Regulatory Instrument Details
45-106 Prospectus Exemptions [NI]
45-106
Number
Title
Regulatory Instrument Type
Date Type
Date
45-106
Prospectus Exemptions - Consolidated Version
As Amended - National Instrument - 09/13/2023
National Instrument
As Amended
09/13/2023
Schedule 1 to 45-106F1 (Excel Template)
Confidential Purchaser Information
Effective - Miscellaneous - 09/20/2021
Miscellaneous
Effective
09/20/2021
Schedule 2 to 45-106F1 (Excel Template)
Confidential Director, Executive Officer, Promoter and Control Person Information
Effective - Miscellaneous - 06/30/2016
Miscellaneous
Effective
06/30/2016
45-106F2
Offering Memorandum for Non-Qualifying Issuers
As Amended - Form - 03/08/2023
Form
As Amended
03/08/2023
45-106F3
Offering Memorandum for Qualifying Issuers - Consolidated Version
As Amended - Form - 06/09/2023
Form
As Amended
06/09/2023
45-106F4
Risk Acknowledgement - Consolidated Version
As Amended - Form - 03/08/2023
Form
As Amended
03/08/2023
Sched 1 and 2 to 45-106F4
Schedule 1 Classification of Investors / Schedule 2 Investment Limits for Investors
Effective - Miscellaneous - 04/30/2016
Miscellaneous
Effective
04/30/2016
45-106F5
Risk Acknowledgement Saskatchewan Close Personal Friends and Close Business Associates
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
45-106F7
Information Memorandum for Short-term Securitized Products Distributed under Section 2.35.1
Effective - Form - 05/05/2015
Form
Effective
05/05/2015
45-106F8
Monthly Disclosure Report for Short-term Securitized Products Distributed under Section 2.35.1
Effective - Form - 05/05/2015
Form
Effective
05/05/2015
45-106F9
Form for Individual Accredited Investors
Effective - Form - 05/05/2015
Form
Effective
05/05/2015
45-106F12
Ontario Risk Acknowledgement Form for Family, Friend and Business Associate Investors
Effective - Form - 06/16/2016
Form
Effective
06/16/2016
45-106F14
Rights Offering Notice for Reporting Issuers - Consolidated Version
As Amended - Form - 06/09/2023
Form
As Amended
06/09/2023
45-106F15
Rights Offering Circular for Reporting Issuers - Consolidated Version
As Amended - Form - 06/09/2023
Form
As Amended
06/09/2023
45-106F17
NB, NS & ON Notice of Specified Key Events
Effective - Form - 04/30/2016
Form
Effective
04/30/2016
45-106F18
Supplemental Offering Memorandum Disclosure for Syndicated Mortgages - Consolidation Version
As Amended - Form - 03/08/2023
Form
As Amended
03/08/2023
45-106F19
Listed Issuer Financing - Consolidated Version
As Amended - Form - 06/09/2023
Form
As Amended
06/09/2023
45-106CP
Companion Policy to NI 45-106 - Consolidated Version
As Changed - Companion Policy - 06/09/2023
Companion Policy
As Changed
06/09/2023
Proposed Amendments Related to 45-106
Number
Title
Regulatory Instrument Type
Date Type
Date
45-106
Proposed Amendments to NI 45-106 (arising from NI 51-102)
Published - Proposed Amendments to Instrument - 05/20/2021
Proposed Amendments to Instrument
Published
05/20/2021
45-106CP
Proposed Changes to 45-106 CP (arising from NI 51-102)
Published - Proposed Changes to Policy - 05/20/2021
Proposed Changes to Policy
Published
05/20/2021
Number
Title
Regulatory Instrument Type
Status
Date
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations - Consolidated Version
As Amended - National Instrument - 09/13/2023
National Instrument
As Amended
09/13/2023
45-102
Resale of Securities - Consolidated Version
As Amended - National Instrument - 06/09/2023
National Instrument
As Amended
06/09/2023
45-330
Frequently Asked Questions about the Listed Issuer Financing Exemption
Published - CSA Notice - 06/01/2023
