Office of the Superintendent of Securities
CSA National Instruments
11-102 |
Multilateral Instrument |
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. |
13-101 |
National Instrument |
NI 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) SEDAR Filer Manual Version 8.3 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. |
14-101 |
National Instrument |
Sets out the definitions of terms used in more than one national instrument for the purpose of interpreting all national instruments. |
21-101 |
National Instrument |
Regulates all securities marketplaces operating in Canada including exchanges, quotation and trade reporting systems and alternate trading systems. Amendments to NI 21-101 Marketplace Operation in effect January 28, 2010 Amendments to Form 21-101F2 - Initial Operation Report Alternative Trading System in effect June 22, 2007 Amendments to Form 21-101F5 - Initial Operation Report for Information Processor in effect June 22, 2007 Amendments to Companion Policy 21-101CP in effect January 28, 2010 |
23-101 |
National Instrument |
Sets out common trading rules that apply to all trading whether on a marketplace or not. Amendments to NI 23-101 Trading Rules in effect January 28, 2010 Amendments to Companion Policy 23-101CP in effect January 28, 2010 |
23-102 |
National Instrument |
Use of Client Brokerage Commissions Sets out requirements pertaining to brokerage transactions involving client brokerage commissions that are directed to a dealer in return for the provision of order execution goods and services or research goods and services. |
24-101 |
National Instrument |
Institutional Trade Matching and Settlement Provides a general framework in provincial securities regulation for ensuring more efficient and timely settlement processing of trades, particularly institutional trades. Form 24-101F1 Registrant Exception Report of DAP/RAP Trade Reporting and Matching Form 24-101F3 Matching Service Utility Notice of Operations Form 24-101F4 Matching Service Utility Notice of Cessation of Operations |
31-102 |
National Instrument |
National Registration Database Requires that certain registration information, including applications for registration by individuals, be submitted to regulators electronically through the NRD. |
31-103 |
National Instrument |
Registration Requirements and Exemptions Registration requirements for firms and individuals who sell securities and exchange contracts, offer investment advice or manage investment funds. |
33-105 |
National Instrument |
Imposes requirements on distributions where the relationship between the selling security holder and the registrant acting as underwriter raises the possibility of a conflict between its own interests or those of the selling security holder, and those of investors. |
33-109 |
National Instrument |
Consolidates and harmonizes requirements regarding initial submission of registration information and updating that information. Please note that applications for registration of a corporation or partnership must include an address for service within the Northwest Territories. If you wish to retain a law firm for this purpose, please refer to www.lawsociety.nt.ca for a list of law firms located in the Northwest Territories. Form 33-109F1 - Notice of Termination Form 33-109F2 - Change or Surrender of Individual Categories Form 33-109F3 - Business Locations Other Than Head Office Form 33-109F4 - Registration Information for an Individual Form 33-109F5 - Change of Registration Information Form 33-109F6 Firm Registration Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals |
35-101 |
National Instrument |
Conditional Exemption From Registration for United States Brokers-dealers and Agents Provides U.S. broker-dealers and their agents with a conditional exemption from the applicable registration and prospectus requirements under Canadian securities legislation. |
41-101 |
National Instrument |
General Prospectus Requirements Creates a comprehensive, seamless and transparent set of national prospectus requirements for all issuers including investment funds, other than mutual funds filing a prospectus under NI 81-101. Form 41-101F1 Information Required in a Prospectus in effect March 17, 2008 Form 41-101F2 Information Required in an Investment Fund Prospectus in effect March 17, 2008 Form 41-101F2 Information Required in an Investment Fund Prospectus in effect September 8, 2008 |
43-101 |
National Instrument |
