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Local Instruments |
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33-501
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Registrants Selling Exempt Securities |
Repealed January 17, 2000. Replaced with Part 1 of Local Instrument 33-502. |
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51-501
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Annual
Information Forms and Management's Discussion and Analysis |
Repealed December 31,
2004. Replaced with NI
51-102 Continuous Disclosure Requirements. |
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51-501CP
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Companion
Policy to LI 51-501 |
Repealed December 31, 2004 when
LI 51-501 was repealed. |
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Policy Statements |
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12-603
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System
for Expedited Review of Exemption Applications |
Rescinded November 10,
2004. See Local
Policies Amended and Repealed |
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13-601
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Public Availability of Material in Commission Records |
In effect June 6, 1990. Rescinded June 29, 2000. See
Local Staff Notice 13-702 Access to Commission Records. |
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32-601 |
Persons Qualified to Advise Under Registration Exemptions |
In effect February 7, 2000. Set out staffs' views on processing of equity and fixed income trades by financial institutions and mutual fund dealers.
Rescinded September 14, 2005 with implementation of
National Instrument 45-106 Prospectus and Registration
Exemptions. See Notice -
NI 45-106
Prospectus and Registration Exemptions comes into force on
September 14, 2005 |
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35-601
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Registration of
Non-Resident Individuals |
In effect May 1, 2000. Rescinded October 10, 2002 and
replaced with
Staff
Notice 35-701 Registration of Non-Resident Individuals |
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44-601
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Requirements
for Use of ASE Prospectus |
Rescinded November 10,
2004. See Local
Policies Amended and Repealed |
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45-601
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Community
Ventures - Section 83 Rulings |
Rescinded November 10,
2004. See Notice - Local
Policies Amended and Repealed |
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45-602 |
Qualified Investor Exemption
Introduction
Form SPS45-602-A
- Application Under the Qualified Investor Exemption.
Form SPS45-602-OM - Offering Memorandum.
Form SPS45-602-B -
Declaration by Investor Under the Qualified Investor Exemption.
Form SPS45-602-C - Certificate of Adviser Under the Qualified Investor
Exemption.
|
Repealed September 14, 2005
with implementation of National Instrument 45-106
Prospectus and Registration Exemptions. See
Notice -
NI 45-106
Prospectus and Registration Exemptions comes into force on
September 14, 2005 |
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52-601 |
Selection of
Professional Accountants |
Repealed February 9,
2006. Set out who the Commission will consider as an acceptable auditor under clause 70(2)(i) of the Act.
No longer required because of section 3.3 of
NI 52-107
Acceptable Accounting Principles, Auditing Standards and
Reporting Currency. |
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45-603 |
$150,000 Exemption |
Repealed September 14, 2005
with implementation of National Instrument 45-106
Prospectus and Registration Exemptions. See
Notice -
NI 45-106
Prospectus and Registration Exemptions comes into force on
September 14, 2005 |
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Staff Notices |
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13-702 |
Access to Commission
Records |
Repealed November 21, 2006.
Replaced with Local
Notice 13-703.
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13-310
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Securities Regulatory Authority Closed Dates 2002
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Repealed June 11, 2003.
Replaced with CSA Staff
Notice 13--312.
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33-703
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Limited Powers of Attorney and Letters of Authorization used in the Sale of Mutual Funds
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Repealed. Replaced by Saskatchewan Staff Notice 81-701 in effect September 12, 2000.
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33-706 |
Processing of Equity and Fixed Income Trades by Financial Institutions and Mutual Fund Dealers |
Repealed September 14, 2005
with implementation of National Instrument 45-106
Prospectus and Registration Exemptions. See
Notice -
NI 45-106
Prospectus and Registration Exemptions comes into force on
September 14, 2005 |
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33-707
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Implementation of Permanent Registration in 2001
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Confirmed that Saskatchewan will implement permanent registration in 2001, even though other provinces will postpone the implementation until 2002. A new local instrument will be adopted.
Withdrawn on June 30, 2004 because it no longer applies.
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33-708
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Annual
Delivery of Registration Fees and Documents on NRD
Form
33-708
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Repealed and replaced with Saskatchewan
Staff Notice 33-709 on November 24, 2003
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45-702
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Pre-clearance of Purchasers Under the Close Friends and Close Business Associates Exemption
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Set out a procedure by which staff will pre-clear the names of purchasers under the "close friends and close business associates" exemption.
Withdrawn June 30, 2004
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General Rulings/Orders |
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13-801 |
SEDAR
|
Exempted issuers from the requirements of National Instrument 13-101 SEDAR if they meet certain requirements.
