Source: http://www.nbsc-cvmnb.ca/nbsc/rules.jsp?id=10
Timestamp: 2018-12-16 11:44:35
Document Index: 625686952

Matched Legal Cases: ['art 5', 'art 5', 'art 5', 'art 6', 'art 6', 'art 6', 'art 6']

New Brunswick Securities Commission - Rules, Policies, Orders, Notices
The Financial and Consumer Services Commission uses a number of regulatory instruments to administer the requirements of New Brunswick’s securities laws. Most regulatory instruments are numbered according to the CSA numbering system.
This section contains rules, instruments, policies, and other documents, both proposed and final.
CATEGORY 1 - Procedure and Related Matters
11-101 - Principal Regulator System (Repealed)
24 November 2016 Multilateral CSA Notice and Request for Comment Proposed Multilateral Instrument 61-101Protection of Minority Security Holders in Special Transactions More...
28 September 2009 Amendment Instrument to 11-101CP More...
28 September 2009 Amendment Instrument to MI 11-101 More...
28 September 2009 Ministerial Consent More...
17 March 2008 Amendment Instrument to 11-101CP arising from MI 11-102 More...
17 March 2008 Amendment Instrument to Form 11-101F1 arising from MI 11-102 More...
17 March 2008 Amendment Instrument to MI 11-101 arising from MI 11-102 More...
17 March 2008 Ministerial Consent More...
29 February 2008 Summary of Comments More...
29 February 2008 CSA Notice and Request for Comment More...
25 July 2006 Amendment Instrument to MI 11-101 arising from NI 44-101 More...
25 July 2006 New Brunswick Implementing Instrument 11-801 More...
25 July 2006 Ministerial Consent More...
30 January 2006 CSA Notice 11-308 Guidelines for use of Mobility Exemptions under Part 5 of Multilateral Instrument 11-101 Principal Regulator System More...
21 December 2005 Emergency Rule - Amendments arising from NI 44-101(Repealed 25 July 2006) More...
19 September 2005 Summary of Comments More...
19 September 2005 Companion Policy More...
19 September 2005 Multilateral Instrument More...
19 September 2005 Ministerial Consent More...
26 August 2005 CSA Notice 12-309 Impact of the MI 11-101 Principal Regulator System on the Mutual Reliance Review System for Exemptive Relief Application More...
26 August 2005 CSA Notice of Publication More...
27 May 2005 CSA Notice and Request for Comment More...
11-102 - Passport System
04 October 2018 CSA Notice of Amendments Modernization of Investment Fund Product Regulation – Alternative Mutual Funds More...
07 December 2017 CSA Staff Notice 11-337 Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick More...
19 July 2017 Multilateral Instrument (Consolidated up to 19 July 2017) More...
19 July 2017 Amendment Instrument to MI-102 More...
19 July 2017 Ministerial Consent More...
20 July 2017 Multilateral CSA Notice of Adoption of Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions and Consequential Amendments to MI 11-102 and NI 13-101 More...
13 April 2017 CSA Staff Notice 11-335 Notice of Local Amendments and Changes in Certain Jurisdictions More...
01 February 2017 Multilateral Instrument (Consolidated up to 1 February 2017) More...
01 February 2017 Amendment Instrument to MI 11-102 More...
06 December 2016 Ministerial Consent More...
06 October 2016 CSA Multilateral Notice of Amendments to Certain National, Multilateral and Local Instruments and Changes to 31-103CP Related to Derivatives Regulation in Alberta, New Brunswick, Nova Scotia and Saskatchewan More...
23 June 2016 Blanket Order 11-506 The Passport System and Issuers Seeking to cease to be Reporting Issuers More...
23 June 2016 Companion Policy (Consolidated up to 23 June 2016) More...
23 June 2016 Multilateral Instrument (Consolidated up to 23 June 2016) More...
23 June 2016 Changes to 11-102CP More...
23 June 2016 Amendment Instrument to MI 11-102 More...
12 May 2016 Ministerial Consent More...
19 May 2016 CSA Multilateral Notice and Request for Comment - Proposed Amendments to Certain National, Multilateral and Local Instruments and Proposed Changes to Companion Policy 31-103 Related to Derivatives Regulation in Alberta, New Brunswick and Saskatchewan More...
09 May 2016 Multilateral Instrument (Consolidated up to 9 May 2016) More...
09 May 2016 Amendment Instrument to MI 11-102 More...
09 May 2016 Ministerial Consent More...
30 April 2016 Multilateral Instrument (Consolidated up to 30 April 2016) More...
30 April 2016 Amendment Instrument to MI 11-102 More...
15 March 2016 Ministerial Consent More...
03 March 2016 CSA Notice of Publication Multilateral Instrument 11-102 Passport System Multilateral Instrument 11-103 Failure-to-File Cease Trade Orders in Multiple Jurisdictions More...
25 February 2016 CSA Notice of Amendments to Take-Over Bid Regime Amendments to Multilateral Instrument 62-104 National Policy 62-203 and Consequential Amendments More...
08 December 2015 Multilateral Instrument (Consolidated up to 8 December 2015) More...
08 December 2015 Amendment Instrument to MI 11-102 More...
30 November 2015 Ministerial Consent More...
29 October 2015 Multilateral CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions Relating to the Offering Memorandum Exemption More...
24 September 2015 CSA Notice of Amendments Relating to Rights Offerings to NI45-106, NI41-101, NI44-101, NI45-102 and Repeal of NI45-101 More...
05 May 2015 Companion Policy (Consolidated up to 5 May 2015) More...
05 May 2015 Changes to 11-102CP More...
05 May 2015 Amendment Instrument to MI 11-102 More...
28 April 2015 Ministerial Consent More...
16 April 2015 CSA Notice and Request for Comment Proposed Amendments to Multilateral Instrument 11-102 Passport System More...
31 March 2015 CSA Notice and Request for Comment Proposed Amendments to Multilateral Instrument 62-104 Take-Over Bids and Issuer Bids Proposed Changes to National Policy 62-203 Take-Over BidsProposed Changes to National Policy 62-203 Take-Over Bids Proposed Changes to More...
19 February 2015 CSA Notice of Amendments to National Instrument 45-106 Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions More...
11 January 2015 Multilateral Instrument (Consolidated up to 11 January 2015) More...
11 January 2015 Amendment Instrument to MI 11-102 More...
10 December 2014 Ministerial Consent More...
16 October 2014 CSA Notice of Amendments to NI 31-103, NI 33-109, NI 52-107 and Changes to Related Companion Policies More...
01 March 2014 Multilateral Instrument (Consolidated up to 1 March 2014) More...
01 March 2014 Amendment Instrument to MI 11-102 More...
14 January 2014 Ministerial Consent More...
20 April 2012 Companion Policy (Consolidated up to 20 April 2012) More...
20 April 2012 Amendment Instrument to MI 11-102 More...
13 March 2012 Ministerial Consent More...
01 March 2013 Amendment Instrument to MI 11-102 More...
25 October 2012 CSA Notice and Request for Comment - Proposed Amendments to NI 23-103 Electronic Trading More...
24 October 2012 Ministerial Consent More...
13 September 2012 CSA Notice and Request for Comment - Proposed National Instrument 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers More...
13 September 2012 CSA Notice and Request for Comment - Proposed National Instrument 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers – List of Commenters More...
01 July 2012 Amendment Instrument to MI11-102 More...
28 June 2012 CSA Notice of Adoption of NI 23-103 Electronic Trading and consequential amendments to MI 11-102 More...
16 May 2012 Ministerial Consent More...
23 March 2012 CSA Notice of Amendments to National Instrument 21-101 Marketplace Operation, 21-101CP, National Instrument 23-101 Trading Rules and 23-101CP More...
27 January 2012 CSA Notice - National Instrument 25-101 Designated Rating Organizations, Related Policies and Consequential Amendments More...
19 August 2011 CSA Notice and Request for Comment - Proposed Consequential Amendments to Multilateral Instrument 11-102 Passport System More...
29 July 2011 CSA Notice and Request for Comment - Proposed National Instrument 51-103 - Ongoing Governance and Disclosure Requirements for Venture Issuers, Proposed Amendments to NI 41-101, NI 44-101 and NI 45-106 and Proposed Related Consequential Amendments More...
