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General Exemption Orders |
11-901 |
General Recognition Order |
Recognition Order |
July 7, 1998.
Amended September 5, 2003,
March 15, 2004, September 14, 2005, and May 29,
2006 |
Sets out the Commission's recognition of certain exchanges, jurisdictions and self-regulatory organizations under certain provisions of the Act. |
11-902 |
Recognition Order |
Recognition of the Investment Dealers Association of Canada |
July 17, 2000.
Amended April 17, 2003
|
Recognizes the Investment Dealers Association of Canada as a self-regulatory organization, subject to certain conditions. |
11-903 |
Recognition Order |
Recognition of the Mutual Fund Dealers Association of Canada |
Feb 13, 2001
Amended and restated on
April 16, 2004
|
Recognizes the Mutual Fund Dealers Association of Canada as a self-regulatory organization, subject to certain terms and conditions. |
11-703 |
Saskatchewan Staff Notice |
Amendment to GRO
11-903 Recognition of MFDA to extend suspension
of MFDA Rule 2.4.1 |
November 20, 2007 |
Gives notice that GRO 11-903
Recognition of the MFDA was amended to extend the
suspension of MFDA Rule 2.4.1 from December 31, 2006 to
December 31, 2008. |
11-904 |
Approval Order |
Approval of the Canadian Investor Protection Fund |
September 13, 2002 |
Approves the Canadian Investor Protection Fund pursuant to section 23(1) of The Securities Regulations on certain conditions. |
11-905 |
Approval Order |
Approval of the Mutual
Fund Dealers Association Investor Protection Corporation |
May 12, 2005.
Amended August 28, 2006. |
Approves the MFDA Investor Protection
Corporation pursuant to section 23(1) of The Securities Regulations on certain conditions. |
11-906 |
Specification Order |
Offering Memorandum
Specification Order |
June 1, 2006 |
Specifies the documents that are not offering memoranda
pursuant to subclause 2(1)(ff)(ii) of the Act. |
11-907 |
Designation Order |
Designation Order
Pursuant to Section 11.1 |
June 1, 2006 |
Designates Type B corporations under The Labour-sponsored
Venture Capital Corporations Act not to be mutual
funds or non-redeemable investment funds. |
21-901 |
General Exemption Order |
Market Facilitation
Activities by Issuers in Their Own Securities |
September 7, 2005 |
Grants the necessary exemptions to permit an issuer to
carry out certain activities that facilitate trades in
its own securities. |
31-901 |
General Exemption Order |
Advisors to Immigrant Investment Syndicates |
Apr 20, 1990. |
Varies certain registration requirements for advisers to immigrant investment syndicates on certain conditions. |
31-902 |
General Exemption Order |
Saskatchewan Small Business Security Issuers |
July 7, 1998.
Amended June 8, 2002. |
Varies certain registration requirements for certain securities issuers. |
32-901 |
General Exemption Order |
Direct Purchase Plans |
August 21, 2002 |
Grants an exemption permitting a reporting issuer (other than a mutual fund) and an administrator of the reporting issuer to trade in the issuer's own securities under a direct purchase plan, subject to certain conditions. |
33-901 |
General Exemption Order |
Suitability Requirements |
July 12, 2001 |
Exempts members of the Investment Dealers Association of Canada from the suitability requirements if they comply with certain IDA requirements. |
33-905 |
General Exemption Order |
Exemption from Certain
Provisions of Section 15 of Local Instrument 32-502
Requirements for Sale of Certain Securities |
Feb 23, 2005 |
Exempts managers doing a
suitability review of a labour-sponsored venture fund
security required by section 15 of Local Instrument
32-502 from the requirement to complete the Partners',
Directors' and Officers' Examination if they have
completed the Branch Managers' Course. |
35-901 |
General Exemption Order |
Non-Resident Registrants |
May 1, 2000. Amended
August 28, 2001, November 8, 2001, August 19, 2003
and Feb 23, 2005 |
Exempts investment
dealers and mutual fund dealers from the requirement to maintain a business office and books and records in Saskatchewan on certain conditions. Also exempts domestic advisers and international
advisers from the same requirements on certain conditions. |
41-901 |
General Exemption Order |
Use of Prospectus Complying with OSC Rule 41-501 Prospectus Requirements |
Dec 20, 2000. |
Exempts issuers from the requirements in the Act and Regulations as to the form and content of a prospectus, if they comply with the form and content requirements of OSC Rule 41-501. |
43-901 |
General Exemption Order |
Trade Unions Which Sponsor Labor Sponsored Venture Capital Corporations
|
Feb 5, 1997. |
Exempts trade unions which sponsor labour sponsored ventures capital offerings from signing the prospectus certificate on certain conditions. |
45-901 |
General Exemption Order |
Self-Directed Registered Education Savings Plans |
Oct 24, 1990. |
Grants registration and prospectus exemption to self-directed education savings plans approved under the Income Tax Act. |
45-902 |
General Exemption Order |
Introduction
Exemptions for Certain Trades by and to Labor-sponsored Venture Capital Corporations |
Sept 23, 1992.