Repealed June 30, 2004. See Saskatchewan
Notice 54-701 Exemption From Filing on SEDAR. |
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31-802 |
Extending
Time Periods under MI 31-102 and MI 33-109 |
In effect April 30, 2003.
Revoked by GRO 31-803 on July 11, 2003. Extended the time periods in
which registrants are required to file certain
information under the transitional provisions of MI
31-102 and MI 33-109 from May 30, 2003 to September 30,
2003 |
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31-803 |
Extending
Time Periods under MI 31-102 and MI 33-109 |
In effect July 11, 2003.
Revoked by GRO 31-804 on
November 14, 2003. |
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31-903 |
Mineral Lease Brokers Exemption from subsection 59(8) of
The Securities Regulations |
In effect October 22, 1990. Revoked January 18, 2002. Granted an exemption from the requirement in subsection 59(8) of The Securities Regulations to file a directors' resolution with respect to levels of coverage under bonding and
insurance. Subsection 59(3) was repealed, and the exemption was no longer required. |
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33-902
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Exemption
from Part 4 of Local Instrument 33-502 |
Repealed on December 31, 2004
when amendments to LI 33-502 Requirements for Sale of
Certain Securities became effective. GRO 33-502
was no longer required.
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33-903
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Permanent Registration
System
|
Repealed on December 31, 2004
when amendments to LI 33-503 Permanent Registration
System became effective. GRO 33-903 was no longer
required.
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33-904
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Permanent
Registration System and the National Registration Database |
Repealed on December 31, 2004
when amendments to LI 33-503 Permanent Registration
System became effective. GRO 33-904 was no longer
required.
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34-901 |
Proficiency Requirements for Salespersons Trading Only in
Exchange Contracts |
Repealed effective January 1,
2006 and replaced with
Staff Notice 31-702 Registration Proficiency
Requirements.
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43-902
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Exemption from Underwriter Registration Requirements |
Granted exemptions from the underwriter registration requirements in clause 27(1)(b) of the Act and clause 65(1)(d) of The Securities Regulations on certain conditions.
Revoked on June 30, 2004 because clause 27(1)(b) has been
repealed.
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43-903
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Exemption from Membership Qualification Requirement in NI 43-101 Standards of Disclosure for Mineral Projects
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Granted an exemption from the requirement in NI 43-101 that the author of a technical report be a member in good standing of a professional association subject to certain conditions.
Repealed on June 30, 2004 because it no longer applies.
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44-801A
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Prompt Offering Qualification System |
In effect February 19, 1993. Repealed March 9, 2001. Granted exemptions necessary to implement National Policy 47 Prompt Offering Qualification System.
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44-801B
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Prompt Offering Qualification System - Solicitation of Expressions of Interest |
In effect March 9, 1993. Repealed March, 9, 2001. Granted exemption to permit soliciting expressions of interest in offerings under the Prompt Offering Qualification System |
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44-802
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National Policy Statement No. 44 - Shelf Prospectus |
In effect May 10, 1991. Repealed March 9, 2001. Granted exemptions for offerings under the Shelf Prospectus System under National Policy 44. |
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44-803
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The Expedited Review of Short Form Prospectuses and Renewal Annual Information Forms |
In effect June 19, 1995. Repealed March 9, 2001. Granted exemptions for offerings under the Expedited Review System. |
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44-804
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Interim Implementation of National Instruments 44-101, 44-102 and 44-103
|
In effect January 15, 2001. Repealed March 9, 2001 when National Instruments 44-101, 44-102 and 44-103 came into force. Ordered that the provisions of the Act, insofar as they are inconsistent with National Instruments 44-101, 44-102 and 44-103, do not
apply to offerings made in Saskatchewan pursuant to the terms of the National Instruments. |
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45-903 |
Community Bond Program |
Granted registration and prospectus exemptions to facilitate offerings under the Community Bond Program on certain conditions.
Repealed on June 30, 2004 because the Community Bond
Program has ended. |
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45-904 |
Trades By Issuers in Securities to Non-Employee Officers or Directors Pursuant to Security Purchase Plans |
Granted registration and prospectus exemption to facilitate trades by issuers in securities to non-employee officers or directors pursuant to security purchase plans.
Revoked June 30, 2004 because it has been replaced by NI
45-105 Trades to Employees, Senior Officers, Directors
and Consultants. |
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45-905 |
In the Matter of Trades by Issuers Upon Exercise of Certain Conversion or Exchange Rights |
In force July 8, 1996. Granted registration and prospectus exemption to facilitate trades by issuers upon exercise of certain conversion or exchange rights.