06 May 2011 CSA Staff Notice 11-314 - Update of CSA Instruments More...
18 March 2011 CSA Notice and Request for Comment - Proposed National Instrument 25-101 Designated Rating Organizations, Related Policies and Consequential Amendments More...
29 December 2010 Amendment Instrument to 11-102CP More...
29 December 2010 Amendment Instrument to MI 11-102 More...
23 December 2010 Ministerial Consent More...
01 October 2010 CSA Notice of National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards and 52-107CP, Amendments to National Instrument 14-101 Definitions and Other Related Amendments More...
27 July 2010 Multilateral Instrument (consolidated up to 30 April 2010) More...
16 July 2010 CSA Notice and Request for Comment - Proposed National Instrument 25-101 Designated Rating Organizations, Related Policies and Consequential Amendments More...
22 March 2010 Amendment Instrument to MI 11-102 More...
22 March 2010 Ministerial Consent More...
22 January 2010 CSA Notice of National Instrument 55-104 Insider Reporting Requirements and Exemptions and Related Companion Policy 55-104CP and Repeal of Related Predecessor Instruments More...
28 September 2009 Amendment Instrument to MI 11-102 More...
17 July 2009 CSA Notice of National Policy 11-204 Process for Registration in Multiple Jurisdictions More...
18 December 2008 CSA Notice and Request for Comment More...
18 July 2008 CSA Notice and Request for Comment More...
17 March 2008 Companion Policy More...
17 March 2008 Multilateral Instrument More...
24 July 2007 Comments Received More...
31 May 2007 Extension of Comment Period for Proposed National Instrument 11-102 Passport System More...
28 March 2007 Consequential Amendments to 81-104CP More...
28 March 2007 Consequential Amendments to NI 81-104 More...
28 March 2007 Consequential Amendments to NI 58-101 More...
28 March 2007 Consequential Amendments to NI 14-101 More...
28 March 2007 Consequential Amendments to NP 12-201 More...
28 March 2007 Companion Policy More...
28 March 2007 Form 11-102F1 More...
28 March 2007 National Instrument More...
28 March 2007 CSA Request for Comment More...
11-103 - Failure to File Cease Trade Orders in Multiple Jurisdictions
23 June 2016 Multilateral Instrument More...
11-201 - Electronic Delivery of Documents
18 November 2011 National Policy 11-201 More...
18 November 2011 CSA Notice - Amendments to National Policy 11-201 Delivery of Documents by Electronic Means More...
29 April 2011 CSA Notice and Request for Comment - Proposed Amendments to National Policy 11-201 Delivery of Documents by Electronic Means More...
09 April 2010 CSA Notice and Request for Comments - Proposed Amendments to NI 54-101, NI 51-102 and NP 11-201 More...
28 November 2008 National Policy More...
11-202 - Process for Prospectus Reviews in Multiple Jurisdictions
18 July 2011 National Policy (Consolidated up to 18 July 2011 - French version only) More...
18 July 2011 Amendment Instrument to NP 11-202 (Amendments required in the French version only) More...
28 September 2009 National Policy More...
28 September 2009 Amendment Instrument to NP 11-202 More...
17 March 2008 National Policy More...
26 November 2007 Comments Received More...
31 August 2007 Proposed National Policy More...
31 August 2007 CSA Request for Comment More...
16 June 2016 CSA Staff Notice 11-330 Notice of Local Amendments More...
30 April 2016 National Policy (Consolidated up to 30 April 2016) More...
30 April 2016 Amendment Instrument to NP 11-203 More...
05 May 2015 National Policy (Consolidated up to 5 May 2015) More...
05 May 2015 Amendments to NP 11-203 More...
22 September 2014 National Policy (Consolidated up to 22 September 2014) More...
22 September 2014 Amendments to National Policy 11-203 More...
12 August 2014 Ministerial Consent More...
26 July 2012 CSA Staff Notice 12-307 - Applications for a Decision that an Issuer is not a Reporting Issuer More...
19 June 2014 CSA Notice of Amendments to NI 81-102, NI 81-106, NI 81-101, NI 41-101 and Related Consequential Amendments More...
27 March 2013 CSA Notice and Request for Comment - Proposed Amendments to National Instrument 81-102 Mutual Funds and Related Consequential Amendments More...
26 July 2012 National Policy 11-203 (Consolidated up to 31 July 2012) More...
26 July 2012 Amendment Instrument to NP 11-203 - Black Line Version More...
12 June 2012 Ministerial Consent More...
10 May 2012 CSA Notice of Multilateral Instrument 51-105 - Issuers Quoted in the U.S. Over-the-Counter Markets More...
10 June 2011 CSA Notice and Request for Comment - Proposed Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets, Forms, and Companion Policy More...
22 February 2011 National Policy 11-203 (Consolidated up to 28 September 2009) More...
28 September 2009 Amendments to National Policy 11-203 More...
11-204 - Process for Registration in Multiple Jurisdictions
11-205 - Process for Designation of Credit Rating Organizations in Multiple Jurisdictions
20 April 2012 National Policy More...
11-206 - Process for Cease to be a Reporting Issuer Applications
12 June 2018 National Policy (Consolidated up to 12 June 2018) More...
12 June 2018 Changes to NP 11-206 More...
29 May 2018 Ministerial Consent More...
29 March 2018 CSA Notice of Amendments to NI 45-102, NI 31-103, Changes to NP 11-206 and 45-102CP More...
29 June 2017 CSA Notice and Request for Comment Proposed Amendments to 45-102, its related Companion Policy as well as Consequential Amendments to NI 31-103 and NP 11-206 More...
23 June 2016 National Policy More...
11-207 - Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions
11-308 - Guidelines for use of Mobility Exemptions under Part 5 of Multilateral Instrument 11-101 Principal Regulator System (Withdrawn)
30 January 2006 Guidelines for use of Mobility Exemptions under Part 5 of Multilateral Instrument 11-101 Principal Regulator System More...
11-309 - Withdrawal of CSA Notices
03 March 2006 Withdrawal of CSA Notices More...
11-310 - Withdrawal of CSA Notices
05 December 2008 Withdrawal of CSA Notices More...
11-311 - Notice of Extension of Comment Period - CSA Consultation Paper 11-405 (Withdrawn)
28 November 2008 Notice of Extension of Comment Period - CSA Consultation Paper 11-405 More...
11-312 - Canadian Securities Administrators' (Revised) - National Numbering System
29 January 2015 CSA Staff Notice 11-312 (Revised) National Numbering System More...
19 February 2010 CSA Staff Notice 11-312 (Revised) - National Numbering System More...
06 February 2009 National Numbering System More...
11-313 - Canadian Securities Administrators Notice 11-313 - Withdrawal of Notices and Policies
19 February 2010 CSA Notice 11-313 Withdrawal of Notices and Policies More...
11-314 - CSA Staff Notice 11-314 - Update of CSA Instruments
11-315 - CSA Staff Notice 11-315 - Extension of Consultation Period (Withdrawn)
15 June 2011 CSA Staff Notice 11-315 - Extension of Consultation Period More...
11-316 - CSA Staff Notice 11-316 - Notice of Local Amendments – British Columbia
13 April 2012 CSA Staff Notice 11-316 - Notice of Local Amendments – British Columbia More...
11-317 - CSA Staff Notice 11-317 - Withdrawal of Notices
21 June 2012 CSA Staff Notice 11-317 - Withdrawal of Notices More...
11-318 - CSA Staff Notice 11-318 Guidance for Cease Trade Order Database Users
23 August 2012 CSA Staff Notice 11-318 Guidance for Cease Trade Order Database Users More...
11-319 - CSA Staff Notice 11-319 - Extension of Consultation Period - Consultation Paper 25-401: Potential Regulation of Proxy Advisory Firms
16 August 2012 CSA Staff Notice 11-319 - Extension of Consultation Period - Consultation Paper 25-401: Potential Regulation of Proxy Advisory Firms More...
