CSA Notices

11-305	CSA Staff Notice	Withdrawal of CSA Staff Notice 42-301 and 52-302	In effect Jan 16, 2004	Gives notices of withdrawal of CSA Staff Notices 42-301and 52-302 Dual Reporting of Financial Information effective March 30, 2004.  Dual reporting issuers should refer to NI 52-107.
11-306	CSA Notice	Extension of Comment Period for Uniform Securities Act and Model Securities Administration Act	In effect Feb 20, 2004	Gives notice that the period for commenting on the draft Uniform Securities Act and model Securities Administration Act has been extended for 60 days until May 17, 2004.
11-308	Staff Notice	Guidelines for use of Mobility Exemptions under Part 5 of MI 11-101 Principal Regulator System	In effect January 27, 2006	Provides guidance on the use of the mobility registration exemptions in Part 5 of MI 11-101 Principal Regulator System
11-309	CSA Notice	Withdrawal of CSA Notices	In effect March 3, 2006	Gives notice of CSA notices that are withdrawn because they are no longer required.
12-302	CSA Staff Notice	National Policy 12-201 Mutual Reliance Review System for Exemptive Relief Applications ("ERA") - ERA and Applications for Approvals or Exemptions under National Policy No. 39 "Mutual Funds"	In effect Nov 19, 1999.	Communicates the view of CSA staff on how the MRRS for Exemptive Relief Applications relates to applications for approvals and exemptions made under National Policy 39 Mutual Funds.
12-304	CSA Staff Notice	Mutual Reliance Review System for Exemptive Relief Applications Frequently Occurring Issues	In effect Aug 11, 2000.	Gives guidance on procedures and issues under the Mutual Reliance Review System for Exmeptive Relief Applications.
12-306	CSA Staff Notice	Exemptive Relief Applications and Year End	In effect Sept 28, 2001.  Expires Dec 31, 2001.	Gives notice of timing deadlines for exemption applications before December, 31, 2001.
12-307	CSA Staff Notice	Ceasing to be a Reporting Issuer under the MRRS for Exemptive Relief Applications	Sept 12, 2003.  Revised Feb 4, 2005.  Revised November 1, 2006	Sets out a revised procedure for applications to cease to be a reporting issuer.
12-309	CSA Notice	Impact of the Principal Regulator System on the MRRS for Exemptive Relief Applications	In effect September 19, 2005	Provides guidance on how the principal regulator system works in conjunction with the MRRS for Exemptive Relief for issuers that need an exemption from continuous disclosure or prospectus eligibility requirements.
13-305	CSA Staff Notice	SEDAR Changes for Mutual Reliance Review Systems for Prospectuses and AIFs	In effect Sept 3, 1999.	Outlines the changes made to SEDAR to accommodate MRRS filings and to provide instructions for making non-MRRS filings on SEDAR
13-306	CSA Staff Notice	Guidance for SEDAR Users	In effect Apr 30, 2001	Provides guidance to SEDAR users on specified issues.
13-307	CSA Staff Notice	Notice of amendments to the SEDAR Filer Manual	In effect Aug 27, 2001	Gives notice of a new version of the SEDAR Filer Manual Version 7.0.
13-308	CSA Staff Notice	Increases to SEDAR Annual Filing Service Charges	In effect Nov 9, 2001	Gives notice that SEDAR Annual filing Service Charges will increase.
13-314	CSA Staff Notice	Changes to Sedar Annual Filing Service Charges 2005	In effect Nov 4, 2004	Gives notice that SEDAR annual filing service charges will increase.
13-315	CSA Staff Notice	Securities Regulatory Authority Closed Dates 2006	In effect January 13, 2006	Sets out the list of closed dates of the securities regulatory authorities for 2006.
13-316	CSA Staff Notice	Amendments to the SEDAR Filer Manual	In effect October 27, 2006	Gives notice that the new SEDAR Filer Manual Version 8.3 was implemented on September 30, 2006
21-301	Multilateral Staff Notice	Canadian Venture Exchange	In effect Nov 26, 1999.	States that references to the VSE and ASE in existing regulations, rules, orders and the like may be interpreted as references to CDNX.
21-302	CSA Staff Notice	Confidentiality of forms filed under National Instrument 21-101 Marketplace Operations	In effect January 24, 2003	Gives notice that the securities regulators will keep confidential the forms that that marketplaces and information processes are required to file under National Instrument 21-101 Marketplace Operations.