Standards of Disclosure for Mineral Projects Regulate all disclosure that an issuer makes concerning mineral projects that is reasonably likely to made available to the public. Consolidates and expands National Policy Statements 2-A Guide for Engineers, Geologists and Prospectors Submitting Reports on Mining Properties to the Canadian Securities Administrators. |
44-101 |
National Instrument |
Short Form Prospectus Distributions Prescribes conditions for the use of a short form prospectus to distribute securities to the public. Replaces National Policy Statement 47 Prompt Offering Qualification System. Form 44-101F1 Short Form Prospectus CSA Notice 44-301 Frequently Asked Questions Regarding the New Prospectus Rules Sets out frequently asked questions and answers respecting: NI 44-101 Short Form Prospectus Distributions, NI 44-102 Shelf Distributions, NI 44-103 Post-Receipt Pricing and OSC rule 41-501 General Prospectus Requirements. |
44-102 |
National Instrument |
Regulates Canadian shelf prospectus distributions. Reformulates and replaces National Policy Statement 44 Rules for Shelf Prospectus Offerings and for Pricing Offerings after the Final Prospectus is Receipted ("NP44"). |
44-103 |
National Instrument |
Regulates the Canadian post-receipt pricing regime. Reformulates and replaces the provisions of NP44 relating to post-receipt pricing. |
45-101 |
National Instrument |
Sets out how an issuer may make rights offering to sell additional securities of its own issue to holders of its securities. |
45-102 |
Multilateral Instrument |
Implements uniform first trade restrictions for securities acquired under registration and prospectus exemptions. |
45-106 |
National Instrument |
Prospectus and Registration Exemptions Sets out exemptions from the prospectus and registration requirements in the Act. Form 45-106F1 Report of Exempt Distributions Form 45-106F2 Offering Memorandum for Non-Qualifying Issuers Form 45-106F3 Offering Memorandum for Qualifying Issuers |
51-101 |
National Instrument |
Standards of Disclosure for Oil and Gas Activities Sets out disclosure requirements for oil and gas issuers. Form 51-101F1- Statement of Reserves Data and Other Oil and Gas Information Form 51-101F2- Report on Data by Independent Qualified Reserves Evaluator Form 51-101F3- Report of Management and Directors on Oil and Gas Disclosure List of professional organizations which supersede the list in section 1.5(b) |
51-102 |
National Instrument |
Continuous Disclosure Obligations Harmonizes continuous disclosure (CD) requirements among Canadian jurisdictions, replaces most existing local CD requirements, enhances the consistency of disclosure in the primary and secondary securities markets, and facilities capital-raising initiatives such as an integrated disclosure system. Form 51-102F1 Management's Discussion and Analysis Form 51-102F2 Annual Information Form Amendments to Form 51-102F2 in effect December 31, 2007 Amendments to Form 51-102F2 in effect March 17, 2008 Form 51-102F3 Material Change Report Form 51-102F4 Business Acquisition Report Form 51-102F5 Information Circular Form 51-102F6 Executive Compensation (in respect of financial years ending before December 31, 2008) in effect December 31, 2008 Form 51-102F6 Statement of Executive Compensation (in respect of financial years ending on or after December 31, 2008)Amendments to Form 51-102F6 in effect December 31, 2008 Form 51-102F6 Statement of Executive Compensation (in respect of financial years ending on or after December 31, 2008) in effect December 31, 2008 |
52-107 |
National Instrument |
Acceptable Accounting Principles, Auditing Standards and Reporting Currency Sets out the accounting principles that issuers (other than investment funds) and registrants may use to prepare their financial statements. Also sets out the auditing standards that may be applied to audit those financial statements. |
52-108 |
National Instrument |
Requires an auditor's report that accompanies a reporting issuer's financial statements to be signed by a public accounting firm that is a member of the Canadian Public Accountability Board. |
52-109 |
Multilateral Instrument |
Restated NI 52-109 Certification of Disclosure in Issuer's Annual and Interim Filings Requires the CEO and CFO of an issuer to personally certify the issuer's annual and interim filings with respect to certain matters. Form 52-109F1 - Certification of Annual Filings Full Certificate Form 52-109FV1 - Certification of Annual Filings Venture Issuer Basic Certificate Form 52-109F1R - Certification of Refiled Annual Filings Form 52-109F1-AIF - Certification of Annual Filings in Connection With Voluntarily Filed AIF Form 52-109F2 - Certification of Interim Filings Full Certificate Form 52-109FV2 - Certification of Interim Filings Venture Issuer Basic Certificate |