11-320 - CSA Staff Notice 11-320 - Notice of Local Amendments - Nova Scotia and Yukon
15 November 2012 CSA Staff Notice 11-320 - Notice of Local Amendments - Nova Scotia and Yukon More...
11-321 - CSA Staff Notice 11-321 - Business Continuity Planning – Industry Testing Exercise
07 February 2013 CSA Staff Notice 11-321 - Business Continuity Planning – Industry Testing Exercise More...
11-322 - CSA Staff Notice - Extension of Consultation Period
03 June 2013 CSA Staff Notice 11-322 - Extension of Consultation Period More...
11-323 - CSA Staff Notice - Withdrawal of Notices and Policies
12 September 2013 CSA Staff Notice 11-323 - Withdrawal of Notices and Policies More...
11-324 - CSA Staff Notice 11-324 - Extension of Comment Period
25 June 2013 CSA Staff Notice 11-324 - Extension of Comment Period - Proposed Amendments to NI 81-102 and Related Consequential Amendments and Other Matters Concerning NI 81-104 More...
11-326 - CSA Staff Notice 11-326 Cyber Security
26 September 2013 CSA Staff Notice 11-326 – Cyber Security More...
11-327 - CSA Staff Notice 11-327 - Extension of Consultation Period for NP 25-201 Guidance for Proxy Advisory Firms
12 June 2014 CSA Staff Notice 11-327 - Extension of Consultation Period for NP 25-201 Guidance for Proxy Advisory Firms More...
11-328 - CSA Staff Notice 11-328 Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon
12 March 2015 CSA Staff Notice 11-328 Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon More...
11-329 - CSA Staff Notice 11-329 Withdrawal of Notices and Revocation of Omnibus/Blanket Orders
16 July 2015 CSA Staff Notice 11-329 Withdrawal of Notices and Revocation of Omnibus/Blanket Orders More...
11-330 - CSA Staff Notice 11-330 Notice of Local Amendments
11-331 - CSA Staff Notice 11-331 Extension of Consultation Period - Consultation Paper 33-404
25 July 2016 CSA Staff Notice 11-331 Extension of Consultation Period - Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients More...
11-332 - CSA Staff Notice 11-332 Cyber Security
27 September 2016 CSA Staff Notice 11-332 Cyber Security More...
11-333 - CSA Staff Notice 11-333 Withdrawal of Notices
01 December 2016 CSA Staff Notice 11-333 Withdrawal of Notices More...
11-334 - CSA Staff Notice 11-334 Notice of Local Amendments and Changes in Certain Jurisdictions
19 January 2017 CSA Staff Notice 11-334 Notice of Local Amendments and Changes in Certain Jurisdictions More...
11-335 - CSA Staff Notice 11-335 Notice of Local Amendments and Changes in Certain Jurisdictions
11-336 - CSA Staff Notice 11-336 Summary of CSA Roundtable on Response to Cyber Security Incidents
06 April 2017 CSA Staff Notice 11-336 Summary of CSA Roundtable on Response to Cyber Security Incidents More...
11-337 - CSA Staff Notice 11-337 Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick
11-338 - CSA Staff Notice 11-338 CSA Market Disruption Coordination Plan
18 October 2018 CSA Staff Notice 11-338 CSA Market Disruption Coordination Plan More...
11-339 - CSA Staff Notice 11-339 Notice of Local Changes in Alberta
01 November 2018 CSA Staff Notice 11-339 Notice of Local Changes in Alberta More...
11-405 - Securities Regulatory Proposals Stemming from the 2007-08 Credit Market Turmoil and its Effect on the ABCP Market in Canada
06 October 2008 CSA Consultation Paper More...
11-501 - Fees
16 August 2018 Local Rule (Consolidated up to 16 August 2018) More...
16 August 2018 Amendment Instrument to LR 11-501 More...
16 August 2018 Ministerial Consent More...
05 July 2017 FCNB Notice and Request for Comment More...
17 February 2017 Blanket Order 11-507 Exemption from Certain Investment Fund Fee Requirements in Local Rule 11-501 Fees More...
01 April 2016 Local Rule (Consolidated up to 1 April 2016) More...
01 April 2016 Amendment Instrument More...
11 March 2016 Ministerial Consent More...
08 December 2015 Local Rule (Consolidated up to 8 December 2015) More...
08 December 2015 Amendment Instrument More...
10 September 2015 Notice and Request for Comment proposed Local Rule 45-509 Community Economic Development Corporations and Associations More...
03 July 2014 Local Rule 11-501 (Consolidated up to 3 July 2014) More...
03 July 2014 Amendment Instrument More...
03 July 2014 Notice of Publication More...
13 June 2014 Ministerial Consent More...
21 December 2012 NBSC Staff Notice 45-701 - Voluntary Pre-filing of Draft Offering Memoranda Under NI 45-106 Prospectus and Registration Exemptions More...
16 December 2013 FCNB Notice and Request for Comment More...
01 April 2013 Local Rule 11-501 (Consolidated up to 1 April 2013) More...
01 April 2013 Amendment Instrument More...
12 March 2013 Ministerial Consent More...
21 December 2012 NBSC Notice and Request for Comment - Proposed Amendments to Local Rule 11-501 Fees More...
03 September 2009 Local Rule More...
03 September 2009 Ministerial Consent More...
20 May 2009 NBSC Notice and Request for Comment More...
25 September 2007 Local Rule (Consolidated up to 25 September 2007) More...
25 September 2007 Amendment Instrument More...
25 September 2007 Ministerial Consent More...
30 December 2005 Blanket Order 11-503 - Fee Relief Upon the Replacement of NI 44-101 More...
01 July 2005 Ministerial Consent More...
28 June 2005 Local Rule More...
07 March 2005 NBSC Notice and Request for Comment More...
01 July 2004 Emergency Rule - Fees More...
11-502 - Time Periods
16 August 2012 Local Rule (Consolidated up to 16 August 2012) More...
16 August 2012 Amendment Instrument More...
17 July 2012 Ministerial Consent More...
19 March 2008 Local Rule (Consolidated up to 17 March 2008) More...
17 March 2008 Amendment Instrument More...
12 July 2005 Local Rule More...
12 July 2005 Ministerial Consent More...
25 February 2005 NBSC Notice and Request for Comment More...
01 July 2004 Emergency Rule - Time Periods More...
11-503 - Blanket Order - Fee Relief Upon the Replacement of NI 44-101 (Repealed)
25 September 2007 Amendment Instrument to LR 11-501 More...
12 September 2007 Ministerial Consent More...
30 December 2005 Blanket Order - Fee Relief Upon the Replacement of NI 44-101 (Repealed) More...
11-504 - Conflict of Interest and Code of Conduct (Repealed)
31 August 2010 Local Rule More...
31 August 2010 NBSC Notice of Adoption More...
31 August 2010 Ministerial Consent More...
11-506 - Blanket Order 11-506 - The Passport System and Issuers Seeking to cease to be Reporting Issuers
11-507 - Blanket Order 11-507 Exemption from Certain Investment Fund Fee Requirements in Local Rule 11-501 Fees
12-201 - Mutual Reliance Review System for Exemptive Relief Applications (Repealed)
26 August 2005 National Policy (Repealed) More...
16 May 2005 National Policy (Repealed) More...
12-202 - Revocation of Certain Cease Trade Orders
01 January 2011 National Policy (Consolidated up to 1 January 2011) More...
01 January 2011 Amendment Instrument to NP 12-202 More...
19 December 2008 CSA Notice and Request for Comment More...
15 December 2008 Amendment Instrument arising from NI 52-109 More...
17 March 2008 Amendment Instrument arising from NI 41-101 More...
27 July 2007 National Policy More...
05 January 2007 National Policy More...
05 January 2007 CSA Request for Comment More...
12-203 - Management Cease Trade Orders
01 January 2011 Amendment Instrument to NP 12-203 More...
29 August 2008 National Policy More...
29 August 2008 CSA Notice More...
28 March 2008 National Policy More...
28 March 2008 CSA Notice and Request for Comment More...
12-307 - Applications for a Decision that an Issuer is not a Reporting Issuer
07 March 2008 Applications for a Decision that an Issuer is not a Reporting Issuer More...
12-310 - Expedited Treatment of Applications Under the Mutual Reliance Review System for Exemptive Relief Applications (Withdrawn)
23 March 2007 Expedited Treatment of Applications Under the Mutual Reliance Review System for Exemptive Relief Applications More...
