Distribution Requirements [41-101 - 47-302]

Securities Law & Policy
Items with a dark grey background, are archived.
Instrument Number
Title
41-101
General Prospectus Requirements [NI]
41-201
Income Trusts and Other Indirect Offerings [National Policy]
41-305
Share Structure Issues – Initial Public Offerings [CSA Notice]
41-306
IFRS Transition - Prospectus Issues [CSA Notice]
41-307
Concerns Regarding An Issuer's Financial Condition And The Sufficiency Of Proceeds From A Prospectus Offering (Revised) [CSA Notice]
43-101
Standards of Disclosure for Mineral Projects [NI]
43-306
Technical Reports Filed for Prospectus Offerings [CSA Notice]
43-309
Review of Website Investor Presentations by Mining Issuers [CSA Notice]
43-310
Confidential Pre-File Review of Prospectuses (for non-investment fund issuers) [CSA Notice]
43-311
Review of Mineral Resource Estimates in Technical Reports [CSA Notice]
43-401
Consultation Paper on National Instrument 43-101 Standards of Disclosure for Mineral Projects
44-101
Short Form Prospectus Distributions [NI]
44-102
Shelf Distributions [NI]
44-103
Post-Receipt Pricing [NI]
44-304
Linked Notes Distributed Under Shelf Prospectus System [CSA Notice]
44-305
2015 Update - Structured Notes Distributed Under the Shelf Prospectus System [CSA Notice]
44-306
Exempting Well-known Seasoned Issuers from Certain Prospectus Requirements [CSA Notice]
44-501
Exemption from Certain Prospectus Requirements for Well-known Seasoned Issuers - Varied [Blanket Order]
45-102
Resale of Securities [NI]
45-106
Prospectus Exemptions [NI]
45-107
Listing Representation and Statutory Rights of Action Disclosure Exemptions [MI]
45-108
Multilateral Instrument 45-108 Crowdfunding [MI]
45-110
Start-Up Crowdfunding Registration and Prospectus Exemptions [NI]
45-307
Regulatory Developments Regarding Securitization [CSA Notice]
45-308
Guidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 Prospectus Exemptions (Revised) [CSA Notice]
45-309
Guidance for Preparing and Filing an Offering Memorandum under NI 45-106 Prospectus and Registration Exemptions - Revised [CSA Notice]
45-314
Updated List of Current CSA Exempt Market Initiatives [CSA Notice]
45-318
Prospectus Exemption for Certain Distributions through an Investment Dealer [CSA Notice]
45-320
Exemptions for Certain Foreign Issuers from the Requirement to Identify Purchasers as Registrants or Insiders in Reports of Exempt Distribution [CSA Notice]
45-321
Frequently Asked Questions about the Investment Dealer Prospectus Exemption [CSA Notice]
45-322
Potential Concerns with the Structure of Rights Offerings [CSA Notice]
45-323
Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions (Revised) [CSA Notice]
45-325
Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts [CSA Notice]
45-329
Guidance for Using the Start-up Crowdfunding Registration and Prospectus Exemptions [CSA Notice]
45-330
Frequently Asked Questions about the Listed Issuer Financing Exemption [CSA Notice]
45-502
Trade with RESP [ASC Rule]
45-511
Local Prospectus Exemptions and Related Requirements [ASC Rule]
45-514
Certain Private Placements - Varied [Blanket Order]
45-516
Prospectus Exemptions for Retail Investors and Existing Security Holders [ASC Rule]
45-518
Form 45-106F1 - Exemption Regarding Certain Purchaser Information [Blanket Order]
45-538
Multilateral CSA Notice of Implementation Alberta and Saskatchewan Orders Self-Certified Investor Prospectus Exemption [Blanket Order]
45-539
Small Business Financing [Blanket Order]
45-701
Investment Fund Financial Statements Used in an Offering Memorandum [ASC Notice]
45-703
Report on the Use of the Family, Friends and Business Associates Prospectus Exemption [ASC Notice]
45-704
Report on Compliance with the Accredited Investor Prospectus Exemption [ASC Notice]
45-705
Compliance with Investment Limits under the Offering Memorandum Prospectus Exemption [ASC Notice]
46-201
Escrow for Initial Public Offerings [National Policy]
46-306
Third Update on Principal Protected Notes [CSA Notice]
46-307
Cryptocurrency Offerings [CSA Notice]
46-308
Securities Law Implications for Offerings of Tokens [CSA Notice]
46-309
Bail-in Debt [CSA Notice]
46-502
Exemption from section 3(2) of the Business Corporations Act (Alberta) [Blanket Order]
46-503
Revocation of Purchase [ASC Rule]
47-201
Trading Securities Using Internet and Other Electronic Means [National Policy]