Repealed September 14, 2005 with implementation of National
Instrument 45-106 Prospectus and Registration Exemptions.
See Notice -
NI 45-106
Prospectus and Registration Exemptions comes into force on
September 14, 2005 |
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45-907 |
Trades
to Employees, Executives and Consultants |
In effect August 14,
2002. Repealed on August 25, 2003. Replaced by Multilateral
Instrument 45-105 Trades
to Employees, Senior Officers, Directors and Consultants
which came into force on August 15, 2003. |
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45-908 |
Offering
Memorandum Exemption in Clauses 39(1)(y) and 81(1)(s)
|
In force February 13, 2003.
Waived the limit on the
amount raised and the advertising prohibition in the
exemption under clauses 39(1)(y) and 81(1)(s). Repealed September 14, 2005
with implementation of National Instrument 45-106
Prospectus and Registration Exemptions. See
Notice -
NI 45-106
Prospectus and Registration Exemptions comes into force on
September 14, 2005 |
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45-909 |
Short
Term Debt Exemption
|
In force July 10, 2003.
Granted a registration and
prospectus exemption to trades in negotiable promissory
notes or commercial paper on certain conditions. Repealed September 14, 2005
with implementation of National Instrument 45-106
Prospectus and Registration Exemptions. See
Notice -
NI 45-106
Prospectus and Registration Exemptions comes into force on
September 14, 2005 |
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45-910 |
TSX
Venture Exchange's Short Form Offering Exemption
|
In force February 23, 2004. Granted an exemption from the
prospectus requirements for distributions made pursuant
to TSX Venture Exchange's Policy 4.6 Public Offerings
by Short Form Offering Document and Form
4H Short Form Offering Document. Repealed
September 14, 2005 with implementation of National
Instrument 45-106 Prospectus and Registration Exemptions.
See Notice -
NI 45-106
Prospectus and Registration Exemptions comes into force on
September 14, 2005 |
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47-901 |
Testing the Waters |
In force July 9, 1996. Grants registration and prospectus exemption to certain activity to gauge the interest of potential investors in a proposed trade of securities.
Repealed September 14, 2005 with implementation of National
Instrument 45-106 Prospectus and Registration Exemptions.
See Notice -
NI 45-106
Prospectus and Registration Exemptions comes into force on
September 14, 2005 |
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51-801 |
Implementing Standards of Disclosure for Oil and Gas
Activities |
Repealed effective January 1,
2006. Section 78(2) of The Securities Regulations
repealed on January 1, 2006, and GRO 51-801 no longer
required. |
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51-802 |
Implementing National Instrument 51-102 |
Repealed effective January 1,
2006. No longer required because the continuous
disclosure provisions in the Act and the Regulations are
repealed. |
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51-902 |
Exemption from Certain Financial Reporting Requirements |
Exempted certain issuers from certain financial reporting requirements of the Act on certain conditions.
Revoked on June 30, 2004 it has been replaced by GRO
51-906. |
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51-903 |
Implementation of Saskatchewan Local Instrument 51-501 |
Repealed on December 31, 2004
when LI 51-501 Annual Information Forms and Management's
Discussion and Analysis was repealed. GRO 51-903
was no longer required. |
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52-902 |
US
GAAP and US GAAP for SEC Issuers |
Granted an exemption to SEC
issuers permitting them to use US GAAP and US GAAP in
preparing their financial statements. Revoked on
June 30, 2004 because it has been replaced by NI
71-102 |
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52-903 |
Exemption from Certain Continuous Disclosure Requirements of Finance Companies |
In effect October 22, 1990. Revoked January 18, 2002. Granted an exemption to finance companies from the requirement in section 127 of The Securities Regulations. Section 127 was repealed and the exemption is no longer required. |
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52-903 |
Exemption
from Multilateral Instrument 52-109 |
In effect March 30, 2004.
Revoked January 27, 2006. Granted an exemption
from MI 52-109 for issuers reporting by order.
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54-801 |
Interim financial Statements and National Policy Statement No. 41 |
Granted exemption to issuers under National Policy 41 from requirement to provide interim financial statements on certain conditions.
Repealed on June 30, 2004 because NP 41 has been
replaced by NI 54-101. |
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54-901 |
Disclosure of Executive Compensation and Indebtedness of Directors and Senior Officers |
Permited issuers to file certain documents with disclosure of executive compensation in the form required under Ontario laws, instead of the form required under the Regulations.
