Office of the Superintendent of Securities
NWT Local Rules
11-801 |
NWT Implementing Rule September 28, 2009 |
Adoption of Existing CSA instruments (French Version) This instrument adopts all national and multilateral instruments, subject to such minor changes as are necessary to apply these instruments in the Northwest Territories (e.g. changes to section references to refer to the new Act; changes to NWT contact information). |
11-802 |
NWT Implementing Rule September 28, 2009 |
Adoption of Multilateral Instrument 11-102 (French Version) Adopts Multilateral Instrument 11-102, repeals Multilateral Instrument 11-101, and makes consequential amendments to NWT Implementing Rule 11-801. |
12-501 |
NWT Local Rule October 26, 2008 |
Discretionary Exemptions (French Version) Where the new Act imposes new requirements that correspond with requirements in other Canadian jurisdictions and an exemption from such requirements has been granted by another Canadian jurisdiction, that exemption will be deemed to apply in the Northwest Territories, subject to the same terms and conditions that apply in the other jurisdiction. |
31-501 |
NWT Local Rule September 28, 2009 |
Registration (French Version ) Adopts the national registration rule. Registrations that are current on the coming into force date will expire on December 31st but will become permanent when they are renewed. |
31-801 |
NWT Implementing Rule September 28, 2009 |
Adoption of National Instruments 31-103 and 33-109 (French Version) Adopts National Instruments 31-103 and 33-109, repeals National Instruments 31-101, 33-102, and 33-109, and makes consequential amendments to NWT Implementing Rule 11-801. |
45-801 |
NWT Implementing Rule September 28, 2009 |
Adoption of National Instrument 45-106 (French Version) Adopts National Instruments 45-106 and makes consequential amendments to NWT Implementing Rule 11-801. |
55-501 |
NWT Local Rule October 26, 2008 |
Insider Trading Reporting (French Version) This rule replaces the current reporting requirements under the Business Corporations Act and is most closely modeled on the reporting requirements under Alberta and Saskatchewan securities legislation. |
51-802 |
NWT Implementing Rule December 31, 2008 |
Continuous Disclosure Obligations (French Version) Adopts amendments made by the Canadian Securities Administrators to National Instrument 51-102 Continuous Disclosure Obligations. |
52-809 |
NWT Implementing Rule December 15, 2008 |
Certification of Disclosure in Issuers Annual and Interim Filings (French Version) Repeals and replaces National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings and adopts amendments to Form 51-102F1 Management's Discussion & Analysis. |
Table last updated November 19, 2009 |
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