12-501 - Definition of Reporting Issuer
24 July 2007 New Brunswick Securities Commission Local Rule More...
18 July 2007 Ministerial Consent More...
04 December 2006 Local Rule More...
04 December 2006 Request for Comment More...
12-601 - General Procedure for Applications to the Commission
24 September 2007 Local Policy (Consolidated up to 24 Sepember 2007) More...
11 January 2008 Amendment Instrument More...
13 September 2004 Local Policy More...
12-602 - Deeming a Reporting Issuer in Certain Other Canadian Jurisdictions to Become a Reporting Issuer in New Brunswick
24 September 2007 Local Policy (Consolidated up to 24 September 2007) More...
12-603 - Deeming a Reporting Issuer to Cease to be a Reporting Issuer in New Brunswick
24 November 2006 Amendment Instrument More...
03 November 2006 CSA Staff Notice 12-307 More...
13-101 - System for Electronic Document Analysis and Retrieval (SEDAR)
19 July 2017 National Instrument (Consolidated up to 19 July 2017) More...
19 July 2017 Amendment Instrument to NI 13-101 More...
30 June 2016 Blanket Order 45-506 In the Matter of Start-Up Crowdfunding Registration and Prospectus Exemptions (as amended) More...
30 June 2016 Multilateral CSA Notice 45-319 Amendments to Start-up Crowdfunding Registration and Prospectus Exemptions More...
24 May 2016 Blanket Order 13-503 Exemption from the Requirement to File Reports of Exempt Distribution in Electronic Format on SEDAR for Distributions by Community Economic Development Corporations or Associations More...
23 May 2016 National Instrument (Consolidated up to 23 May 2016) More...
23 May 2016 Amendment Instrument to NI 13-101 More...
29 March 2016 Ministerial Consent More...
08 December 2015 National Instrument (Consolidated up to 8 December 2015) More...
08 December 2015 Amendment Instrument to NI 13-101 More...
03 December 2015 Multilateral CSA Notice of Amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) and Multilateral Instrument 13-102 System Fees for SEDAR and NRD More...
30 June 2015 Multilateral CSA Notice Request for Comment Proposed Amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) and Multilateral Instrument 13-102 System Fees for SEDAR and NRD More...
13 January 2014 National Instrument (Consolidated up to 13 January 2014) More...
13 January 2014 Amendment Instrument to NI 13-101 More...
09 January 2014 CSA Staff Notice 13-322 Service Transition Cutover Date for Information Management Services and implementation of Related Consequential Amendments to CSA National Systems Rules More...
20 September 2013 Ministerial Consent More...
29 August 2013 Revised CSA Notice of Amendments to NI 13-101, NI 31-102 and NI 55-102 More...
18 July 2013 CSA Notice of Multilateral Instrument 13-102 System Fees for SEDAR and NRD More...
14 May 2013 Amendment Instrument to NI 13-101 More...
26 April 2013 Ministerial Consent More...
28 February 2013 CSA Notice of Amendments to NI 41-101, NI 44-101, NI 44-102, NI 81-101 and Consequential Amendments More...
15 July 2011 CSA Notice and Request for Comment - Proposed Amendments to NI 41-101, NI 44-101, NI 44-102, NI 81-101 and Proposed Consequential Amendments More...
06 May 2011 National Instrument (Consolidated up to 6 May 2011) More...
01 January 2011 National Instrument (Consolidated up to 1 January 2011) More...
01 January 2011 Amendment Instrument to NI 13-101 More...
10 December 2010 Ministerial Consent More...
13 December 2010 CSA Staff Notice 13-317 – Amendments to the SEDAR Filer Manual More...
06 October 2010 CSA Notice of Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure, Form 81-101F1, 81-101F2, 81-101CP and Related Amendments More...
05 May 2010 New Brunswick Implementing Instrument 13-802 More...
26 April 2010 Ministerial Consent More...
01 November 2006 National Instrument (consolidated up to 1 November 2006) More...
01 November 2006 Amendment Instrument to NI 13-101 More...
01 November 2006 Ministerial Consent More...
27 October 2006 CSA Staff Notice 13-316 - Amendments to SEDAR Filer Manual More...
28 June 2006 National Instrument 13-101 More...
28 June 2006 New Brunswick Implementing Instrument 13-801 More...
28 June 2006 Ministerial Consent More...
06 January 2006 NBSC Notice and Request for Comment More...
13-102 - System Fees for SEDAR and NRD
23 May 2016 Multilateral Instrument (Consolidated up to 23 May 2016) More...
23 May 2016 Amendment Instrument to MI 13-102 More...
09 May 2016 Amendment Instrument to MI 13-102 More...
08 December 2015 Amendment Instrument to MI 13-102 More...
05 May 2015 Multilateral Instrument (Consolidated up to 5 May 2015) More...
05 May 2015 Amendment Instrument to MI 13-102 More...
12 October 2013 Multilateral Instrument 13-102 System Fees for SEDAR and NRD More...
10 October 2013 CSA Staff Notice 13-320 Regarding Implementation of MI 13-102 System Fees for SEDAR and NRD and Related Consequential Amendments to CSA National Systems Rules More...
24 January 2013 CSA Notice and Request for Comment - Proposed Amendments Facilitating CSA Information Technology Arrangements More...
13-315 - Canadian Securities Administrators’ Staff Notice 13-315 - Securities Regulatory Authority Closed Dates
13 December 2018 CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2019* More...
12 December 2017 CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2018 More...
06 December 2016 CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2017* More...
10 December 2015 CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2016* More...
04 December 2014 CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2015 More...
09 January 2014 Canadian Securities Administrators’ Staff Notice 13-315 (Revised) - Securities Regulatory Authority Closed Dates 2014 More...
20 December 2012 CSA Staff Notice 13-315 (Revised) - Securities Regulatory Authority Closed Dates 2013* More...
06 January 2012 Canadian Securities Administrators’ Staff Notice 13-315 (Revised) - Securities Regulatory Authority Closed Dates 2012 More...
21 January 2011 CSA Staff Notice 13-315 (Revised) - Securities Regulatory Authority Closed Dates 2011 More...
19 February 2010 CSA Staff Notice 13-315 (Revised) - Securities Regulatory Authority Closed Dates 2010 More...
29 May 2009 Securities Regulatory Authority Closed Dates 2009 (revised) More...
27 February 2009 Securities Regulatory Authority Closed Dates 2009 More...
13-316 - Amendments to SEDAR Filer Manual (Withdrawn)
27 October 2006 Amendments to SEDAR Filer Manual More...
13-317 - CSA Staff Notice 13-317 – Amendments to the SEDAR Filer Manual
13-318 - CSA Staff Notice 13-318 Changes to www.SEDAR.com
28 March 2013 CSA Staff Notice 13-318 Changes to www.SEDAR.com More...
13-319 - CSA Staff Notice 13-319 SEDAR Filer Manual Update
09 January 2014 CSA Staff Notice 13-319 SEDAR Filer Manual Update More...
13-320 - CSA Staff Notice 13-320 Regarding Implementation of MI 13-102 System Fees for SEDAR and NRD and Related Consequential Amendments
10 October 2013 CSA Staff Notice 13-320 Regarding Implementation of MI 13-102 System Fees for SEDAR and NRD and Related Consequential Amendments More...
13-321 - CSA Staff Notice 13-321 - Update on new service provider for the operation of the CSA National Systems and implementation of Related Consequential Amendments to CSA National Systems Rules
21 November 2013 CSA Staff Notice 13-321 - Update on new service provider for the operation of the CSA National Systems and implementation of Related Consequential Amendments to CSA National Systems Rules More...
13-322 - CSA Staff Notice 13-322 Service Transition Cutover Date for Information Management Services and implementation of Related Consequential Amendments to CSA National Systems Rules
13-323 - Multilateral CSA Staff Notice 13-323 Frequently Asked Questions About Making Exempt Market Offering and Disclosure Filings on SEDAR
21 April 2016 Multilateral CSA Staff Notice 13-323 Frequently Asked Questions About Making Exempt Market Offering and Disclosure Filings on SEDAR More...