52-110 |
National Instrument |
Requires reporting issuers to have audit committees which are responsible for overseeing the issuer's auditors, and other matters relating to the auditors. Form 52-110F1 - Audit Committee Information Required in an AIF |
54-101 |
National Instrument |
Communication with Beneficial Owners of Securities of a Reporting Issuer Requires reporting issuers to send proxy-related materials to the beneficial owners of its securities who not registered holders of its securities. Provides a procedure for sending proxy-related materials and other security holder material to the beneficial owners. Imposes obligations on various parties in the security holder communication process. |
55-101 |
National Instrument |
Provides certain exemptions from the insider reporting obligation. |
55-102 |
National Instrument |
System for Electronic Disclosure by Insiders (SEDI) Requires insiders of SEDI issuers to file their reports on SEDI. SEDI issuers are reporting issuers (other than mutual funds) that are required to file materials on SEDAR. |
55-103 |
Multilateral Instrument |
Insider Reporting for Certain Derivative Transactions (Equity Monetization) Requires insiders of reporting issuers who enter into agreements that change: (a) their economic interest in the securities of the reporting issuer; or (b) their economic exposure to the reporting issuer; to file an insider report, even if they are not otherwise required to file one. |
58-101 |
National Instrument |
Disclosure of Corporate Governance Practices Requires issuers to disclose the corporate governance practices that it has adopted. Also requires issuers to file any written code that they have adopted. |
62-103 |
National Instrument |
Early Warning System & Related Take-over Bid & Inside Reporting Issues Provides exemptions from the early warning requirements, the insider reporting requirement, and related provision to certain institutional investors that have a "passive intent" with respect to their ownership or control of securities of reporting issuers. |
62-104 |
Multilateral Instrument |
Take-Over Bids and Issuer Bids in effect February 1, 2008 Harmonizes and consolidates take-over and issuer bid regimes across the CSA Jurisdictions, other than Ontario. Form 62-104F1 Take-Over Bid Circular Form 62-104F2 Issuer Bid Circular Form 62-104F3 Directors' Circular |
71-101 |
National Instrument |
The Multijurisdictional Disclosure System Reformulates the multi jurisdictional disclosure system, a joint initiative implemented in 1991 by the CSA and the Securities and Exchange Commission of the United States to reduce duplicative regulation in cross-border offerings, issuer bids, take-over bids, business combinations and continuous disclosure and other filings. |
71-102 |
National Instrument |
Continuous Disclosure and Other Exemptions Relating to Foreign Issuers Provides relief from most of the requirements of NI 51-102 Continuous Disclosure Obligations for certain foreign issuers. |
81-101 |
National Instrument |
Mutual Fund Prospectus Disclosure Implements a new regulatory regime governing the disclosure provided by mutual funds in satisfaction of the prospectus requirements of securities legislation. Requires the preparation and filing of a simplified prospectus and annual information form by all mutual funds in a prescribed form. Form 81-101F1 - Contents of Simplified Prospectus |
81-102 |
National Instrument |
Regulates all publicly offered investment funds that give investors the right to redeem securities on demand, including specialized mutual funds such as labour sponsored investment funds and mortgage funds. |
81-104 |
Multilateral Instrument |
Sets out the rules that govern the operation of commodity pools. Allows them to invest in commodities and use derivatives in ways not permitted for conventional mutual funds. |
81-105 |
National Instrument |
Imposes restrictions on certain sales and business practices followed by managers and principal distributors of publicly offered mutual funds, and registered dealers and their sales representatives who sell them. |
81-106 |
National Instrument |
Investment Fund Continuous Disclosure Sets out continuous disclosure obligations of investment funds. Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance |
81-107 |
National Instrument |
Independent Review Committee for Investment Funds An independent oversight regime for all publicly offered investment funds that is intended to improve investment fund governance. |
Table last updated November 19, 2009 |
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