CSA Notice
Published
06/01/2023
45-309
Guidance for Preparing and Filing an Offering Memorandum under National Instrument 45-106 Prospectus Exemptions - Revised Version
Published - CSA Notice - 03/08/2023
CSA Notice
Published
03/08/2023
13-101
System for Electronic Document Analysis and Retrieval (SEDAR) - Consolidated Version
As Amended - National Instrument - 11/21/2022
National Instrument
As Amended
11/21/2022
Multilateral Notice Order 45-539 Small Business Financing
Published - CSA Notice - 09/01/2021
CSA Notice
Published
09/01/2021
Request for Comment Proposed Amendments to NI 51-102 and Other Amendments and Changes Relating to Annual and Interim Filings of Non-Investment Fund Reporting Issuers and Seeking Feedback on a Proposed Framework (includes comment letters received)
Published - CSA Notice - 05/20/2021
CSA Notice
Published
05/20/2021
Notice of Implementation Alberta and Saskatchewan Orders - Self-Certified Investor Prospectus Exemption
Published - CSA Notice - 03/31/2021
CSA Notice
Published
03/31/2021
45-328
Withdrawn - Update on Amendments relating to Syndicated Mortgages: NI 31-103 and NI 45-106
Published - CSA Notice - 02/25/2021
CSA Notice
Published
02/25/2021
11-342
Notice of Local Amendments and Changes in Certain Jurisdictions
Published - CSA Notice - 08/06/2020
CSA Notice
Published
08/06/2020
81-507
Extension of Certain Filing, Delivery and Prospectus Renewal Requirements for Investment Funds with Deadlines During the Period from June 2 to September 30, 2020
Effective - Blanket Order - 05/20/2020
Blanket Order
Effective
05/20/2020
81-505
Extension of Certain Filing, Delivery and Prospectus Renewal Requirements for Investment Funds
Effective - Blanket Order - 03/23/2020
Blanket Order
Effective
03/23/2020
45-705
Compliance with Investment Limits under the Offering Memorandum Prospectus Exemption
Published - ASC Notice - 01/16/2020
ASC Notice
Published
01/16/2020
45-704
Report on Compliance with the Accredited Investor Prospectus Exemption
Published - ASC Notice - 10/03/2019
ASC Notice
Published
10/03/2019
45-320
Withdrawn - Exemptions for Certain Foreign Issuers from the Requirement to Identify Purchasers as Registrants or Insiders in Reports of Exempt Distribution
Withdrawn - CSA Notice - 03/07/2019
CSA Notice
Withdrawn
03/07/2019
45-325
Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts
Published - CSA Notice - 02/07/2019
CSA Notice
Published
02/07/2019
45-308
Guidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 Prospectus Exemptions - Revised Version
Published - CSA Notice - 10/04/2018
CSA Notice
Published
10/04/2018
45-323
Update on Use of the Rights Offering Exemption in NI 45-106 Prospectus Exemptions - Revised Version
Published - CSA Notice - 07/26/2018
CSA Notice
Published
07/26/2018
45-703
Report on the Use of the Family, Friends and Business Associates Prospectus Exemption
Published - ASC Notice - 11/28/2017
ASC Notice
Published
11/28/2017
45-322
Potential Concerns with the Structure of Rights Offerings
Published - CSA Notice - 01/12/2017
CSA Notice
Published
01/12/2017
45-518
Form 45-106F1 - Exemption Regarding Certain Purchaser Information
Effective - Blanket Order - 06/30/2016
Blanket Order
Effective
06/30/2016
2016 ABASC 91
Designation of Investment Funds as Reporting Issuers for Certain Purposes, 2016 ABASC 91
Effective - Revocation Order - 04/30/2016
Revocation Order
Effective
04/30/2016
45-701
Investment Fund Financial Statements Used in an Offering Memorandum
Published - ASC Notice - 04/30/2016
ASC Notice
Published
04/30/2016
ABASC 974
OM Exemptions Non-Reporting Issuers - Confidentiality Order