13-501 - Blanket Order - Deeming Certain Reporting Issuers to Cease to be Reporting Issuers in New Brunswick
26 September 2006 Blanket Order - An Order Deeming Certain Reporting Issuers to Cease to be Reporting Issuers in More...
13-502 - Blanket Order- An Exemption from The SEDAR Filing Prohibition Under Section 2.1(5) Of National Instrument 13-101 System For Electronic Document Analysis and Retrieval
03 December 2015 Blanket Order More...
13-503 - Blanket Order - Exemption from the Requirement to File Reports of Exempt Distribution in Electronic Format on SEDAR for Distributions by Community Economic Development Corporations or Associations
14-101 - Definitions
01 February 2017 National Instrument (Consolidated up to 1 February 2017) More...
01 February 2017 Amendment Instrument to NI 14-101 More...
01 March 2015 Blanket Order 21-505 - Exemptions from Certain Requirements of Securities Legislation For Issuers Whose Securities Are Listed On The Aequitas Neo Exchange Inc. More...
22 March 2013 National Instrument (Consolidated up to 22 March 2013) More...
22 March 2013 Amendment Instrument More...
22 February 2013 Ministerial Consent More...
01 January 2011 Amendment Instrument to NI 14-101 More...
30 April 2010 National Instrument (Consolidated up to 30 April 2010) More...
22 March 2010 Amendment Instrument to NI 14-101 More...
28 September 2009 Amendment Instrument to 14-101 More...
25 September 2009 CSA Staff Notice and Request for Comments - Proposed National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards and Companion Policy 52-107CP Acceptable Accounting Principles and Auditing Standards More...
17 March 2008 Amendment Instrument to NI 14-101 arising from NI 41-101 More...
17 March 2008 Amendment Instrument to NI 14-101 arising from MI 11-102 More...
21 December 2006 CSA Notice and Request for Comment regarding proposed NI 41-101, the proposed repeal of the current version of NI 41-101 and the proposed consequential amendments to NI 14-101, NI 44-101, NI 44-102, NI 44-103, NI 45-101, NI 51-102, NI 81-101, NI 81-104, a More...
15 September 2006 National Instrument More...
15 September 2006 New Brunswick Implementing Instrument 14-801 More...
15 September 2006 Ministerial Consent More...
16 March 2006 NBSC Notice and Request for Comment More...
14-501 - Circumstances Deeming an Issuer to be a Reporting Issuer (Repealed)
29 October 2007 Notice of Repeal More...
21 June 2005 Local Rule More...
03 June 2005 Ministerial Consent More...
26 February 2005 NBSC Notice and Request for Comment More...
13 September 2004 Emergency Rule More...
15-501 - Proceedings before the Tribunal (Repealed)
23 January 2018 Repeal of Local Rule 15&#8208;501 Proceedings Before the Tribunal More...
01 July 2013 Local Rule - Proceedings before the Tribunal More...
11 January 2013 Notice 15-706 from the Office of the Secretary - Mileage Rate More...
04 January 2013 A Guide to Investigations and Hearings for Self-Represented Parties More...
04 January 2013 Notice 15-705 from the Office of the Secretary - Adjournment Requests More...
04 January 2013 Notice 15-704 from the Office of the Secretary - Filing of Electronic Documents More...
04 January 2013 Notice 15-703 from the Office of the Secretary - Guidelines for the Management of Personal Information More...
04 January 2013 Notice 15-702 from the Office of the Secretary - Public Access to Documents More...
04 January 2013 Notice 15-701 from the Office of the Secretary - Service More...
04 January 2013 Local Rule (Consolidated up to 4 January 2013) More...
04 January 2013 Amendment Instrument More...
10 December 2012 Ministerial Consent More...
11 May 2012 NBSC Notice and Request for Comment - Proposed Amendments to Local Rule 15-501 Procedures for Hearings Before a Panel of the Commission More...
20 February 2012 Notice from the Office of the Secretary – Filing of Electronic Documents More...
20 January 2012 A Guide to Investigations and Hearings for Unrepresented Parties More...
06 January 2012 Notice from the Office of the Secretary – Guidelines for the Management of Personal Information More...
06 June 2011 Notice from the Office of the Secretary - Public Access to Documents More...
06 June 2011 Notice from the Office of the Secretary - Service More...
28 January 2011 Local Rule (Consolidated up to 1 February 2011) More...
28 January 2011 Amendment Instrument to LR 15-501 More...
28 January 2011 Ministerial Consent More...
01 September 2010 NBSC Notice and Request for Comment - Proposed Amendments to NBSC Local Rule 15-501 Procedures for Hearings Before a Panel of the Commission More...
09 July 2008 Local Rule More...
09 July 2008 Ministerial Consent More...
09 November 2007 Proposed Local Rule More...
09 November 2007 Request for Comment More...
15-502 - Procedure for Distribution of Disgorged Funds
28 September 2009 Local Rule More...
09 April 2009 NBSC Notice and Request for Comment More...
CATEGORY 2 - Certain Capital Market Participants
21-101 - Marketplace Operation
12 June 2018 Companion Policy (Consolidated up to 12 June 2018) More...
28 June 2018 CSA Staff Notice 21-324 Information Processor for Exchange-Traded Securities other than Options More...
12 June 2018 Changes to 21-101CP More...
24 May 2018 CSA Staff Notice and Request for Comment 21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities More...
29 March 2018 CSA Notice of Amendments Relating to Designated Rating Organizations More...
14 December 2017 CSA Staff Notice 21-320 Update: NI 21-101 Marketplace Operation and Related Companion Policy -Dealing with Government Debt Transparency More...
06 July 2017 Various Proposed Amendments to: NI 25-101, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102, NI 81-106, 21-101CP, 81-102CP More...
06 July 2017 CSA Staff Notice 23-318 - Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under National Instrument 23-101 Trading Rules More...
01 February 2017 Amendment Instrument to NI 21-101 More...
23 June 2016 CSA Staff Notice 21-318 Information Processor for Corporate Debt Securities More...
01 October 2015 Companion Policy (Consolidated up to 1 October 2015) More...
01 October 2015 National Instrument (Consolidated up to 1 October 2015) More...
01 October 2015 Changes to 21-101CP More...
01 October 2015 Amendment Instrument to NI 21-101 More...
14 September 2015 Ministerial Consent More...
25 June 2015 CSA Notice of Approval Amendments to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules More...
31 December 2014 Companion Policy (Consolidated up to 31 December 2014) More...
31 December 2014 National Instrument (Consolidated up to 31 December 2014) More...
31 December 2014 Changes to Companion Policy 21-101CP More...
31 December 2014 Amendments to NI 21-101 More...
20 November 2014 Ministerial Consent More...
23 October 2014 CSA Notice of Approval Amendments to National Instrument 21-101 Marketplace Operation More...
24 April 2014 CSA Notice and Request for Comment Proposed Amendments to NI 21-101 and NI 23-101 More...
14 January 2014 National Instrument (Consolidated up to 1 July 2012 - Amendments required to the French Version Only) More...
14 January 2014 Amendment Instrument to NI 21-101 (Amendments Required to the French Version Only) More...
31 May 2013 Companion Policy (Consolidated up to 31 May 2013) More...
31 May 2013 Changes to 21-101CP More...
03 May 2013 Ministerial Consent More...
14 March 2013 CSA Notice - Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to National Instrument 25-101 Designated Rating Organizations More...
26 July 2012 CSA Notice and Request for Comment to Registitration, Prospectus and Continuous Disclosure Rules - re: NI 25-101 More...
01 July 2012 National Instrument (Consolidated up to 1 July 2012) More...
01 July 2012 Amendment Instrument to NI21-101 More...
01 July 2012 Amendment Instrument to 21-101CP More...
20 June 2012 CSA Consultation Paper 91-406 - Derivatives: OTC Central Counterparty Clearing More...
29 July 2011 Joint CSA/IIROC Staff Notice 23-311 - Regulatory Approach to Dark Liquidity in the Canadian Market More...
18 March 2011 CSA Notice and Request for Comment - Proposed Amendments to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules More...
