• Avis règlementaire (pdf - 18 KB)This link will open in a new windowUpdated on December 17, 2015
• Projet de Règlement modifiant le Règlement 13-102 (pdf - 93 KB)This link will open in a new windowUpdated on December 17, 2015dépôt électronique

• Regulatory Notice (pdf - 18 KB)This link will open in a new windowUpdated on December 17, 2015
• Draft Regulation to Regulation 13-102 (pdf - 91 KB)This link will open in a new windowUpdated on December 17, 2015E-filing

• Regulatory Notice (pdf - 22 KB)This link will open in a new windowUpdated on November 4, 2015Crowdfunding
• Regulation to amend Regulation 45-102 (pdf - 14 KB)This link will open in a new windowUpdated on November 4, 2015Crowdfunding

• Regulatory Notice (pdf - 23 KB)This link will open in a new windowUpdated on October 22, 2015Offering Memorandum Exemption
• Regulation to amend Regulation 11-102 respecting Passport System (pdf - 19 KB)This link will open in a new windowUpdated on October 22, 2015"regulation,amend,11-102,passport,system"
• Regulation to amend Regulation 45-102 respecting Resale of Securities (pdf - 14 KB)This link will open in a new windowUpdated on October 22, 2015"regulation,amend,45-102,resale,securities"
• Regulation to amend Regulation 52-07 respecting Acceptable Accounting Principles and Auditing Standards (pdf - 15 KB)This link will open in a new windowUpdated on October 22, 2015"regulation,amend,52-107,Acceptable Accounting Principles,Auditing Standards"

• Regulatory notice (pdf - 21 KB)This link will open in a new windowUpdated on August 13, 2015Reports of Exempt Distributions
• Notice and Request for Comment (pdf - 655 KB)This link will open in a new windowUpdated on August 12, 2015Reports of Exempt Distribution
• Regulation to amend Regulation 45-106 respecting Prospectus Exemptions (pdf - 450 KB)This link will open in a new windowUpdated on August 12, 2015Reports of Exempt Distribution
• Amendments to Policy Statement to Regulation 45-106 respecting Prospectus Exemptions (pdf - 24 KB)This link will open in a new windowUpdated on August 12, 2015Report of Exempt Distribution

Comments received (comments are published in their original language)

• Alternative Investment Management Association (pdf - 7 MB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" - AIMA (Michael A. BurnsIan Pember et Jennifer Wainwright)
• Arrow Capital Management Inc. (pdf - 114 KB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" (Mark Kennedy)
• Borden Ladner (pdf - 106 KB)This link will open in a new windowUpdated on October 26, 2015 Gervais (Alfred Page, Rebecca Cowdery, Ron Kosonic, Michael Burns, Jason Brooks et Sarah Gardiner)
• Boyle + Co. LLP (pdf - 528 KB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" (Jim Boyle)
• Canadian institutional investors, British Columbia Investment Management Corporation, Canada Pension Plan Investment Board, Ontario Teachers’ Pension Plan Board and RBC Global Asset Management Inc., and U.S. broker-dealers, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated (The Group) (pdf - 47 KB)This link will open in a new windowUpdated on October 26, 2015
• Canadian Foundation for Advancement of Investor Rights (pdf - 432 KB)This link will open in a new windowUpdated on October 27, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" - FAIR (Neil Gross)
• Davies Ward Phillips & Vineberg LLP (pdf - 85 KB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" (Anthony Spadaro)
• Fonds de solidarité FTQ (pdf - 1 MB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" (Jodi Lackman et Maria Anagnostou)
• Invesco Canada Ltd. (pdf - 96 KB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" (Eric Adelson)
• Investment Industry Association of Canada (pdf - 157 KB)This link will open in a new windowUpdated on October 26, 2015 - IIAC (Susan Copland)
• National Exempt Market Association (pdf - 225 KB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" - NEMA (Craig Skauge et Cora Pettipas)
• Nicola Wealth Management (pdf - 429 KB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" (Danielle H. MacDonald)
• Nicola Wealth Management (pdf - 142 KB)This link will open in a new windowUpdated on October 27, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" (Danielle H. MacDonald) – 2e lettre
• Osler, Hoskin & Harcourt LLP (pdf - 464 KB)This link will open in a new windowUpdated on October 26, 2015
• Portfolio Management Association of Canada (pdf - 192 KB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" - PMAC (Katie Walmsley et Scott Mahaffy)
• Private Capital Markets Association of Canada (pdf - 296 KB)This link will open in a new windowUpdated on November 17, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" - PCMA (Brian Koscak et Geoffrey Ritchie)
• Prospectors & Developers Association of Canada (pdf - 594 KB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" - PDAC (Rodney N. Thomas)
• R.N. Croft Financial Group Inc. (pdf - 385 KB)This link will open in a new windowUpdated on October 26, 2015"consultation,projet,règlement modifiant le règlement 45-106,dispenses de prospectus,déclarations de placement,modification de l’instruction générale relative au règlement 45-106,déclaration de placement avec dispense harmonisée,marché dispensé,annexe 45-106A1,formulaire 45-106A1,45-106A1,projet d’annexe 45-106A10,projet d’annexe 45-106A11,comment, draft,regulation to amend regulation 45-106,prospectus exemption,reports of exempt distribution,amendments to policy statement to regulation 45-106,harmonized report of exempt distribution,exempt market,form 45-106F1,proposed form 45-106F10,proposed form 45-106F11,post-trade report,national instrument 45-106 amendments,NI 45-106 amendments,filings of exempt trades,report of exempt trade" (Kenneth Mulders)
• Stikeman Elliott (pdf - 173 KB)This link will open in a new windowUpdated on October 26, 2015 (Junaid K. Subhan, Alix d’Anglejan-Chatillon, Jeffrey Elliott, Ramandeep K. Grewal, Darin R. Renton, Simon A. Romano, Nicholas Badeen, Viviana Beltrametti Walker et Anne Ramsay)