Effective - SLP Miscellaneous - 04/30/2016
SLP Miscellaneous
Effective
04/30/2016
45-304
Notice of Local Exemptions Related to NI 45-106 and NI 31-103
Published - CSA Notice - 05/21/2015
CSA Notice
Published
05/21/2015
45-314
Consolidated List of Current CSA Exempt Market Initiatives
Published - CSA Notice - 03/20/2014
CSA Notice
Published
03/20/2014
45-511
Local Prospectus Exemptions and Related Requirements
Effective - ASC Rule - 06/04/2010
ASC Rule
Effective
06/04/2010
2005 ABASC 849
Exemption for trades in certain capital accumulation plans
Effective - Blanket Order - 10/21/2005
Blanket Order
Effective
10/21/2005
Number
Title
Regulatory Instrument Type
Status
Date
45-106
Amendments to NI 45-106 (arising from NI 14-101)
Effective - Amendments to Instrument - 09/13/2023
Amendments to Instrument
Effective
09/13/2023
45-106CP
Changes to 45-106CP (arising from NI 13-103)
Effective - Changes to Policy - 06/09/2023
Changes to Policy
Effective
06/09/2023
45-106
Amendments to NI 45-106 (arising from NI 13-103)
Effective - Amendments to Instrument - 06/09/2023
Amendments to Instrument
Effective
06/09/2023
45-106
Amendments to NI 45-106
Effective - Amendments to Instrument - 03/08/2023
Amendments to Instrument
Effective
03/08/2023
45-106CP
Changes to 45-106CP
Effective - Changes to Policy - 03/08/2023
Changes to Policy
Effective
03/08/2023
Amendments to NI 45-106 relating to the Offering Memorandum Prospectus Exemption
Published - CSA Notice - 12/08/2022
CSA Notice
Published
12/08/2022
45-106
Amendments to NI 45-106
Effective - Amendments to Instrument - 11/21/2022
Amendments to Instrument
Effective
11/21/2022
45-106CP
Changes to 45-106CP
Effective - Changes to Policy - 11/21/2022
Changes to Policy
Effective
11/21/2022
Amendments to NI 45-106 to Introduce the Listed Issuer Financing Exemption
Published - CSA Notice - 09/08/2022
CSA Notice
Published
09/08/2022
45-106
Amendment to NI 45-106 (arising from NI 81-102)
Effective - Amendments to Instrument - 01/05/2022
Amendments to Instrument
Effective
01/05/2022
Request for Comment Proposed Amendments to NI 45-106 to introduce the Listed Issuer Financing Exemption (includes comment letters received)
Published - CSA Notice - 07/28/2021
CSA Notice
Published
07/28/2021
45-106F18
Supplemental Offering Memorandum Disclosure for Syndicated Mortgages
Effective - Form - 03/01/2021
Form
Effective
03/01/2021
45-106
Amendments to NI 45-106
Effective - Amendments to Instrument - 03/01/2021
Amendments to Instrument
Effective
03/01/2021
45-106CP
Changes to 45-106CP
Effective - Changes to Policy - 03/01/2021
Changes to Policy
Effective
03/01/2021
Request for Comment Proposed Amendments to NI 45-106 relating to the Offering Memorandum Prospectus Exemption (includes comment letters received)
Published - CSA Notice - 09/17/2020
CSA Notice
Published
09/17/2020
Amendments to NI 45-106 and NI 31-103 and Changes to related Companion Policies relating to Syndicated Mortgages
Published - CSA Notice - 08/06/2020
CSA Notice
Published
08/06/2020
45-326
Update on Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages
Published - CSA Notice - 12/11/2019
CSA Notice
Published
12/11/2019
Second Notice and Request for Comment Proposed Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages (includes comment letters received)
Published - CSA Notice - 03/15/2019
CSA Notice
Published
03/15/2019
45-106
Amendments to NI 45-106
Effective - Amendments to Instrument - 10/05/2018
Amendments to Instrument
Effective
10/05/2018
45-106CP
Changes to 45-106CP
Effective - Changes to Policy - 10/05/2018
Changes to Policy