Amended and restated January 5, 2005 |
Grants registration and prospectus exemptions to facilitate labour-sponsored venture capital offerings on certain conditions. |
45-906 |
General Exemption Order |
Rulings granted under Saskatchewan Policy Statement 45-601 - "Community Ventures - Section 83 Rulings" and Resale Restrictions in those Rulings |
July 17, 1997. |
Varies rulings granted to date under the Community Venture policy to relax the resale restrictions on securities acquired under those rulings. |
45-912 |
General Exemption Order |
Exemption for
Co-operatives and Credit Unions |
September 14, 2005 |
Grants prospectus and
registration exemptions to co-operatives and credit
unions that issue securities in accordance with The
Co-operative Act and The Credit Union Act, 1998. |
45-913 |
General Exemption Order |
Exemptions for Capital
Accumulation Plans |
October 21, 2005 |
Grants exemptions to permit
trades in securities of a mutual fund to a capital
accumulation plan or to a member of a capital
accumulation plan on certain conditions. |
45-914 |
General Exemption Order |
Exemptions for
Reinvestment Plans |
November 25, 2005 |
Grants on exemption from the
dealer registration and prospectus requirements for
trades of securities under dividend and distribution
reinvestment plans. Is similar to the exemption in
section 2.2 of NI 45-106 without the restriction that
the securities traded must be of the same class that the
dividend or distribution was paid on. |
45-915 |
General Exemption Order |
Exemptions for
Certain Supranational Agencies |
May 4, 2006 |
Grants an exemption from the
dealer registration and prospectus requirements for
trades in debt security of or guaranteed by the African
Development Bank, the Caribbean Development Bank and the
European Bank for Reconstruction and Development. |
45-916 |
General Exemption Order |
Exemption for
Solicitations of Expressions of Interest |
May 25, 2006 |
Grants an exemption to
permit solicitations of expressions of interest before
the filing of a prospectus for securities to be issued
pursuant to over-allotment options, on specified
conditions. |
45-917 |
General Exemption Order |
Filing
Requirements for Amended Offering Memoranda |
September 29, 2006. |
Grants an exemption to issuers from the
requirement in clause 80.1(3)(b) of
the
Act to file an amended
offering memorandum on or before the tenth day of the
amendment on specified conditions. |
48-901 |
General Exemption Order |
Listing Representations |
June 16, 1998. |
Grants exemptions on certain conditions from the prohibition in subsection 44(3) of the Act against listing representations. |
51-901 |
General Exemption Order |
Exemption Orders made Pursuant to Parts XI, II and XIII of the Act |
Nov 7, 1988.