Revoked on June 30, 2004 because it has been replaced by
NI 51-102 Continuous
Disclosure Obligations. |
|
55-801 |
Implementing
National Instrument 55-102 SEDI |
In effect on December 14,
2001. Expired on January 31, 2002. |
|
55-802 |
Order Under Section 6.1 of National Instrument 55-102 |
In effect February 7,
2003. Revoked by GRO
55-803 on May 1, 2003. Granted exemptions to issuers and insiders from the requirements of National Instrument 55-102 SEDI for the period that SEDI is not operating. |
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55-803 |
Order
Under Section 6.1 of National Instrument 55-102 |
Granted exemptions for
the orderly implementation of SEDI on May 5, 2003.
Revoked GRO 55-802 dated February 7,
2003. Allowed SEDI issuers to file
their issuer profile supplements until May 30,
2003. Allowed insiders to file their insider
reports until June 8, 2003. Revoked June 30, 2004
because it no longer applied. |
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55-901 |
Insider Report Form |
In effect June 6, 1995. Revoked by GRO 55-903 Insider Trading Reports on October 26, 2001 |
|
55-902 |
Insider Reports |
In effect December 3, 1996. Revoked by GRO 55-903 Insider Trading Reports on October 26, 2001 |
|
55-903 |
Insider Trading Reports |
In effect October 26, 2001. Revoked by GRO 55-904 Insider Reports on August 16, 2002. |
|
55-904 |
Insider
Reports |
In effect August 16,
2002. Revoked by GRO
55-905 Insider Trading Reports on June 9, 2003. |
|
81-801 |
Implementing National Instrument 81-106 |
Repealed effective January 1,
2006. No longer required because the continuous
disclosure provisions of the Act and the Regulations are
repealed effective January 1, 2006. |
|
81-901 |
Exemption for Mutual Funds From Delivering Financial
Statements |
Repealed effective January 1,
2006. No longer required because the requirement for
investment funds to deliver financial statements has been
repealed. |
|
91-801 |
Strip Bonds |
Repealed on June 6, 2002 when GRO 91-906 Strip Bonds came into force. |
|
91-901 |
Recognized Options Rationalization Order |
Repealed on December 22, 1998. Exempted trades in Recognized Options cleared through Recognized Clearing Organizations from the registration and prospectus requirements on certain conditions.
This notice sets out reasons for the repeal of GRO 91-901. |
|
Policy Statements Not
Reformulated |
|
1.2 |
Strip Bonds |
Repealed on June 6, 2002 when GRO 91-906 Strip Bonds came into force. |
|
1.4 |
Conflicts
of Interest |
Repealed on May 9, 2003 when Local
Instrument 11-501 Conflicts of Interest came into
force. |
|
3.3 |
Principles of Regulation - Distribution of Mutual Funds by Financial Institutions |
Repealed on August 1, 2001 when National Instrument 33-102 Regulation of Certain Registrant Activity came into force. |
|
3.4 |
Principles of Regulation - Full Service and Discount Brokerage Activities of Securities Dealers in Branches of Related Financial Institutions |
Repealed on August 1, 2001 when National Instrument 33-102 Regulation of Certain Registrant Activity came into force. |
|
3.5 |
Principles of Regulation - Activities of Registrants Related to Financial Institutions |
Repealed on August 1, 2001 when National Instrument 33-102 Regulation of Certain Registrant Activity came into force. |
|
3.6
|
Securities Dealers - Participation in the Canadian Investor Protection Fund |
Repealed March 15, 2001. Replaced with Local Instrument 31-501 SRO Membership for Brokers and Securities Dealers |
|
4.3 |
Escrow Guidelines |
Repealed June 28, 2002. Replaced with National Policy 46-201 Escrow for Initial Public Offerings. |
|
4.4
|
Prompt Offering Qualification System |
Repealed March 9, 2001 and replaced with National Instrument 41-101 Short Form Prospectus. |
|
4.5
|
Commodity Pool Programs
|
Repealed and replaced with Multilateral
Instrument 81-104 Commodity Pools effective November 1,
2002 |
|
6.2
|
Annual Information Form and Management's Discussion and Analysis of Financial Conditions and Results of Operations
|
Repealed March 15, 2001 and replaced with Local Instrument 51-501 Annual Information Forms and Management�s� Discussion and Analysis. |
|
Deposit Agent Rules |
|
|
Deposit Agent Rules |
In effect March 2003.
Will be replaced with
Local Instrument
32-501 Deposit Agents on October 1, 2006. |
|
|
Form DA-1
Deposit Agents
Form SA-1 Sub
Agents
Form FI-1
Financial Institutions
|
|