Effective
10/05/2018
Amendments to NI 45-106 and Changes to 45-106CP
Published - CSA Notice - 07/19/2018
CSA Notice
Published
07/19/2018
45-106
Amendments to NI 45-106 (arising from NI 44-101)
Effective - Amendments to Instrument - 06/12/2018
Amendments to Instrument
Effective
06/12/2018
Request for Comment Proposed Amendments to NI 45-106 and NI 31-103 (includes comment letters received)
Published - CSA Notice - 03/08/2018
CSA Notice
Published
03/08/2018
Request for Comment Proposed Amendments to NI 45-106 (includes comment letters received)
Published - CSA Notice - 06/08/2017
CSA Notice
Published
06/08/2017
45-106CP
Changes to 45-106CP
Effective - Changes to Policy - 06/30/2016
Changes to Policy
Effective
06/30/2016
45-106
Amendments to NI 45-106 (relating to Reports of Exempt Distribution)
Effective - Amendments to Instrument - 06/30/2016
Amendments to Instrument
Effective
06/30/2016
2011 ABASC 561
Designation of Investment Funds as Reporting Issuers for Certain Purposes
Revoked - Designation Order - 04/30/2016
Designation Order
Revoked
04/30/2016
Investment Fund Financial Statements used in an Offering Memorandum
Withdrawn - ASC Notice - 04/30/2016
ASC Notice
Withdrawn
04/30/2016
45-106F2
Offering Memorandum for Non-Qualifying Issuers - Consolidated Version
As Amended - Form - 04/30/2016
Form
As Amended
04/30/2016
45-106CP
Changes to 45-106CP relating to the Offering Memorandum Exemption
Effective - Changes to Policy - 04/30/2016
Changes to Policy
Effective
04/30/2016
45-106
Amendments to NI 45-106 relating to the Offering Memorandum Exemption
Effective - Amendments to Instrument - 04/30/2016
Amendments to Instrument
Effective
04/30/2016
Amendments to NI 45-106 relating to Reports of Exempt Distribution
Published - CSA Notice - 04/07/2016
CSA Notice
Published
04/07/2016
45-106F15
Rights Offering Circular for Reporting Issuers
Effective - Form - 12/08/2015
Form
Effective
12/08/2015
45-106CP
Changes to 45-106CP relating to Rights Offering
Effective - Changes to Policy - 12/08/2015
Changes to Policy
Effective
12/08/2015
45-106
Amendments to NI 45-106 relating to Rights Offering
Effective - Amendments to Instrument - 12/08/2015
Amendments to Instrument
Effective
12/08/2015
45-106F14
Rights Offering Notice for Reporting Issuers
Effective - Form - 12/08/2015
Form
Effective
12/08/2015
45-106
Amendments to NI 45-106 (arising from the recognition of Aequitas NEO Exchange Inc. as an Exchange)
Effective - Amendments to Instrument - 11/17/2015
Amendments to Instrument
Effective
11/17/2015
Amendments to NI 45-106 Prospectus Exemptions relating to the Offering Memorandum Exemption
Published - CSA Notice - 10/29/2015
CSA Notice
Published
10/29/2015
Amendments to NI 45-106, NI 41-101, NI 44-101, NI 45-102 and Repeal of NI 45-101 relating to Rights Offering
Published - CSA Notice - 09/24/2015
CSA Notice
Published
09/24/2015
Request for Comment Proposed Amendments to NI 45-106 relating to Reports of Exempt Distribution
Published - CSA Notice - 08/13/2015
CSA Notice
Published
08/13/2015
45-106
Amendments to NI 45-106 relating to the Short-term Debt Prospectus Exemption and Short-term Securitized Products
Effective - Amendments to Instrument - 05/05/2015
Amendments to Instrument
Effective
05/05/2015
45-106CP
Changes to 45-106CP relating to the Short-term Debt Prospectus Exemption and Short-term Securitized Products
Effective - Changes to Policy - 05/05/2015
Changes to Policy
Effective
05/05/2015
45-106
Amendments to NI 45-106 relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)
Effective - Amendments to Instrument - 05/05/2015
