain
access to the Ontario market. |
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11-203 |
National Policy |
Process for Exemptive Relief Applications in Multiple
Jurisdictions |
In effect March 17, 2008 |
Set out the processes for the
filing and review of exemptive relief applications in
multiple jurisdictions and includes interfaces for market
participants to gain access to the Ontario market. |
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11-308 |
Staff Notice |
Guidelines for use of Mobility Exemptions under Part 5 of
MI 11-101 Principal Regulator System |
In effect January 27, 2006 |
Provides guidance on the use of
the mobility registration exemptions in Part 5 of MI 11-101
Principal Regulator System |
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11-305 |
CSA Staff Notice |
Withdrawal
of CSA Staff Notice 42-301 and 52-302 |
In effect Jan 16, 2004 |
Gives notices of withdrawal of
CSA Staff Notices 42-301and 52-302 Dual Reporting of
Financial Information effective March 30, 2004. Dual
reporting issuers should refer to NI 52-107. |
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11-306 |
CSA Notice |
Extension
of Comment Period for Uniform Securities Act and Model
Securities Administration Act |
In effect Feb 20, 2004 |
Gives notice that the period
for commenting on the draft Uniform Securities Act and
model Securities Administration Act has been extended for
60 days until May 17, 2004. |
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11-309 |
CSA Notice |
Withdrawal of CSA
Notices |
In effect March 3, 2006 |
Gives notice of CSA notices
that are withdrawn because they are no longer required.
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11-501 |
Saskatchewan Instrument |
Conflicts
of Interest
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In effect May 9, 2003 |
Sets out
conflict of interest rules that govern Commission members and
employees who administer the provisions of The Securities
Act, 1988. |
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Form 11-501F1 Initial Undertaking |
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Form 11-501F2 Annual Certificate of Compliance |
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Form 11-501F3 Portfolio Statement |
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11-501CP |
Companion Policy |
Companion
Policy 11-501CP |
In effect May 9, 2003 |
Companion policy to Local
Instrument 11-501 |
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11-502 |
Saskatchewan Instrument |
Removal of Statutory
Exemptions |
In effect September 19, 2005 |
Removes the prospectus and
registration exemptions in The Securities Act, 1988.
These exemptions are replaced by
NI 45-106
Prospectus and Registration Exempitons. |
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11-701 |
Local Staff Notice |
Commission Regulatory Instruments |
In effect Nov 27, 1997.
Amended June 15, 2007.
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Describes the nature and use of regulatory instruments, including local and national instruments, general exemption orders, policy statements and staff notices. |
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11-702 |
Saskatchewan Staff Notice |
Numbering System for National and Local Regulatory Instruments |
Nov 27, 1997.
Amended June 15, 2007 |
Describes the numbering system under which numbers are assigned to national and local instrument in Saskatchewan. |
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11-703 |
Saskatchewan Staff Notice |
Amendment to GRO
11-903 Recognition of MFDA to extend suspension
of MFDA Rule 2.4.1 |
In effect November 20, 2006. |
Gives notice that GRO 11-903
Recognition of the MFDA was amended to extend the
suspension of MFDA Rule 2.4.1 from December 31, 2006 to
December 31, 2008. |
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11-704 |
Saskatchewan Staff Notice |
Claims for Financial
Compensation
Form 11-704F1
Claim for Order for Payment of Financial Loss |
In effect January 1, 2008. |
Sets out information about
how to make a claim for a financial compensation order
under section 135.6 of the Act. |
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11-901 |
General Recognition Order |
Recognition Order |
July 7, 1998.
Amended September 5, 2003,
March 15, 2004, September 14, 2005, May 29,
2006, and February 15, 2008. |
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 |
In effect July 17, 2000.
Amended April 17, 2003.
Amended and restated June
1, 2008
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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 |
In effect 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 |
In effect September 13, 2002 |
Approves the Canadian Investor Protection Fund pursuant to subsection 23(1) of The Securities Regulations on certain conditions. |
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11-905 |
Approval Order |
Approval of the Mutual
Fund Dealers Association Investor Protection Corporation |
In effect May 12, 2005.
