Saskatchewan Staff Notices

11-701	Saskatchewan Staff Notice	Commission Regulatory Instruments	In effect Nov 27, 1997. Amended June 15, 2007	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	In effect Nov 27, 1997. Amended June 15, 2007	Describes the numbering system under which numbers are assigned to national and local instrument in Saskatchewan.
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.
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.
13-701	Saskatchewan Staff Notice	Refund of Fees	In effect Jan 18, 1993.	Describes the approach the Director will take on recommending refunds of fees.
13-703	Local Staff Notice	Access to Records under The Securities Act, 1988 Schedule B - Inventory of Records	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.
31-701	Saskatchewan Staff Notice	Form 4s Not Required for Certain Non-Trading Officers	In effect 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.
31-702	Saskatchewan Staff Notice	Registration Proficiency Requirements	In effect Jan 1, 2006.  Amended August 9, 2006.	Sets out the courses that the Director has designated under sections 37 and 38 of The Securities Regulations.
32-702	Saskatchewan Staff Notice	Status of Saskatchewan Local Instrument 32-501 Deposit Agents	In effect October 1, 2006	Updates the implementation of Saskatchewan Local Instrument 32-501 Deposit Agents
33-701	Saskatchewan Staff Notice	Telemarketing Activities	In effect Apr 16, 1993.	Sets out staff views on when telemarketers should be registered.
33-702	Saskatchewan Staff Notice	Transfer of Registration	In effect 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	In effect 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. Amended June 15, 2007	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.
33-709	Saskatchewan Staff Notice	Annual Delivery of Registration Fees and Documents	In effect Nov 24, 2003	Describes the process for the annual filing of documents and payment of fees.
33-710	Saskatchewan Staff Notice	Branch Managers	In effect Oct 15, 2004	Sets out the application of the branch manager requirement.
33-711	Saskatchewan Staff Notice	Adviser and Deposit Agent Examinations	In effect June 1, 2005	Gives notice of examination programs for advisers and deposit agents.
33-712	Saskatchewan Staff Notice	Surety Bond Not Required for Mutual Fund Dealers That Participate in the MFDA Investor Protection Corporation	In effect November 25, 2005	Gives notice that mutual fund dealers that participate in the MFDA Investor Protection Corporation are not required to maintain a surety bond.
34-701	Saskatchewan Staff Notice	Registration of Individuals as Investment Counsel	In effect Sept 27, 1989. Amended November 16, 2007.	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	In effect Jan 20, 1994.	Sets out staffs' views on when proficiency courses must be rewritten.
35-701	Saskatchewan Staff Notice	Registration of Non-Resident Individuals	In effect 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	In effect May 31, 2000. Amended February 22, 2005. Amended September 19, 2007	Gives notice that companies may make offerings in Saskatchewan under TSX Venture Exchange's Capital Pool Company program.
45-701	Local Staff Notice	Applications Pursuant to Subsection 44(3) of The Securities Act, 1988	In effect September 27, 1991.  Amended May 11, 1993, May 18, 1993, July 5, 2007.	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 National  Instrument 45-106 Prospectus and Registration Exemptions	In effect June 26, 2003.  Amended September 14, 2005. Amended January 18, 2008.	Describes how Commission staff will monitor the use of certain capital raising  exemptions under NI 45-106 to ensure that issuers are complying with the conditions that attach to the exemptions.
45-704	Saskatchewan Staff Notice	Review of Offering Memoranda Filed Under NI 45-106 Prospectus and Registration Exemptions	In effect January 6, 2005. Amended September 14, 2005. Amended December 13, 2007. Amended January 18, 2008	Sets out the deficiencies found on staff's review of offering memoranda filed under MI 45-103 Capital Raising Exemptions.  Provides guidance on preparing OMs in good form.  Also sets out the consequences that may flow if OMs are deficient.
45-706	Saskatchewan Staff Notice	Voluntary Pre-Offering Review of Offering Memoranda under NI 45-106	In effect January 18, 2008.	Informs issues that they may pre-file a draft offering memorandum under NI 45-106 Prospectus and Registration Exemptions on a voluntary basis before it is used.  Staff will review the draft offering memorandum and provide comments.
51-701	Saskatchewan Staff Notice	Continuous Disclosure Reporting Requirements for Issuers under Section 21 Exemption Orders	In effect 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	In effect May 7, 1993.  Amended February 15, 2008.	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	In effect March 23, 2004 Amended April 27, 2004 Amended Jan 27, 2006	Sets out how the new continuous disclosure rules that come into effect on March 30, 2004 will affect issuers reporting by order.
52-701	Saskatchewan Notice	Exemption from Filing on SEDAR	In effect Jan 20, 2004	Gives notice of the repeal of GRO 13-801 Exemption from Filing on SEDAR effective June 30, 2004.
81-701	Saskatchewan Staff Notice	Limited Powers of Attorney and Letters of Authorization Used in the Sale of Mutual Funds	In effect Sept 12, 2000.	Sets out staff views on salespersons acting under powers of attorney.

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