• Notice and Request for comments (pdf - 364 KB)This link will open in a new windowUpdated on September 25, 2020Exchange-traded mutual funds and its delivery
• Regulation to amend Regulation 41-101 (pdf - 153 KB)This link will open in a new windowUpdated on June 17, 2015ETF
• Amendments to Policy Statement to Regulation 41-101 (pdf - 214 KB)This link will open in a new windowUpdated on June 17, 2015ETF
• Regulation to amend Regulation 81-106 respecting Investment Fund Continuous Disclosure (pdf - 14 KB)This link will open in a new windowUpdated on June 17, 2015ETF
• Amendments to Policy Statement to Regulation 81-106 (pdf - 15 KB)This link will open in a new windowUpdated on June 17, 2015ETF
   
• CSA Point of Sale Disclosure Project ETF Facts Document Testing (pdf - 3 MB)This link will open in a new windowUpdated on June 17, 2015ETF
  (Prepared by: Allen Research Corporation)

Comments received (comments are published in their original language)

• Kenmar Associates (pdf - 251 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Investor Advisory Panel (pdf - 364 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Broadridge Financial Solutions Inc. (pdf - 278 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Fidelity Investments (pdf - 229 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Advocis (pdf - 167 KB)This link will open in a new windowUpdated on September 17, 2015Réglement modifiant le Règlement 41-101
• Russell Investments (pdf - 242 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• BlackRock (pdf - 204 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Invesco (pdf - 91 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Investment Industry Association of Canada (pdf - 407 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Canadian Foundation for Advancement of Investor Rights (pdf - 651 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Canadian ETF Association (pdf - 357 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• RBC Global Asset Management (pdf - 526 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• TD Securities (pdf - 355 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Manulife Securities (pdf - 90 KB)This link will open in a new windowUpdated on September 17, 2015
• Osler, Hoskin & Harcourt (pdf - 549 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Investor (pdf - 215 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• Portfolio Management Association of Canada (pdf - 279 KB)This link will open in a new windowUpdated on September 17, 2015Règlement modifiant le Règlement 41-101
• The Investment Funds Institute of Canada (pdf - 222 KB)This link will open in a new windowUpdated on September 23, 2015Règlement modifiant le Règlement 41-101
• Small Investor Protection Association (pdf - 561 KB)This link will open in a new windowUpdated on November 5, 2015Règlement modifiant le Règlement 41-101
• Larry Elford (pdf - 125 KB)This link will open in a new windowUpdated on November 5, 2015