Amended August 28, 2006. |
Approves the MFDA Investor Protection
Corporation pursuant to section 23(1) of The Securities Regulations on certain conditions. |
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11-906 |
Specification Order |
Offering Memorandum
Specification Order |
In effect June 1, 2006.
Amended May 9, 2008. |
Specifies the documents that are not offering memoranda
pursuant to subclause 2(1)(ff)(ii) of the Act. |
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11-907 |
Designation Order |
Designation Order
Pursuant to Section 11.1 |
In effect June 1, 2006 |
Designates Type B corporations under The Labour-sponsored
Venture Capital Corporations Act not to be mutual
funds or non-redeemable investment funds. |
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11-908 |
Designation Order |
Designation Order
Pursuant to clause 2(1)(ww), subsection 45(3) and clause
138.1(2)(b) |
July 6, 2007 |
Designates trades in securities for the purposes of:
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the definition of "underwriter" in clause 2(1)(ww);
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registered dealer's disclosure requirements in section
45; and
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the right of action for misrepresentation in
advertising or sales literature in section 138.1.
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11-909 |
Designation Order |
Designation
Order Pursuant to Section 173.4 of The Securities
Regulations |
In effect February 15, 2008 |
For the
purposes of clause 136.1(b) and (c) of the Act,
specifies the exempt distributions and take-over bids
and issuer bids that Part XVIII.1 (Civil Liability for
Secondary Market Disclosure) applies to. |
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11-910 |
Designation Order |
Designation
Order Pursuant to Clause 138.1(2)(b) of The
Securities Act, 1988 |
In effect February 15, 2008 |
Designates certain
exemptions for the purposes of clause 138.1(2)(b) of the
Act.
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11-911 |
Recognition Order |
Recognition of the Investment Industry Regulatory
Organization of Canada
Memorandum of Understanding and Joint Rule Review
Protocol |
In effect June 1, 2008 |
Recognizes the Investment
Industry Regulatory Organization of Canada as a self-regulatory organization, subject to certain conditions. |
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TOP OF PAGE Applications |
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12-202 |
National Policy |
Revocation of a Compliance-related Cease Trade Order |
In effect July 27, 2007 |
Outlines what issuers,
security-holders or other parties must do to apply for a
partial or full revocation of a compliance-related cease
trade order. |
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12-302 |
CSA Staff Notice |
National Policy 12-201 Mutual Reliance Review System for Exemptive Relief Applications ("ERA")- ERA and Applications for Approvals or Exemptions under National Policy No. 39 "Mutual Funds" |
In effect November 19, 1999.
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Communicates the view of CSA staff on how the MRRS for Exemptive Relief Applications relates to applications for approvals and exemptions made under National Policy 39 Mutual Funds. |
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12-304 |
CSA Staff Notice |
Mutual Reliance Review System for Exemptive Relief Applications Frequently Occurring Issues |
In effect August 11, 2000. |
Gives guidance on procedures and issues under the Mutual Reliance Review System for Exmeptive Relief Aplications. |
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12-307 |
CSA Staff Notice |
Applications for a Decision that an Issuer is not a
Reporting Issuer |
Sept 12, 2003. Revised:
Feb 4, 2005. November 1, 2006.
March 7, 2008. |
Sets out a revised procedure
for applications to cease to be a reporting issuer. |
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12-309 |
CSA Notice |
Impact of the Principal
Regulator System on the MRRS for Exemptive Relief
Applications |
In effect September 19, 2005 |
Provides guidance on how the
principal regulator system works in conjunction with the
MRRS for Exemptive Relief for issuers that need an
exemption from continuous disclosure or prospectus
eligibility requirements. |
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12-601 |
Saskatchewan Policy Statement |
Applications to the Saskatchewan Financial Services
Commission
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In effect May 3, 1990.