01 January 2011 Companion Policy (Consolidated up to 1 January 2011 - French version only) More...
01 January 2011 Amendment Instrument to 21-101CP (Amendments required in the French version only) More...
01 January 2011 Amendment Instrument to NI 21-101 More...
28 January 2010 Companion Policy (Consolidated up to 28 January 2010) More...
28 January 2010 National Instrument (Consolidated up to 28 January 2010) More...
05 June 2009 CSA Staff Notice 21-309 More...
28 January 2010 Amendment Instrument to 21-101CP More...
28 January 2010 Amendment Instrument to NI 21-101 More...
28 January 2010 Ministerial Consent More...
18 December 2009 CSA Notice of Technical Corrections to Amendments to National Instrument 23-101 Trading Rules More...
13 November 2009 CSA Notice of Amendments to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules More...
28 September 2009 Companion Policy More...
28 September 2009 National Instrument More...
28 September 2009 New Brunswick Implementing Instrument 21-802 More...
26 June 2009 CSA Staff Notice 21-310 - Information Processor for Corporate Debt Securities More...
17 October 2008 CSA Notice and Request for Comment More...
12 September 2008 Amendment Instrument to 21-101CP More...
12 September 2008 Amendment Instrument to NI 21-101 More...
12 September 2008 Ministerial Consent More...
09 November 2007 CSA Staff Notice 21-307 - Extension of Approval of Information Processor for Corporate Fixed Income Securities More...
26 June 2007 Extension of Comment Period for Notice of Filings of Forms 21-101F5 Initial Operation Report for Information Processor More...
20 April 2007 Notice of Filings of Forms 21-101F5 Initial Operation Report for Information Processor More...
20 April 2007 Amendment Instrument for 21-101CP More...
20 April 2007 Amendment Instrument for NI 21-101 More...
20 April 2007 CSA Request for Comment More...
28 February 2007 Companion Policy (consolidated up to 28 February 2007) (Repealed) More...
28 February 2007 National Instrument (consolidated up to 28 February 2007) (Repealed) More...
28 February 2007 Amendment Instrument for 21-101CP More...
28 February 2007 Amendment Instrument for 21-101F5 More...
28 February 2007 Amendment Instrument for 21-101F2 More...
28 February 2007 Amendment Instrument for NI 21-101 More...
28 February 2007 New Brunswick Implementing Instrument 21-801 More...
28 February 2007 Ministerial Consent More...
25 September 2006 Amendment Instrument for 21-101CP More...
25 September 2006 Amendment Instrument for NI 21-101 More...
25 September 2006 Companion Policy More...
25 September 2006 National Instrument More...
25 September 2006 New Brunswick Implementing Instrument 21-801 More...
25 September 2006 CSA Request for Comment More...
21-304 - Notice of Request for Filing of Form 21-101F5 Initial Operation Report for Information Processor by Interested Information Processors
18 July 2006 Notice of Request for Filing of Form 21-101F5 Initial Operation Report for Information Processor by Interested Information Processors More...
21-305 - Extension of Approval of Information Processor for Corporate Fixed Income Securities (Withdrawn)
27 October 2006 Extension of Approval of Information Processor for Corporate Fixed Income Securities More...
21-306 - Notice of Filings of Forms 21-101F5 Initial Operation Report for Information Processor
26 June 2007 Extension of Comment Period Notice of Filings of Forms 21-101F5 Initial Operation Report for Information Processor More...
21-307 - Extension of Approval of Information Processor for Corporate Fixed Income Securities (Withdrawn)
09 November 2007 Extension of Approval of Information Processor for Corporate Fixed Income Securities More...
21-308 - Update on Applications to Become an Information Processor (Withdrawn)
05 December 2008 Update on Applications to Become an Information Processor More...
21-309 - CSA Staff Notice 21-309 - Information Processor for Exchange-Traded Securities Other than Options
21-310 - CSA Staff Notice 21-310 - Information Processor for Corporate Debt Securities
21-312 - CSA Staff Notice 21-312 - Update on Consultation Paper 21-401 Real Time Market Data Fees
07 November 2013 CSA Staff Notice 21-312 - Update on Consultation Paper 21-401 Real Time Market Data Fees More...
21-313 - CSA Staff Notice 23-313 Information Processor for Exchange-Traded Securities other than Options
27 June 2014 CSA Staff Notice 21-313 Information Processor for Exchange-Traded Securities other than Options More...
21-314 - CSA Staff Notice 21-314 Information Processor for Corporate Debt Securities
27 June 2014 CSA Staff Notice 21-314 Information Processor for Corporate Debt Securities More...
21-315 - CSA Staff Notice and Request for Comment 21-315 Next Steps in Regulation and Transparency of the Fixed Income Market
17 September 2015 CSA Staff Notice and Request for Comment 21-315 Next Steps in Regulation and Transparency of the Fixed Income Market More...
21-316 - CSA Staff Notice 21-316 Information Processor for Corporate Debt Securities
29 December 2015 CSA Staff Notice 21-316 Information Processor for Corporate Debt Securities More...
21-317 - CSA Staff Notice 21-317 Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market
21 April 2016 CSA Staff Notice 21-317 Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market More...
21-318 - CSA Staff Notice 21-318 Information Processor for Corporate Debt Securities
21-319 - CSA Staff Notice 21-319 Data Fees Methodology
08 December 2016 CSA Staff Notice 21-319 Data Fees Methodology More...
21-320 - CSA Staff Notice 21-320 Update: NI 21-101 Marketplace Operation and Related Companion Policy -Dealing with Government Debt Transparency
21-321 - CSA Staff Notice 21-321 Markets in Financial Instruments Directive – Share Trading Obligation and its Application to Canadian Securities
21 December 2017 CSA Staff Notice 21-321 Markets in Financial Instruments Directive – Share Trading Obligation and its Application to Canadian Securities More...
21-322 - CSA Staff Notice 21-322 Applicability of Regulation to the Operation of MTFs or OTFs in Canada
04 January 2018 CSA Staff Notice 21-322 Applicability of Regulation to the Operation of MTFs or OTFs in Canada More...
21-323 - CSA Staff Notice and Request for Comment 21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities
21-324 - CSA Staff Notice 21-324 Information Processor for Exchange-Traded Securities other than Options
21-401 - CSA Staff Consultation Paper - Real Time Market Data Fees
08 November 2012 CSA Staff Consultation Paper 21-401 - Real Time Market Data Fees More...
21-501 - Blanket Order 21-501 - Deferral of Transparency Requirements for Government Debt Securities in National Instrument 21-101 Marketplace Operation (Revoked)
01 July 2012 REVOCATION OF BLANKET ORDER 21-501 DEFERRAL OF TRANSPARENCY REQUIREMENTS FOR GOVERNMENT DEBT SECURITIES IN NATIONAL INSTRUMENT 21-101 MARKETPLACE OPERATION More...
24 October 2011 Blanket Order 21-501 - Deferral of Transparency Requirements for Government Debt Securities in National Instrument 21-101 Marketplace Operation (Revoked) More...
21-502 - Blanket Order 21-502 - Order Exempting Issuers Whose Securities are Listed on the Alpha Main Market Operated by Alpha Exchange Inc. From Certain Requirements of Securities Regulation
30 March 2012 Blanket Order 21-502 - Order Exempting Issuers Whose Securities are Listed on the Alpha Main Market Operated by Alpha Exchange Inc. From Certain Requirements of Securities Regulation More...
21-503 - Blanket Order 21-503 - Order Exempting Issuers Whose Securities are Listed on the Alpha Venture Plus Market Operated by Alpha Exchange Inc. from Certain Requirements of Securities Regulation
30 March 2012 Blanket Order 21-503 - Order Exempting Issuers Whose Securities are Listed on the Alpha Venture Plus Market Operated by Alpha Exchange Inc. from Certain Requirements of Securities Regulation More...
21-504 - REVOCATION OF BLANKET ORDER 21-501 DEFERRAL OF TRANSPARENCY REQUIREMENTS FOR GOVERNMENT DEBT SECURITIES IN NATIONAL INSTRUMENT 21-101 MARKETPLACE OPERATION
21-505 - Blanket Order 21-505 - Exemptions from Certain Requirements of Securities Legislation For Issuers Whose Securities Are Listed On The Aequitas Neo Exchange Inc.