21-305	CSA Staff Notice	Extension of Approval of Information Processor for Corporate Fixed Income Securities	In effect October 27, 2006	Gives notice that CanPX Inc.'s approval as an information processor for corporate fixed income securities under NI 21-101 Marketplace Operations has been extended from Dec. 1, 2006 to Dec. 1, 2007.
23-301	CSA Staff Notice	Electronic Audit Trails	In effect March 21, 2003	CSA Staff, the Investment Dealers Association and the Bourse de Montreal announce that they are working to determine an implementation plan for electronic audit trail and transmission requirements for records relating to orders and trades.
23-302	CSA Staff Notice	Joint Regulatory Notice - Electronic Audit Trail Initiative (TREATS)	In effect April 15, 2005	Provides an update on the Transaction Reporting Electronic Audit Trail System 5(TREATS).  TREATS is to fulfill the audit trail requirements introduced in NI 23-101 Trading Rules
23-304	Joint CSA/SRO Notice	Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)	In effect March 17, 2006	Gives on update on the status of TREATS, a proposed system to facilitate compliance with the audit trail requirements introduced in NI 23-101 Trading Rules.
24-301	CSA Staff Notice	Responses to Comments on Discussion Paper 24-401 on Straight Through Processing and Proposed NI 24-101 Discussion Paper 24-401	In effect Feb 11, 2005.	Provides an update on industry and regulatory developments on straight through processing and a summary of the comments received on Discussion Paper 24-401 released on April 16, 2004.
24-302	CSA Notice	Entitlement to Payments to The Canadian Depository for Securities Limited (CDS)	In effect March 3, 2006	Encourages issuers and offerors that pay entitlements in Canadian dollars to CDS for distribution to CDS participants, to make such payments using the Large Value Transfer System (LVTS) operated by the Canadian Payments Association.
24-303	CSA Notice	Report of the CSA SRO Oversight Project Committee	December 8, 2006
33-303	CSA Staff Notice	Trust Accounts for Mutual Fund Securities	In effect May 14, 1999.	Assists dealers in complying with section 12 of National Policy 39 Mutual Funds, and sets out staff's views on the minimum internal controls appropriate to ensure dealers meet these requirements.
33-304	CSA Notice	CSA Distribution Structures Committee Position Paper	In effect Aug 24, 1999.	Sets out the CSA's policy positions that address the regulatory issues that have arisen due to changes that are occurring in the manner in which securities firms structure their businesses provide securities trading and advising services to the public.
33-305	CSA Staff Notice	Sale of Insurance Products by Dually Employed Salespersons	In effect Jan 14, 2000.	Clarifies that CSA Distribution Structures Position Paper does not require salespersons to offer the sale of insurance products through a dealer.
33-307	CSA Staff Notice	List of Canadian Registrant and Non-Registrant Firms that Completed the CSA STP Readiness Assessment Survey	In effect July, 2003	Lists the firms that responded to the CSA's Straight-Through Processing Readiness Assessment Survey.
33-308	CSA Staff Notice	The CSA STP Readiness Survey Report is Now Available on the OSC Web site	In effect Sept 19, 2003	Gives notice that the STP Readiness Survey Report is available on the OSC Web site.
33-401	CSA Notice	Canadian Capital Markets Association - T + 1 Paper	Request for comment to May 8, 2001	Request for comment on the Canadian Capital Markets Association's paper on shortening the settlement period to one day after the trade (T + 1).
41-304	CSA Staff Notice	Income trusts:  prospectus disclosure of distributable cash	In effect August 26, 2005	Provides guidance on the information that income trusts are expected to disclose in a prospectus about estimated distributable cash.
42-303	CSA Staff Notice	Prospectus Requirements	In effect March 12, 2004	Indicates that staff will recommend relief form certain prospectus rules that are not consistent with NI 51-102 or NI 52-107.
43-302	CSA Staff Notice	Frequently Asked Questions on National Instrument 43-101 Standards of Disclosure for Mineral Projects	In effect Oct 19, 2001.  Revised Feb 8, 2002.  Revised Jan 24, 2003	Sets out frequently asked questions and answers respecting National Instrument 43-101 Standards of Disclosure for Mineral Projects.