Amended March 30, 2004. |
Makes exemption orders from the continuous disclosure requirements under the former Act uniform. |
51-904 |
General Exemption Order |
Curing Issuers' Defaults of Reporting Obligations |
Jan 22, 2001
Amended July 7, 2004
Amended January 1, 2006
|
Orders that reporting issuers that have been in default of their continuous disclosure reporting obligations are deemed not to be in default if they meet certain conditions. |
51-905 |
General Exemption Order |
Varying
the Terms of Previously Granted Orders |
March 30, 2004 |
Varies the terms of rulings
previously granted by the Commission which impose
continuous disclosure requirements on issuers. |
51-906 |
General Exemption Order |
Exemption
from Certain Continuous Disclosure Requirements under NI
51-102 Continuous Disclosure Obligations |
March 30, 2004 |
Exempts certain issuers from certain financial reporting requirements
under NI 51-102 on certain conditions. |
51-907 |
General Exemption Order |
Venture
Issuers
Trading on Certain Foreign Markets |
March 30, 2004.
Amended Feb 15, 2005 |
Grants an exemption from the
requirement in the definition of "venture
issuer" in NI 51-102 that a reporting issuer
not have any of its securities listed on a marketplace
outside of Canada or the US. |
51-908 |
General Exemption Order |
Exemption
from Interim Periods in Non-Standard Financial Years |
November 1, 2004
|
Grants an exemption from the
requirement to file financial statements for interim
periods ending 9, 6 and 3 months before the end of its
financial to issuers that have non-standard financial
years. |
51-705 |
Staff Notice |
National
Instrument 51-102 - Definition of "Interim
Period" - GRO 51-908 |
November 1, 2004
|
Provides background to GRO
51-908. |
51-909 |
General Exemption Order |
Waiver of Continuous
Disclosure Requirements for Issuers That Have Made
Offerings Under the Qualified Investor Exemption |
August 26, 2005 |
Waives the continuous
disclosure requirements that apply to issuers that have
made offerings under the Qualified Investor Exemption
under clauses 39(1)(y) and 81(1)(s) of the Act. |
52-904 |
General Exemption Order |
Certain Issuers Ceasing
to be Reporting Issuers in Reorganizations and Take-over
Bids |
Feb 23, 2005.
Amended March 17, 2005.
Amended June 1, 2006 |
Grants an order pursuant to
section 92 of the Act that an issuer that becomes a
reporting issuer under clause 2(1)(qq) when it files a
securities exchange take-over bid or is involved in a
reorganization, ceases to be a reporting issuer if it is
a wholly owned subsidiary of another issuer or has not
issued
securities that are held by the public. |
55-905 |
General Exemption Order |
Insider Trading Reports |
June 9, 2003
Amended Jan 1, 2005 |
Grants certain exemptions from the insider reporting requirements. |
61-901 |
General Exemption Order |
Exemption from Valuation Requirement in Certain Take-over Bids |
Feb 8, 2002 |
Exempts offerors from the valuation requirements in subsection 146(1) of The Securities Regulations if those requirements arise solely because the offeror anticipates that a going private transaction will follow the take-over bid. |
72-901 |
General Exemption Order |
Trades
to Purchasers Outside of Saskatchewan
|
March 30, 2004 |
Grants exemptions from the
registration and prospectus requirements for trades by
issuers of their own securities to purchasers outside of
Saskatchewan, subject to certain conditions. |
91-902 |
General Exemption Order |
The Toronto Futures Exchange
|
Nov 7, 1988. |
Exempts trades in specified futures contracts entered into on the Toronto Futures Exchange and cleared through a specified clearing corporation from the registration and prospectus requirements on certain conditions. |
91-903 |
General Exemption Order |
Trading on the Toronto Futures Exchange of Toronto Stock Exchange Spot Index Contracts
|
Nov 7, 1988. |
Exempts trades in specified contracts entered into on the Toronto Futures Exchange and settled in cash from the registration and prospectus requirements on certain conditions. |
91-904 |
General Exemption Order |
Trades in Government Warrants |
June 11, 1990. |
Exempts trades in specified Government Warrants from the registration and prospectus requirements on certain conditions. |
91-905 |
General Exemption Order |
Certain Interests in Government Securities |
Nov 7, 1988. |
Exempts trades in certain interest in government securities from the registration and prospectus requirements on certain conditions. |
91-906 |
General Exemption Order |
Strip Bonds |
June 6, 2002 |
Exempts trades in strip bonds from the registration and prospectus requirements provided that first-time purchasers are given a disclosure document that contains specified information and is approved by the Director. |