Amended November 10, 2004
Amended March 17, 2008.
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Sets out the procedure for applications to the Commission for exemptions, waivers and approvals. |
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12-602 |
Saskatchewan Policy Statement |
Procedure on Hearings and Reviews Before the Commission |
In effect December 6, 1990.
Amended February 16, 1996, July 11, 2003, May
12, 2005, April 13, 2006, July 1, 2007 and April 18,
2008 |
Sets out the procedure
the Commission follows during hearings and reviews. |
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12-603 |
Local Policy Statement |
System for Expedited Review of Exemption Applications
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In effect January 16, 1995. |
Sets out a system to streamline the process of applying to the Commission for exemptive relief under specified provisions of the Act where the application is also being made in a principal jurisdiction, but is not being made under the MRRS for Exemptive
Relief. |
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TOP OF PAGE
Filings with Securities Regulatory Authority |
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13-101 |
National Instrument |
System for Electronic Document
Analysis and Retrieval (SEDAR) |
In effect nationally Jan 1, 1997. In Saskatchewan Jan 17, 2000.
Amended September 30, 2003. Amended March 30, 2004.
Amended November 1, 2006 |
Requires issuers to transmit certain documents to securities regulatory authorities in electronic format using the System for Electronic Document Analysis and Retrieval known as SEDAR. Sets out certain requirements for filing on SEDAR. |
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13-101 |
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SEDAR Filer Manual Version 8.3 |
In effect October 27, 2006 |
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13-301 |
CSA Staff Notice |
SEDAR - Use of Incorrect Document Formats |
In effect May 15, 1998. |
Reminds issuers of the acceptable formats for filing documents on SEDAR. |
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13-305 |
CSA Staff Notice |
SEDAR Changes for Mutual Reliance Review Systems for Prospectuses and AIFs |
In effect September 3, 1999 |
Outlines the changes made to SEDAR to accommodate MRRS filings and to provide instructions for making non-MRRS filings on SEDAR |
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13-306 |
CSA Staff Notice |
Guidance for SEDAR Users |
In effect April 30, 2001 |
Provides guidance to SEDAR users on specified issues. |
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13-314 |
CSA Staff
Notice |
Changes
to Sedar Annual Filing Service Charges 2005 |
In effect Nov 4, 2004 |
Gives notice that SEDAR annual
filing service charges will increase. |
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13-315 |
CSA Staff Notice |
Securities
Regulatory Authority Closed Dates 2008 |
In effect February 8, 2008 |
Sets out the list of closed
dates of the securities regulatory authorities for 2008. |
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13-316 |
CSA Staff Notice |
Amendments to the SEDAR
Filer Manual |
In effect October 27, 2006 |
Gives notice that the new SEDAR
Filer Manual Version 8.3 was implemented on September 30,
2006 |
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13-701 |
Local Staff Notice |
Refund of Fees |
In effect January 18, 1993. |
Describes the approach the Director will take on recommending refunds of fees. |
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13-703 |
Local Staff Notice |
Access to Records under
The Securities Act, 1988 |
In effect November 21, 2006 |
Sets out how the provisions of
The Freedom of Information and Protection of Privacy Act
and The Securities Act, 1988 (the "Act") relate to
access to records created, collected or filed under the
Act. |
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Schedule B -
Inventory of Records |
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TOP OF PAGE Definitions |
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14-101 |
National Instrument |
Definitions |
In effect nationally April 1, 1997. In Saskatchewan January 17, 2000. |
Sets out the definitions of terms used in more than one national instrument for the purpose of interpreting all national instruments. |
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14-101 |
National Instrument |
Amendments to
National Instrument 14-101
Amendments
to NI 14-101
Amendments |
In effect December 31, 2002.
In effect March 17, 2008
In effect March 17, 2008.
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Amends certain provisions of National Instrument 14-101. |
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14-501 |
Local Instrument |
Definitions |
In effect January 17, 2000. |
Defines certain terms used in Commission regulations. |