43-306	CSA Staff Notice	Technical reports filed for prospectus offerings	In effect June 2, 2006	Sets out planned a change to  administrative practices related to:  1. public access to technical reports and related materials filed with preliminary prospectuses; and 2.  the technical materials an issuer must file before a member of the CSA will issue a receipt for a preliminary prospectus.
44-301	CSA Staff Notice	Frequently Asked Questions Regarding the New Prospectus Rules	In effect Mar 15, 2002	Sets out frequently asked questions and answers respecting: *  National Instrument (NI) 44-101 Short Form Prospectus Distributions, *  NI 44-102 Shelf Distributions, *  NI 44-103 Post-Receipt Pricing and *  OSC rule 41-501 General Prospectus Requirements.
44-302	CSA Staff Notice	Required forms of Certificates under MI 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings	In effect December 16, 2005	Assists certifying officers in determining what form of certificate is required under MI 52-109 for various financial years and interim periods.
44-303	CSA Staff Notice	Filing of Notice of Intent to be Qualified under NI 44-101 Short Form Prospectus Distributions	In effect March 10, 2006	Sets out how to file a Notice of Intent to be Qualified under NI 44-101 on SEDAR.
45-301	CSA Staff Notice	Implementation of Multilateral Instrument 45-102 Resale of Securities	In effect Nov 30, 2001	Clarifies the application of Multilateral Instrument 45-102 Resale of Securities to resource issuers
45-302	CSA Staff Notice	Frequently Asked Questions Regarding the Resale Rules	In effect April 2, 2004	Answers frequent questions about Multilateral Instrument 45-102 Resale of Securities.
45-304	CSA Staff Notice	Notice of Local Exemptions Related to NI 45-106	In effect September 9, 2005	Lists local prospectus and registration  exemptions in force after NI 45-106 comes into force.
45-305	CSA Staff Notice	Frequently Asked Questions regarding NI 45-106 Prospectus and Registration Exemptions	In effect December 2, 2005
46-303	CSA Staff Notice	Principal Protected Notes	In effect July 7, 2006	Deals with the CSA's concerns about the distribution and sale of principal protected notes and the CSA's proposed course of action.
47-302	CSA Staff Notice	Pre-marketing of underwriters' options on bought deals	In effect April 21, 2006	Sets out staffs' views that the exemption from the prospectus requirement in para 7.1(a) of NI 44-101 that  permits pre-marketing of bought deals does not apply to securities acquired by underwriters under an option granted by an issuer.
51-301	CSA Staff Notice	Conversion of Corporate Issuers to Trusts	In effect Oct 10, 1997.	Sets out CSA staff's views on protection of investors' rights when reporting issuers reorganize their affairs so that their security holders become security holders of a trust.
51-304	CSA Staff Notice	Report on Staff's Review of Executive Compensation Disclosure	In effect November 4, 2002	Reports findings of staff's review (May to September, 2002) of issuers' executive compensation disclosure in management information circulars.  Provides guidance in complying with disclosure requirements.
51-305	CSA Staff Notice	Canadian Capital Markets Association - Corporate Actions and Other Entitlements White Paper - October 2002	In effect November 29, 2002	Provides information and background to the Canadian Capital Markets Association's White Paper on Corporate Actions and Other Entitlements.
51-308	CSA Staff Notice	Filing of Management's Discussion and Analysis and National Instrument 51-102 Continuous Disclosure Obligations	In effect Dec 19, 2003	Provides guidance on complying with MD&A requirements upon implementation of NI 51-102.
51-309	CSA Staff Notice	National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities - Acceptance of Certain Foreign Professional Boards as a "Professional Organization" MRRS Decision document dated Jan 6, 2004	In effect Jan 19, 2004	Gives notice that the CSA have added the listed professional boards in the United States to the list of professional organizations for the purposes of NI 51-101.
51-310	CSA Staff Notice	Report on Staff's Continuous Disclosure Review of Income Trust Issuers	In effect Feb 13, 2004	Reports the findings and comments of CSA staff from the review of the continuous disclosure records of 40 income trust issuers.
51-311	CSA Staff Notice	Frequently Asked Questions Regarding NI 51-102 Continuous Disclosure Obligations	In effect March 26, 2004.  Amended April 23, 2004.  Revised Feb 11, 2005.