Amendments to Instrument
Effective
05/05/2015
45-106CP
Changes to 45-106CP relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
Effective - Changes to Policy - 05/05/2015
Changes to Policy
Effective
05/05/2015
Amendments to NI 45-106 relating to the Short-term Debt and Short-term Securitized Products
Published - CSA Notice - 02/19/2015
CSA Notice
Published
02/19/2015
Amendments to National Instrument 45-106 Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
Published - CSA Notice - 02/19/2015
CSA Notice
Published
02/19/2015
Request for Comment Proposed Amendments to NI 45-106, NI 41-101, NI 44-101, NI 45-102 and Proposed Repeal of NI 45-101
Published - CSA Notice - 11/27/2014
CSA Notice
Published
11/27/2014
45-106
Amendments to NI 45-106 (arising from NI 81-102)
Effective - Amendments to Instrument - 09/22/2014
Amendments to Instrument
Effective
09/22/2014
Proposed Amendments to NI 45-106 Prospectus and Registration Exemptions Relating to the Offering Memorandum Exemption (includes links to comment letters)
Published - CSA Notice - 03/20/2014
CSA Notice
Published
03/20/2014
Proposed Amendments to NI 45-106 Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
Published - CSA Notice - 02/27/2014
CSA Notice
Published
02/27/2014
Proposed Short-term Debt Prospectus Exemption Amendments and Proposed Securitized Products Amendments
Published - CSA Notice - 01/23/2014
CSA Notice
Published
01/23/2014
45-106
Amendments to NI 45-106 (arising from NI 25-101)
Effective - Amendments to Instrument - 05/31/2013
Amendments to Instrument
Effective
05/31/2013
45-310
Update on CSA Staff Consultation Note 45-401 Review of Minimum Amount and Accredited Investor Exemptions
Published - CSA Notice - 06/07/2012
CSA Notice
Published
06/07/2012
45-401
Review of Minimum Amount and Accredited Investor Exemptions
Published - Consultation Paper - 11/10/2011
Consultation Paper
Published
11/10/2011
45-106
Amendments to NI 45-106 (arising from amendments to NI 43-101)
Effective - Amendments to Instrument - 06/30/2011
Amendments to Instrument
Effective
06/30/2011
45-106F1
Amendments to 45-106F1
Effective - Amendments to Instrument - 05/01/2011
Amendments to Instrument
Effective
05/01/2011
45-106
Amendments to NI 45-106
Effective - Amendments to Instrument - 01/01/2011
Amendments to Instrument
Effective
01/01/2011
45-106CP
Changes to 45-106CP
Effective - Changes to Policy - 01/01/2011
Changes to Policy
Effective
01/01/2011
Notice of Amendments to NI 45-106
Published - CSA Notice - 10/01/2010
CSA Notice
Published
10/01/2010
45-305
Withdrawn - Frequently Asked Questions Regarding NI 45-106 Prospectus and Registration Exemptions
Withdrawn - CSA Notice - 02/19/2010
CSA Notice
Withdrawn
02/19/2010
Notice of Proposed Amendments to NI 45-106
Published - CSA Notice - 10/16/2009
CSA Notice
Published
10/16/2009
45-106
Prospectus and Registration Exemptions
Effective - National Instrument - 09/28/2009
National Instrument
Effective
09/28/2009
45-106F2
Offering Memorandum for Non-Qualifying Issuers
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
2005 ABASC 914
Revoked - Exemption for trades under dividend and distribution reinvestment plans
Revoked - Blanket Order - 09/28/2009
Blanket Order
Revoked
09/28/2009
2006 ABASC 1285
Revoked - Exemption for certain supranational agencies
Revoked - Blanket Order - 09/28/2009
Blanket Order
Revoked
09/28/2009
2007 ABASC 412
Expired - Certain MFDA Members: Traders in Non-Mutual Fund Securities
Expired - Blanket Order - 09/28/2009
Blanket Order
Expired
09/28/2009
45-106F3
Offering Memorandum for Qualifying Issuers