21-506 - Blanket Order 21-506- Exemption from Certain Requirements in Part 6 of National Instrument 23-101 Trading Rules
18 September 2015 Blanket Order 21-506- Exemption from Certain Requirements in Part 6 of National Instrument 23-101 Trading Rules More...
21-702 - New Brunswick Securities Commission Staff Notice 21-702 - Business Continuity Planning – Industry Testing Exercise (Withdrawn)
08 February 2011 New Brunswick Securities Commission Staff Notice 21-702 - Business Continuity Planning – Industry Testing Exercise More...
22-501 - Blanket Order 22-501 Exemption from Requirement for a Clearing Agency to be Recognized under Section 36 of the Securities Act
25 June 2014 Blanket Order 22-501 Exemption from Requirement for a Clearing Agency to be Recognized under Section 36 of the Securities Act More...
23-101 - Trading Rules
25 January 2018 CSA Staff Notice 23-321 Order Protection Rule: Market Share Threshold for the period April 1, 2018 to March 31, 2019 More...
10 April 2017 Companion Policy (Consolidated up to 10 April 2017) More...
10 April 2017 National Instrument (Consolidated up to 10 April 2017) More...
10 April 2017 Changes to Companion Policy 23-101CP More...
10 April 2017 Amendment Instrument to NI 23-101 More...
07 March 2017 Ministerial Consent More...
30 January 2017 CSA Staff Notice 23-317 Order Protection Rule: Market Share Threshold for the period April 1, 2017 to March 31, 2018 More...
26 January 2017 CSA Notice Amendments to National Instrument 23-101 and its related Companion Policy More...
01 October 2016 National Instrument (Consolidated up to 1 Octobre 2016) More...
07 July 2016 Companion Policy (Consolidated up to 6 July 2016) More...
06 July 2016 National Instrument (Consolidated up to 6 July 2016) More...
06 July 2016 Changes to Companion Policy 23-101CP More...
06 July 2016 Amendment Instrument to NI 23-101 More...
29 June 2016 Ministerial Consent More...
20 June 2016 CSA Staff Notice 23-316 Order Protection Rule: Implementation of the Market Share Threshold and Amendments to 23-101CP More...
07 April 2016 CSA Notice of Amendments to NI 23-101 and changes to 23-101CP in relation to the application of the order protection rule and in response to recent market developments More...
07 April 2016 CSA Notice and Request for Comment Proposed Amendments to NI 23-101 Regarding the Trading Fee Cap More...
01 October 2015 Changes to 23-101CP More...
01 October 2015 Amendment Instrument to NI 23-101 More...
12 June 2015 CSA Notice and Request for Comment Proposed Amendments to the Companion Policy to National Instrument 23-101 Trading Rules: Application of the Order Protection Rule to Marketplaces Imposing Systematic Order Processing Delays More...
15 May 2014 CSA Notice and Request for Comment Proposed Amendments to National Instrument 23-101 Trading Rules More...
01 July 2012 Companion Policy (Consolidated up to 1 July 2012) More...
01 July 2012 Amendment Instrument to NI23-101 More...
01 July 2012 Amendment Instrument to 23-101CP More...
25 June 2010 CSA Staff Notice 23-309 - Frequently Asked Questions About the Order Protection Rule and Intentionally Locked or Crossed Markets - Part 6 of NI 23-101 & 23-101CP More...
26 May 2010 Companion Policy (Consolidated up to 28 January 2010) More...
26 May 2010 National Instrument (Consolidated up to 28 January 2010) More...
28 January 2010 Amendment Instrument to 23-101CP More...
28 January 2010 Amendment Instrument to NI 23-101 More...
13 November 2009 CSA Notice of Amendments to National Instrument 21-101 Marketplace Operation & National Instrument 23-101 Trading Rules More...
28 September 2009 New Brunswick Implementing Instrument 23-802 More...
12 September 2008 Amendment Instrument to 23-101CP More...
12 September 2008 Amendment instrument to NI 23-101 More...
20 April 2007 Amendment Instrument for 23-101CP More...
20 April 2007 Amendment Instrument for NI 23-101 More...
28 February 2007 Companion Policy (consolidated up to 28 February 2007) More...
28 February 2007 National Instrument (consolidated up to 28 February 2007) More...
28 February 2007 Amendment Instrument for 23-101CP More...
28 February 2007 Amendment Instrument for NI 23-101 More...
28 February 2007 New Brunswick Implementing Instrument 23-801 More...
25 September 2006 Amendment Instrument to 23-101CP More...
25 September 2006 Amendment Instrument to NI 23-101 More...
25 September 2006 New Brunswick Implementing Instrument 23-801 More...
23-102 - Use of Client Brokerage Commissions
01 February 2017 Amendment Instrument to NI 23-102 More...
11 January 2015 National Instrument (Consolidated up to 11 January 2015) More...
11 January 2015 Amendment Instrument to NI 23-102 More...
30 June 2010 Companion Policy More...
30 June 2010 National Instrument More...
09 April 2010 CSA Notice - Amendments to Form 81-101F2 and Form 41-101F2 More...
15 February 2010 Ministerial Consent More...
09 October 2009 CSA Notice of Proposed Amendments to Form 81-101F2 and Form 41-101F2 More...
06 October 2009 CSA Notice of Adoption More...
11 January 2008 CSA Notice and Request for Comment More...
26 September 2006 Companion Policy More...
26 September 2006 National Instrument More...
26 September 2006 CSA Request for Comment More...
23-103 - Electronic Trading
05 May 2015 Companion Pollicy (Consolidation up to 5 May 2015) More...
05 May 2015 Changes to 23-103CP More...
01 March 2014 Companion Policy (Consolidated up to 1 March 2014) More...
01 March 2014 National Instrument (Consolidated up to 1 March 2014) More...
01 March 2014 Amendment Instrument to NI 23-103 More...
04 July 2013 CSA Notice of Amendments to NI 23-103 More...
01 March 2013 National Instrument More...
01 March 2013 Companion Policy More...
14 August 2012 Ministerial Consent More...
08 April 2011 CSA Notice and Request for Comment - Proposed National Instrument 23-103 Electronic Trading and Direct Electronic Access to Marketplaces More...
23-302 - Electronic Audit Trail Initiative (TREAT)
25 April 2005 Electronic Audit Trail Initiative (TREAT) More...
23-303 - Update on Concept Paper 23-402 Best execution and soft dollar arrangements
11 January 2006 Update on Concept Paper 23-402 Best execution and soft dollar arrangements More...
23-304 - Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)
17 March 2006 Status of the Transaction Reporting and Electronic Audit Trail System (TREATS) More...
23-305 - Status of the Transaction Reporting and Electronic Audit Trail System (TREATS) (Withdrawn)
25 October 2006 Status of the Transaction Reporting and Electronic Audit Trail System (TREATS) More...
23-306 - Status of the transaction reporting and electronic audit trail system (TREATS)
09 January 2009 Status of the transaction reporting and electronic audit trail system (TREATS) More...
23-307 - Canadian Securities Administrators' Staff Notice 23-307 - Order Protection Rule - Implementation Milestones (Withdrawn)
19 February 2010 CSA Staff Notice 23-307 - Order Protection Rule - Implementation Milestones More...
23-308 - CSA/IIROC Joint Staff Notice 23-308 - Update on Forum to Discuss CSA/IIROC Joint Consultation Paper 23-404
28 May 2010 CSA/IIROC Joint Staff Notice 23-308 - Update on Forum to Discuss CSA/IIROC Joint Consultation Paper 23-404 More...
23-309 - CSA Staff Notice 23-309 - Frequently Asked Questions About the Order Protection Rule and Intentionally Locked or Crossed Markets - Part 6 of NI 23-101 & 23-101CP
23-311 - Joint CSA/IIROC Staff Notice 23-311 - Regulatory Approach to Dark Liquidity in the Canadian Market
23-312 - CSA and IIROC Joint Notice and Request for Comment 23-312 - Transparency of Short Selling and Failed Trades
02 March 2012 CSA and IIROC Joint Notice and Request for Comment 23-312 - Transparency of Short Selling and Failed Trades More...
