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PART 4 -
DISTRIBUTION REQUIREMENTS |
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Prospectus Contents -
Non-Financial Matters |
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41-101 |
National Instrument |
Prospectus Disclosure Requirements |
In effect in Saskatchewan March 9, 2001 |
Consolidates the prospectus disclosure requirements in National Policy Statement No. 12 Disclosure of "Market Out" Clauses in Underwriting Agreements in Prospectuses, National Policy Statement No. 32 Prospectus Warning Re: Scope of
Distribution and National Policy Statement No. 35 Purchaser’s Statutory Rights. |
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41-201 |
National Policy |
Income
Trusts and Other Direct Offerings |
December 3, 2004 |
Provides guidance and
clarification to market participants about income trusts
and other indirect offerings. Expresses views of CSA
about how the existing regulatory framework applies to
non-corporate issuers and to indirect offerings. |
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41-304 |
CSA Staff Notice |
Income trusts:
prospectus disclosure of distributable cash |
August 26, 2005 |
Provides guidance on the
information that income trusts are expected to disclose in
a prospectus about estimated distributable cash. |
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41-901 |
General Exemption Order |
Use of Prospectus Complying with OSC Rule 41-501 Prospectus Requirements |
December 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. |
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Prospectus Contents - Financial Matters |
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42-303 |
CSA Staff Notice |
Prospectus
Requirements |
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. |
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Prospectus Filing Matters |
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43-101 |
National Instrument |
Standards of Disclosure for Mineral Projects
Companion policy
Form 43-101F1 Technical Report
Frequently
Asked Questions
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In effect in Saskatchewan Mar 9, 2001.
Amended and restated December 30, 2005.
Amended and restated December 30, 2005
December 30, 2005 |
Regulate all disclosure that an issuer makes concerning mineral projects that is reasonably likely to made available to the public. Consolidates and expands National Policy Statements 2-A Guide for Engineers, Geologists and Prospectors Submitting Reports on
Mining Properties to the Canadian Securities Administrators. |
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43-201 |
National Policy |
Mutual Reliance Review System for Prospectuses and Annual Information Forms |
January 1, 2000. |
Establishes a mutual reliance review system for prospectuses and AIFs. |
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43-302 |
CSA Staff Notice |
Frequently Asked Questions on National Instrument 43-101 Standards of Disclosure for Mineral Projects |
October 19, 2001. Amended February 8, 2002.
Amended Jan 24, 2003 |
Sets out frequently asked questions and answers concerning National Instrument 43-101 Standards of Disclosure for Mineral Projects |
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43-306 |
CSA Staff Notice |
Technical reports filed
for prospectus offerings |
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. |
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43-601 |
Local Policy Statement |
Unconscionable Consideration - Promoters |
February 22, 1988. |
Sets out how the Commission interprets clause 70(2)(b) of the Act. |
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43-701 |
Saskatchewan Staff Notice |
Capital Pool Companies |
May 31, 2000.
Amended February 22, 2005 |
Gives notice that companies
may make offerings in Saskatchewan under TSX Venture
Exchange's Capital Pool Company program. |
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43-901 |
General Exemption Order |
Trade Unions Which Sponsor Labour Sponsored Venture Capital Corporations
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February 5, 1997. |
Exempts trade unions which sponsor labour sponsored ventures capital offerings from signing the prospectus certificate on certain conditions. |
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Alternative Forms of Prospectus |
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44-101 |
National Instrument |
Short Form Prospectus Distributions
Amendments
Form 44-101F1
Amendments to Form 44-101F1
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In effect in Saskatchewan Mar 9, 2001.
Amended September 30, 2003. Amended March 30,
2004. Amended January 4, 2005. Amended December 30, 2005.
In effect December 29, 2006
December 30, 2005
In effect December 29, 2006
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Prescribes conditions for the use of a short form prospectus to distribute securities to the public. |
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44-101CP |
Companion Policy |
Short Form Prospectus Distributions
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In effect in Saskatchewan Mar 9, 2001.
Amended March 30, 2004.
Amended Jan 4, 2005. Amended
December 30, 2005. |
Companion Policy to National Instrument 44-101 Short Form Prospectus Distributions |
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44-102 |
National Instrument |
Shelf Distributions
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In effect in Saskatchewan Mar 9, 2001.
Amended
December 30, 2005
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Regulates Canadian shelf prospectus distributions. Reformulates and replaces National Policy Statement 44 Rules for Shelf Prospectus Offerings and for Pricing Offerings after the Final Prospectus is Receipted ("NP44") |
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44-102CP |
Companion Policy |
Shelf Distributions
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In effect in Saskatchewan Mar 9, 2001.