51-312	CSA Staff Notice	Harmonized Continuous Disclosure Review Program	In effect July 16, 2004
51-313	CSA Staff Notice	Frequently Asked Questions about NI 51-101 Standards of Disclosure for Oil and Gas Activities	In effect April 8, 2004
51-314	CSA Staff Notice	Retirement Benefits Disclosure	In effect January 14, 2005	Provides guidance to issuers to include in Statements of Executive Compensation disclosure of  retirement benefits.
51-315	CSA Staff Notice	Guidance Regarding the Determination of Constant Prices for Bitumen Reserves under National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities	In effect Jan 20, 2005	Provides guidance as to how the constant price used in estimating bitumen reserves and related future net revenue should be determined under NI 51-101 in the absence of a published market for bitumen.
51-316	CSA Staff Notice	Continuous Disclosure Review of Smaller Issuers	In effect December 9, 2005	Summarizes the most frequent deficiencies in the CD record of smaller issuers.
51-317	CSA Staff Notice	NI 51-101 Standards of Disclosure for Oil and Gas Activities Application of Canadian Oil and Gas Evaluation Handbook	In effect February 24, 2006	Urges reporting issuers with oil and gas activities to become familiar with the information in Volume 2 of the Canadian Oil and Gas Evaluation Handbook, and apply that information to their reserves evaluation and disclosure practices.
51-319	CSA Staff Notice	Report on staff's second continuous disclosure review of income trust issuers	In effect August 4, 2006	Reports findings of a targeted review of business income trust issuers.
51-320	CSA Staff Notice	Options Backdating	In effective September 8, 2006	Provides guidance on the issue of backdating of options granted by reporting issuers in Canada.
51-321	CSA Staff Notice	Questions and answers concerning resources and possible reserves - NI 51-101 Standards of Disclosure for Oil and Gas Activities	In effect November 17, 2006	Provides guidance to issuers subject to NI 51-101 on issues in connection with  voluntary disclosure that is in addition to that required under NI 51-101.
51-322	CSA Staff Notice	Reporting Issuer Defaults	In effect December 15, 2006	Sets out the deficiencies that will result in a reporting issuer being noted in default of securities laws.
52-306	CSA Staff Notice	Non-GAAP Financial Measures	In effect Nov 14, 2003. Amended August 4, 2006.	Provides guidance to issuers who disclose financial measures other than those prescribed by GAAP
52-307	CSA Staff Notice	Auditor Oversight and Financial Statements Accompanied by an Audit Report dated on or after March 30, 2003	In effect Dec 5, 2003	Alerts reporting issuers and their auditors to plan to comply with MI 52-108 Auditor Oversight which will affect auditors' reports dated on or after March 30, 2004.
52-309	CSA Staff Notice	MI 52-110 Audit Committees Compliance Review	In effect May 6, 2005	Gives notice the CSA staff will conduct a review of issuers' compliance with MI 52-110 Audit Committee's requirements regarding audit committee composition and responsibilities
52-311	CSA Staff Notice	Required Forms of Certificates under MI 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings	In effect December 16, 2005	Assists certifying officers in determining what form of certificate is required under MI 52-109 for various financial years and interim periods.
52-312	CSA Staff Notice	Audit Committee Compliance Review	In effect January 13, 2006	Outlines the results of CSA staff review of compliance with MI 52-110 Audit Committees.
52-313	CSA Staff Notice	Status of Proposed MI 52-111 Reporting on Internal Controls over Financial Reporting	In effect March 10, 2006
52-314	CSA Staff Notice	Securities Regulators Want Your Feedback on SBRL	In effect June 29, 2006
52-315	CSA Staff Notice	Certification Compliance Review	In effect September 22, 2006	Outlines the results of staff's review of compliance with the certification requirements in NI 52-109, and provides guidance in complying with the requirements.
52-316	CSA Staff Notice	Certification of Design of Internal Controls over Financial Reporting	In effect September 22, 2006	Gives staff's views regarding the ability of certifying officers of a reporting issuer to certify the design of the issuer's internal control over financial reporting (ICFR) as required by NI 52-109 if the certifying officers are aware of a weakness in the design of the issuer's ICFR.
53-301	CSA Staff Notice	The Toronto Stock Exchange Committee on Corporate Disclosure - Final Report; CSA Task Force on Civil Remedies.	In effect Sept 12, 1997.