23-314 - CSA Staff Notice 23-314 - Frequently Asked Questions About National Instrument 23-103 Electronic Trading
20 December 2012 CSA Staff Notice 23-314 - Frequently Asked Questions About National Instrument 23-103 Electronic Trading More...
23-315 - CSA/IIROC Notice 23-315 - Summary of Comments on CSA/IIROC Notice 23-312 Request for Comments – Transparency of Short Selling and Failed Trades
28 February 2013 CSA/IIROC Notice 23-315 - Summary of Comments on CSA/IIROC Notice 23-312 Request for Comments – Transparency of Short Selling and Failed Trades More...
23-316 - CSA Staff Notice 23-316 Order Protection Rule: Implementation of the Market Share Threshold and Amendments to 23-101CP
23-317 - CSA Staff Notice 23-317 Order Protection Rule: Market Share Threshold for the period April 1, 2017 to March 31, 2018
23-318 - CSA Staff Notice 23-318 - Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under National Instrument 23-101 Trading Rules
23-319 - Joint CSA/IIROC Staff Notice 23-319 Internalization in the Canadian Market
05 December 2017 Joint CSA/IIROC Staff Notice 23-319 Internalization in the Canadian Market More...
23-320 - CSA Staff Notice 23-320 Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada
14 December 2017 CSA Staff Notice 23-320 Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada More...
23-321 - CSA Staff Notice 23-321 Order Protection Rule: Market Share Threshold for the period April 1, 2018 to March 31, 2019
23-322 - CSA Staff Notice 23-322 Trading Fee Rebate Pilot Study
16 March 2018 CSA Staff Notice 23-322 Trading Fee Rebate Pilot Study More...
23-403 - Market Structure Developments and Trade-Through Obligations
22 July 2005 Discussion Paper More...
23-404 - Joint CSA/IIROC Consultation Paper 23-404 - Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada
05 March 2010 Joint CSA/IIROC Notice - Forum to Discuss Consultation Paper 23-404 More...
30 September 2009 Joint CSA/IIROC Consultation Paper 23-404 - Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada More...
23-405 - Joint CSA/IIROC - Position Paper 23-405 - Dark Liquidity in the Canadian Market
19 November 2010 Joint CSA/IIROC - Position Paper 23-405 - Dark Liquidity in the Canadian Market More...
23-501 - Blanket Order 23-501 - Exemptions From National Instrument 23-103
18 December 2012 Blanket Order 23-501 - Exemptions From National Instrument 23-103 More...
24-101 - Institutional Trade Matching and Settlement
05 September 2017 Companion Policy (Consolidated up to 5 September 2017) More...
05 September 2017 National Instrument (Consolidated up to 5 September 2017) More...
05 September 2017 Changes to 24-101CP More...
05 September 2017 Amendment Instrument to NI 24-101 More...
27 April 2017 CSA Notice Amendments to NI 24-101 and Changes to 24-101CP More...
18 August 2016 Notice and Request for Comments – Proposed Amendments to NI 24-101, Proposed Changes to 24-101CP and CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment More...
11 January 2015 Amendment Instrument to NI 24-101 More...
22 September 2014 National Instrument (Consolidated up to 22 September 2014) More...
22 September 2014 Amendments to NI 24-101 More...
06 May 2011 CSA Staff Notice 24-305 - Frequently Asked Questions About National Instrument 24-101 - Institutional Trade and 24-101CP More...
01 July 2010 Companion Policy (Consolidated up to 1 July 2010) More...
01 July 2010 National Instrument (Consolidated up to 1 July 2010) More...
09 June 2010 Amendment Instrument to 24-101CP More...
09 June 2010 Amendment Instrument to NI 24-101 More...
09 June 2010 Ministerial Consent More...
16 April 2010 CSA Notice of Amendments - National Instrument 24-101 Institutional Trade Matching and Settlement and Companion Policy 24-101CP More...
30 October 2009 CSA Notice and Request for Comments - Proposed Amendments to National Instrument 24-101 Institutional Trade Matching and Settlement and 24-101CP More...
28 September 2009 Amendment Instrument to 24-101CP More...
28 September 2009 Amendment Instrument to NI 24-101 More...
04 April 2008 Blanket Order 24-501 - Extending the Transitional Phase-in Period in National Instrument 24-101 - Institutional Trade Matching and Settlement More...
04 April 2008 CSA Notice 24-307 - Exemption from Transitional Rule: Extension of Transitional Phase-in Period in National Instrument 24-101 - Institutional Trade Matching and Settlement More...
01 February 2008 CSA Staff Notice 24-306 - National Instrument 24-101 Institutional Trade Matching and Settlement - Exception Reporting More...
14 December 2007 CSA Staff Notice 24-305 - Frequently Asked Questions About National Instrument 24-101 Institutional Trade Matching and Settlement and Related Companion Policy More...
06 July 2007 CSA Staff Notice 24-304 - CSA-Industry Working Group on National Instruement 24-101 - Institutional Trade Matching and Settlement More...
26 March 2007 Companion Policy More...
26 March 2007 National Instrument More...
26 March 2007 Ministerial Consent More...
03 March 2006 CSA Notice 24-302-Entitlement Payments to The Canadian Depository for Securities Limited (CDS) More...
03 March 2006 Companion Policy More...
03 March 2006 National Instrument More...
03 March 2006 CSA Request for Comment More...
24-102 - Clearing Agency Requirements
18 October 2018 CSA Notice and Request for Comment - Proposed Amendments to National Instrument 24-102 More...
03 June 2016 Companion Policy (Consolidated up to 3 June 2016) More...
03 June 2016 Notice of Changes to 24-102CP More...
17 February 2016 Companion Policy More...
17 February 2016 National Instrument More...
09 February 2016 Ministerial Consent More...
03 December 2015 Notice of Approval NI 24-102 and 24-102CP to NI 24-102 and Notice and Request for Comments Proposed Amendments to 24-102CP to NI 24-102 More...
27 November 2014 Notice and Request for Comment - Proposed National Instrument 24-102 Clearing Agency Requirements and Related Companion Policy 24-102CP More...
24-301 - Responses to comments received on Discussion Paper 24-401 on Straight-Through Processing
22 February 2005 Responses to comments received on Discussion Paper 24-401 on Straight-Through Processing More...
24-302 - Entitlement Payments to The Canadian Depository for Securities Limited (CDS)
03 March 2006 Entitlement Payments to The Canadian Depository for Securities Limited (CDS) More...
24-304 - CSA-Industry Working Group on National Instrument 24-101 – Institutional Trade Matching and Settlement
06 July 2007 CSA-Industry Working Group on National Instrument 24-101 - Institutional Trade Matching and Settlement More...
24-305 - Frequently Asked Questions About National Instrument 24-101 Institutional Trade Matching and Settlement and Related Companion Policy
14 December 2007 Frequently Asked Questions About National Instrument 24-101 Institutional Trade Matching and Settlement and Related Companion Policy More...
24-306 - National Instrument 24-101 Institutional Trade Matching and Settlement - Exception Reporting
01 February 2008 National Instrument 24-101 Institutional Trade Matching and Settlement - Exception Reporting More...
24-307 - Exemption from Transitional Rule: Extension of Transitional Phase-in Period in National Instrument 24-101 - Institutional Trade Matching and Settlement (Withdrawn)
04 April 2008 Exemption from Transitional Rule: Extension of Transitional Phase-in Period in National Instrument 24-101 - Institutional Trade Matching and Settlement More...
24-309 - Publication of Clearing Agency Requirements in Ontario, Quebec and Manitoba
18 December 2013 CSA Multilateral Staff Notice 24-309 Publication of Clearing Agency Requirements in Ontario, Quebec and Manitoba More...
24-310 - CSA Staff Notice 24-310 Status Update on Proposed Local Rules 24-503 Clearing Agency Requirements and Related Companion Policies
17 July 2014 CSA Staff Notice 24-310 Status Update on Proposed Local Rules 24-503 Clearing Agency Requirements and Related Companion Policies More...
24-312 - CSA Staff Notice 24-312 Preparing for the Implementation of T+2 Settle