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
45-106CP
Companion Policy to NI 45-106
Effective - Companion Policy - 09/28/2009
Companion Policy
Effective
09/28/2009
2009 ABASC 437
Revocation of Certain Blanket Orders
Effective - Revocation Order - 09/28/2009
Revocation Order
Effective
09/28/2009
Notice of Repeal and Replacement of NI 45-106 and Notice of Amendments to NI 45-102
Published - CSA Notice - 07/17/2009
CSA Notice
Published
07/17/2009
2008 ABASC 325
Revocation of Certain Blanket Orders
Effective - Revocation Order - 05/28/2008
Revocation Order
Effective
05/28/2008
Notice and Request for Comments - Proposed repeal and replacement of NI 45-106 and Proposed amendments to NI 45-102
Published - CSA Notice - 02/29/2008
CSA Notice
Published
02/29/2008
45-106F2
Amendments to 45-106F2 (arising from repeal of NP 48)
Effective - Amendments to Instrument - 12/31/2007
Amendments to Instrument
Effective
12/31/2007
45-106F3
Amendments to 45-106F3 (arising from repeal of NP 48)
Effective - Amendments to Instrument - 12/31/2007
Amendments to Instrument
Effective
12/31/2007
2005 ABASC 739
Expired - Transitional Relief for Current Asset Purchase and Minimum Investment Exemptions
Expired - Blanket Order - 12/01/2005
Blanket Order
Expired
12/01/2005
Notice and Request for Comment for Amendments to NI 45-106
Published - CSA Notice - 10/21/2005
CSA Notice
Published
10/21/2005
45-507
Revoked - Offerings by TSX Venture Exchange Short Form Offering Document
Revoked - Blanket Order - 09/14/2005
Blanket Order
Revoked
09/14/2005
45-106CP
Companion Policy to NI 45-106
Effective - Companion Policy - 09/14/2005
Companion Policy
Effective
09/14/2005
45-106F2
Offering Memorandum for Non-Qualifying Issuers
Effective - Form - 09/14/2005
Form
Effective
09/14/2005
45-106F3
Offering Memorandum for Qualifying Issuers
Effective - Form - 09/14/2005
Form
Effective
09/14/2005
45-106F5
Risk Acknowledgement Saskatchewan Close Personal Friends and Close Business Associates
Effective - Form - 09/14/2005
Form
Effective
09/14/2005
Notice of NI 45-106 - Related Consequential Amendments
Published - CSA Notice - 07/08/2005
CSA Notice
Published
07/08/2005
Notice of NI 45-106 - Related Consequential Amendments
Published - ASC Notice - 07/08/2005
ASC Notice
Published
07/08/2005
Notice of Pending Implementation of NI 45-106 (including table of concordance)
Published - CSA Notice - 07/08/2005
CSA Notice
Published
07/08/2005
Notice of Proposed Repeals and Amendments to Alberta Securities Laws Related to Proposed NI 45-106
Published - ASC Notice - 12/17/2004
ASC Notice
Published
12/17/2004
Notice and Request for Comment of Proposed NI 45-106 (including table of concordance and comment letters received)
Published - CSA Notice - 12/17/2004
CSA Notice
Published
12/17/2004
Notice and Request for Comment re proposed consequential amendments relating to proposed NI 45-106
Published - CSA Notice - 12/17/2004
CSA Notice
Published
12/17/2004
45-507
Revoked - Offerings by TSXV (formerly CDNX) Short Form Offering Document
Revoked - Blanket Order - 03/30/2004
Blanket Order
Revoked
03/30/2004
ASC Notice of Blanket Order 45-507
Published - ASC Notice - 03/05/2004
ASC Notice
Published
03/05/2004
45-503
Offerings by CDNX Short Form Offering Document
Effective - Blanket Order - 04/30/2002
Blanket Order
Effective
04/30/2002
ASC Notice of Blanket Order 45-507
Published - ASC Notice - 04/30/2002
ASC Notice
Published
04/30/2002
News Releases Related to 45-106
Title
Date
Jul 28, 2021
Sep 17, 2020
Aug 06, 2020
Jan 09, 2020
Mar 15, 2019
Jun 08, 2017
Sep 29, 2016
Apr 07, 2016
Oct 29, 2015
Apr 26, 2012
Nov 10, 2011