54-301	CSA Staff Notice	Frequently Asked Questions about National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer	In effect April 4, 2003	Provides answers to frequently asked questions about National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer
55-308	CSA Staff Notice	Questions on Insider Reporting	In effect November 15, 2002	Provides questions and answers on insider reporting.
55-310	CSA Staff Notice	Questions and Answers on SEDI	In effect April 11, 2003 Revised August 19, 2005	Provides questions and answers on using SEDI
55-312	CSA Staff Notice	Insider Reporting Guidelines for Certain Derivative Transactions (Equity Monetization)	In effect Feb 27, 2004	Provides guidance to insiders on reporting of derivative-based transactions which are commonly referred to as "equity monetization" transactions.
57-301	CSA Staff Notice	Failing to File financial Statements on Time - Management Cease Trade Reports	In effect Mar 29, 2002	Describes the circumstances in which staff will consider granting a company's request for the issuance of a "management" cease trade order where the company is unable to file its financial statements on time.
57-302	CSA Staff Notice	Failure to File Certificates under MLI 52-109 Certifications of Disclosure in Issuers' Annual and Interim Filings	In effect Feb 27, 2004	Gives notice that failure to file the certificates required by MLI 52-109 or filing certificates that are not in proper form will be viewed by staff as a serious breach of securities laws.
57-303	CSA Staff Notice	Frequently asked questions regarding Management Cease Trade Orders issued as a consequence of a failure to file financial statements	In effect April 29, 2005
58-302	CSA Staff Notice	Implementation of NP 58-201 Corporate Governance Guidelines and NI 58-101 Disclosure of Corporate Practices	In effect Jan 21, 2005
61-301	CSA Staff Notice	Staff Guidance on the Practice of "Mini-Tenders"	In effect Dec 10, 1999.	Sets out CSA staff's views on mini-tenders.
61-302	CSA Staff Notice	Prospectus Filing Matters - Arthur Andersen LLP Consent	In effect June 28, 2002	Provides guidance to former clients of Arthur Andersen LLP - Canada about financial statements audited by the firm that are included in prospectuses and other documents.
62-303	CSA Staff Notice	Identifying the Offeror in a Take-over Bid	In effect August 8, 2003	Provides staff's views on who is the offeror in a take-over bid when a company, income trust or other entity uses an acquisition entity, subsidiary or other affiliate to make the bid.
62-304	CSA Staff Notice	Conditions in financing arrangements for take-over bids and issuer bids	In effect September 2, 2005	Sets out the CSA staff position regarding acceptability of conditions in financing arrangements for take-over bids and issuer bids.
72-301	CSA Staff Notice	Distributions Outside the Local Jurisdiction - Proposed National Instrument 72-101	In effect March 15, 2002	Gives notice that the CSA will not be proceeding with Mutlilateral Instrument 72-101 Distributions Outside the Jurisdiction published on September 27, 2001.   The initiative is being considered under the CSA Uniform Securities Legislation Project.
81-304	CSA Staff Notice	Trust Accounts for Mutual Fund Securities	In effect May 14, 1999.	Assists dealers in complying with section 12 of National Policy 39 Mutual Funds, and sets out staff's views on the minimum internal controls appropriate to ensure dealers meet these requirements.
81-305	CSA Staff Notice	National Policy 12-201 Mutual Reliance Review System for Exemptive Relief Application ("ERA") - ERA and Applications for Approvals or Exemptions under National Policy No. 39 "Mutual Funds".	In effect Nov 19, 1999.	Communicates the view of CSA staff on how the MRRS for Exemptive Relief Applications relates to applications for approvals and exemptions made under National Policy 39 Mutual Funds.
81-310	CSA Staff Notice	Frequently Asked Questions on Fund of Fund Amendments	In effect August 20, 2004
81-314	CSA Staff Notice	Removal of Foreign Content Restrictions for Registered Plans - Eliminating Indirect Foreign Content Exposure in Certain RSP Funds	In effect March 18, 2005	Sets out staff's initial guidance in response to the 2005 federal budget proposal to remove foreign content restrictions for registered plans.
81-315	CSA Staff Notice	Frequently Asked Questions on NI 81-106 Investment Fund Continuous Disclosure	In effect November 25, 2005	Sets out a list of frequently asked questions on staff's response to those questions.

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