Regulatory Notice (pdf - 22 KB)This link will open in a new windowUpdated on June 29, 2015E-filing

Notice and Request for Comment (pdf - 105 KB)This link will open in a new windowUpdated on October 7, 2020E-filing

Draft Regulation to amend Regulation 13-101 (pdf - 45 KB)This link will open in a new windowUpdated on June 29, 2015e-filing

Draft Regulation to amend Regulation 13-102 (pdf - 39 KB)This link will open in a new windowUpdated on June 29, 2015E-filing

Comments received (comments are published in their original language)

• The Canadian Advocacy Council for Canadian Institute Societies (pdf - 30 KB)This link will open in a new windowUpdated on September 1^st, 2015Projet de réglement modifiant le Règlement 13-101 et Projet de règlement modifiant le Règlement 13-102
• National Exempt Market Association (pdf - 181 KB)This link will open in a new windowUpdated on September 1^st, 2015Projet de réglement modifiant le Règlement 13-101 et Projet de Règlement modifiant le Règlement 13-102
• Davies Ward Phillips & Vineberg LLP (pdf - 198 KB)This link will open in a new windowUpdated on September 1^st, 2015Projet de réglement modifiant le Règlement 13-101 et Projet de réglement modifiant le Règlement 13-102
• Private Capital Markets Association of Canada (pdf - 256 KB)This link will open in a new windowUpdated on September 1^st, 2015Projet de règlement modifiant le Règlement 13-101 et Projet de règlement modifiant le Règlement 13-102
• Stikeman Elliott (pdf - 79 KB)This link will open in a new windowUpdated on September 1^st, 2015Projet de règlement modifiant le Règlemetn 13-101 et Projet de règlement modifiant le Règlement 13-102

• Notice and Request for Comment (pdf - 89 KB)This link will open in a new windowUpdated on September 28, 2020Order Protection Rule
• Amendments to Policy Statement (pdf - 18 KB)This link will open in a new windowUpdated on June 12, 2015Order Protection Rule

Comments received (comments are published in their original language)

• Aequitas Neo Exchange (pdf - 158 KB)This link will open in a new windowUpdated on December 7, 2015
• The Canadian Advocacy Council for Canadian CFA Institute (pdf - 44 KB)This link will open in a new windowUpdated on December 7, 2015cac, cfa, systems, proposed, amendments, national, instrument, 23-101, order, protection, canadian advocacy council
• Chi-x Canada (pdf - 172 KB)This link will open in a new windowUpdated on December 7, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, trading, rule
• CIBC World Markets Inc. (pdf - 143 KB)This link will open in a new windowUpdated on December 7, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, rule, marketplaces
• KOR Group LLC (pdf - 290 KB)This link will open in a new windowUpdated on December 7, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, rule, opr, marketplaces
• Scotia Bank (pdf - 198 KB)This link will open in a new windowUpdated on December 7, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, rule, marketplaces, scotia bank
• RBC Global Asset Management (pdf - 1 MB)This link will open in a new windowUpdated on December 7, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, rbc, liquidity
• RBC Dominion Securities (pdf - 313 KB)This link will open in a new windowUpdated on December 8, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, rbc, speed bump,
• PI Financial (pdf - 829 KB)This link will open in a new windowUpdated on December 8, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, iiroc, best execution, delay, marketplace, hft
• Canadian Securities Traders Association (pdf - 541 KB)This link will open in a new windowUpdated on December 8, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, csta, market structure, buy-side
• National Bank Financial Markets (pdf - 460 KB)This link will open in a new windowUpdated on December 8, 2015Etienne Dubuc
• ITG Canada Corp. (pdf - 119 KB)This link will open in a new windowUpdated on December 8, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, rule, market, order processing delay, speed bump,
• Investment Industry Association of Canada (pdf - 179 KB)This link will open in a new windowUpdated on December 8, 2015
• TSX Markets (pdf - 74 KB)This link will open in a new windowUpdated on December 8, 2015systems, proposed, amendments, national, instrument, 23-101, order, protection, rule, delay

• Notice (pdf - 22 KB)This link will open in a new windowUpdated on June 23, 2015
• Regulation (pdf - 23 KB)This link will open in a new windowUpdated on June 23, 2015