Amended
December 30, 2005. |
Companion Policy to National Instrument 44-102 Shelf Distributions |
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44-103 |
National Instrument |
Post-Receipt Pricing
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In effect in Saskatchewan Mar 9, 2001.
Amended
December 30, 2005 |
Regulates the Canadian post-receipt pricing regime. Reformulates and replaces the provisions of NP44 relating to post-receipt pricing. |
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44-103CP |
Companion Policy |
Post-Receipt Pricing
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In effect in Saskatchewan Mar 9, 2001.
Amended December 30, 2005. |
Companion Policy to National Instrument 44-103 Post-Receipt Pricing |
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44-301 |
CSA Staff Notice |
Frequently Asked Questions Regarding the New Prospectus Rules |
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. |
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44-302 |
CSA Staff Notice |
Replacement of NI
44-101 Short Form Prospectus Distributions |
December 16, 2005 |
Sets out a list of issuers that
have a current AIF as of Dec 9, 2005, and are deemed to
have filed a qualification notice under new NI 44-10.1 |
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44-303 |
CSA Staff Notice |
Filing of Notice of
Intent to be Qualified under NI 44-101 Short Form
Prospectus Distributions |
March 10, 2006 |
Sets out how to file a Notice
of Intent to be Qualified under NI 44-101 on SEDAR. |
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44-801 |
Implementing Order |
Implementing National Instrument 44-101 Short Form Prospectus Distributions. |
March 9, 2001 |
Grants exemptions necessary to implement National Instrument 44-101. |
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44-802 |
Implementing Order |
Implementing National Instrument 44-102 Shelf Distributions. |
March 9, 2001 |
Grants exemptions necessary to implement National Instrument 44-102. |
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44-803 |
Implementing Order |
Implementing National Instrument 44-103 Post-Receipt Pricing. |
March 9, 2001 |
Grants exemptions necessary to implement National Instrument 44-103. |
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Prospectus Exempt Distributions |
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45-101 |
National Instrument |
Rights Offerings
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In effect in Saskatchewan July 25, 2001.
Amended September 30, 2003.
Amended September 14, 2005. |
Sets out how an issuer may make a rights offering to sell additional securities of its own issue to holders of its securities. |
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45-101CP |
Companion Policy |
Rights Offerings |
In effect in Saskatchewan July 25, 2001.
Amended September 30, 2003. |
Companion Policy to National Instrument 45-101 Rights Offerings. |
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45-102 |
National Instrument |
Resale of Securities including Form 45-102F1
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Nov 30, 2001. Amended
September 30, 2003. Repealed and replaced on
March 30, 2004.
Amended Sept 14, 2005. |
Implements uniform first trade restrictions for securities acquired under registration and prospectus exemptions. |
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45-102CP |
Companion Policy |
Resale of Securities
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Nov 30, 2001 Repealed and replaced March
30, 2004.
Amended September 14, 2005. |
Companion Policy to Multilateral Instrument 45-102 Resale of Securities |
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45-302 |
CSA Staff Notice |
Frequently
asked questions about the resale rules
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April 2, 2004 |
Answers frequently asked questions
about NI 45-102 |
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45-106 |
National Instrument |
Prospectus
and Registration Exemptions
Form 45-106F1 Report of Exempt Distributions
Form 45-106F2 Offering Memorandum for Non-Qualifying
Issuers
Form 45-106F3 Offering Memorandum for Qualifying Issuers
Form 45-106F4 Risk Acknowledgement
Form 45-106F5 Risk Acknowledgement - Saskatchewan Close
Personal Friends and Close Business Associates |
September 14, 2005 |
Sets out exemptions from the
prospectus and registration requirements in the Act. |
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45-106 |
Companion Policy |
Prospectus
and Registration Exemptions |
September 14, 2005 |
Companion policy to NI 45-106 |
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45-301 |
CSA Staff Notice |
Implementation of Multilateral Instrument 45-102 Resale of Securities |
November 30, 2001 |
Clarifies the application of Multilateral Instrument 45-102 Resale of Securities to resource issuers |
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45-302 |
CSA Staff Notice |
Frequently Asked Questions Regarding the
Resale Rules
in NI 45-102 |
April 2, 2004 |
Answers frequent questions about Multilateral Instrument 45-102 Resale of Securities. |
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45-304 |
CSA Staff Notice |
Notice of Local
Exemptions Related to NI 45-106 |
September 9, 2005 |
Lists local prospectus and
registration exemptions in force after NI 45-106
comes into force. |
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45-305 |
CSA Staff Notice |
Frequently Asked
Questions regarding NI 45-106 Prospectus and
Registration Exemptions |
December 2, 2005 |
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45-701 |
Local Staff Notice |
Applications Pursuant to Subsection 44(3) of
The Securities Act, 1988 |
September 27, 1991. |
Sets out when you do not have to make a formal application under subsection 44(3) to make a listing representation. |
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45-703 |
Saskatchewan Staff Notice |
Monitoring
the Use of the Exemptions Under National Instrument
45-106 Prospectus and Registration Exemptions |
June 26, 2003. Amended
September 14, 2005. |
Describes how Commission
staff will monitor the use of certain capital raising exemptions under
NI
45-106 to ensure that issuers are complying with the
conditions that attach to the exemptions. |
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45-704 |
Saskatchewan Staff Notice |
Review
of Offering Memoranda Filed Under NI 45-106
Prospectus and Registration Exemptions |
Jan 6, 2005
Amended September 14, 2005 |
Sets out the deficiencies
found on staff's review of offering memoranda filed
under MI 45-103 Capital Raising Exemptions. Provides
guidance on preparing OMs in good form. Also sets
out the consequences that may flow if OMs are deficient. |
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45-705 |
Saskatchewan Staff Notice |
Preparation
and Audit Requirements for Future Oriented Financial
Information included in NI 45-106 Offering Memoranda |
Feb 3, 2005. Amended
September 14, 2005. |
Sets out staff's views
relating to the preparation and audit of future oriented
financial information included in offering memoranda
prepared under NI 45-106 Prospectus and Registration
Exemptions. |
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45-801 |
Implementing Order |
Implementing Multilateral Instrument 45-102 Resale of Securities |
November, 30, 2001 |
Grants exemptions necessary to implement Multilateral Instrument 45-102. Also amends prior Commission rulings to substitute the resale rules in MI 45-102 for the resale rules in the rulings. |
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45-901 |
General Exemption Order |
Self-Directed Registered Education Savings Plans |
October 24, 1990. |
Grants registration and prospectus exemption to self-directed education savings plans approved under the ITA. |
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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. |
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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. |
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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. |
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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. |
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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. |
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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. |
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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. |
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Requirements Affecting Distributions by Certain Issuers |
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46-201 |
National Policy |
Escrow for Initial Public Offerings |
June 30, 2002 |
Describes the circumstances where securities regulators consider an escrow agreement necessary and the terms of escrow we consider appropriate.
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46-201F1 |
Form |
Escrow Agreement |
June 30 2002 |
Sets out the form of escrow agreement under National Policy 46-201 |
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46-301 |
CSA Staff Notice |
Proposal for Uniform Terms of Escrow Applicable to Initial Public Distributions |
March 17, 2000 |
Summarizes the key elements of a CSA proposal for uniform terms of escrow that would apply to initial public distributions of securities by prospectus ("IPOs"). States that until a national instrument is implemented, securities regulatory
staff will be guided by the proposal as outlined in the notice in dealing with escrow arrangements under IPOs after the date of the notice. |
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46-303 |
CSA Staff Notice |
Principal-Protected Notes |
July 7, 2006 |
Details the CSA's concerns about the
distribution and sale of principal protected notes and the
CSA's proposed course of action. |
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46-501 |
Local Instrument |
Disclosure of Cash Calls |
January 17, 2000. |
Imposes additional disclosure requirements when the terms of a limited partnership agreement in an offering include a cash call. |
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Advertising and Marketing Material |
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47-201 |
National Policy |
Trading Securities Using the Internet and Other Electronic Mean |
January 1, 2000. |
States the views of the CSA on a number of matters relating to the use of the Internet and other electronic means of communication in connection with trades and distributions of securities. |
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47-302 |
CSA Staff Notice |
Pre-marketing of underwriters' options on bought deals |
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. |
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47-501 |
Local Instrument |
Marketing Communications |
September 19, 2000. |
Set standards that apply to marketing communications. A "marketing communication" is any oral or written communication disseminated by any means by or on behalf of an issuer to promote a trade or that could reasonably be regarded as promoting a
trade in a security (other than a mutual fund security) of the issuer or of an affiliate of the issuer. Into force Sept 19/00 |
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47-501CP |
Companion Policy |
Companion Policy to Local Instrument 47-501 Marketing Communications |
September 19, 2000 |
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Distribution Restrictions |
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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. |
