January 1, 2007 |
GRO
21-801 Exemptions under National Instrument 21-101
Marketplace Operations and National Instrument 23-101
Trading Rules |
December 29, 2006 |
Amendment Regulations, 2006 (No.3) comes into force
The Securities Commission (Adoption of National
Instruments) December 29, 2006 |
December 21, 2006 |
Notice and Request for Comment -
proposed National Instrument 41-101 General Prospectus
Requirements and Companion Policy 41-101CP General
Prospectus Requirements and proposed repeal of NI 41-101
Prospectus Requirements
Notice and Request for Comment
Appendix A - Summary of Significant Provisions in the Proposed
Rule
Appendix B (Schedule 1) - NI 41-101 General Prospectus
Requirements
Appendix B (Schedule 2) - Form 41-101F1 Information
Required in a Prospectus
Appendix B (Schedule 3) - Form 41-101F2 Information
Required in an Investment Fund Prospectus
Appendix B (Schedule 4) -
Companion Policy to NI 41-101General Prospectus
Requirements
Appendix C - Amendments to NI 14-101 Definitions
Appendix D (Schedule 1) - Amendments to NI 44-101 Short
Form Prospectus Distributions and Form NI 44-101F1
Short Form Prospectus of National Instrument
44-101 Short Form Prospectus Distributions
Appendix D (Schedule 2) - Amendments to Form 44-101F1 Short
Form Prospectus of National Instrument 44-101
Short Form Prospectus Distributions
Appendix D (Schedule 3) - Companion Policy to NI 44-101
Short Form Prospectus Distributions
Appendix E (Schedule 1) - Amendments to NI 44-102 Shelf
Distributions
Appendix F (Schedule 1) - Amendments to NI 44-103
Post-Receipt Pricing
Appendix F (Schedule 2) - Amendments to Companion Policy
44-103CP to National Instrument 44-103 Post-Receipt Pricing
Appendix G - Amendments to NI 45-101 Rights Offerings
and Form 45-101F - Information Required in a Rights
Offering Circular
Appendix H (Schedule 1) - Amendments to NI 51-102
Continuous Disclosure Obligations
Appendix I (Schedule 1) - Amendments to NI 81-101 Mutual
Fund Prospectus Disclosure, Form 81-101F1 Contents of
Simplified Prospectus, Form 81-101F2 Contents of Annual
Information Form
Appendix J (Schedule 1) - Amendments to NI 81-104 Commodity
Pools
Appendix K - Amendments to NP 43-201 Mutual Reliance Review
System for Prospectuses |
December 21, 2006 |
CSA
Press Release - Canadian Regulators Propose Harmonized
Prospectus Rule for Market Participants |
December 15, 2005 |
CSA Notice 51-322
Reporting Issuer Defaults |
December 14, 2006 |
Saskatchewan Policy
Statement 51-601 Reporting Issuers in Default |
December 8, 2006 |
CSA Notice 24-303 CSA
SRO Oversight Project Report |
December 8, 2006 |
Investor Watch - "Spam" e-mail that promotes hot stocks:
a risky proposition |
December 1, 2006 |
Notice and Request for comment - Rescission of NP 48
Future-Oriented Financial Information and amendments to NI
51-102 Continuous Disclosure Requirements
Appendix A - Summary of Amendments
Appendix B - Revocation of NP 48
Appendix C - Amendments to NI 51-102
Appendix D - Amendments to Form 51-102F1
Appendix E - Amendments to CP 51-102
Appendix F - Amendments to other instruments
Appendix G - Amendments to NP 51-201
Appendix H - Saskatchewan amendments
|
November 30, 2006 |
Douglas John Boyd and Sandra Faye Boyd - lifetime cease trade
order |
November 30, 2006 |
Agreement and Undertaking - Douglas John Boyd and Sandra
Faye Boyd |
November 22, 2006 |
The Securities Amendment Act, 2006 (No. 2) given
second reading |
November 22, 2006 |
Local Staff 13-703
Access to Records under The Securities Act, 1988
Schedule
B to Staff Notice 13-703 - Inventory of Records |
November 20, 2006 |
Local Staff Notice
11-703 Amendment to GRO 11-903 Recognition of the MFDA
to Extend Suspension of MFDA Rule 2.4.1 |
November 17, 2006 |
CSA Staff Notice 51-321
Q & A concerning resources and possible reserves - NI
51-101 Standards of Disclosure for Oil and Gas Activities
|
November 8, 2006 |
Amendments to The Securities Act, 1988 introduced |
November 3, 2006 |
CSA
Staff Notice 12-307 Ceasing to be a Reporting Issuer
under the Mutual Reliance Review System for Exemptive
Relief Applications |
November 1, 2006 |
Amendment Regulations, 2006 (No.2) comes into force
The Securities Commission (Adoption of National
Instruments) November 1, 2006 |
October 28, 2006 |
CSA Staff Notice 21-305
Extension of Approval of Information Processor for
Corporate Fixed Income Securities |
October 28, 2006 |
CSA Staff Notice 13-316
Amendments to the SEDAR Filer Manual |
October 27, 2006 |
Request for comment on proposed
amendments to National Instrument 55-101 Insider
Reporting Exemptions. Comment period ends January
25, 2007.
Notice - Request for Comment
Appendix A - amendments to National Instrument 55-101Insider
Reporting Requirements
Appendix B - National Instrument 55-101 Insider
Reporting Requirements - blacklined
Appendix C - Companion Policy 55-101CP - blacklined |
October 17, 2006 |
Investor Watch - Advertisements Promoting Investment
Opportunities |
October 13, 2006 |
Amendments to NI 51-102 Continuous Disclosure
Obligations, Form 51-102F1, Form 51-102F2, Form
51-102F3, Form 51-102F4, Form 51-102F5, Form 51-102F6 and
CP 51-102CP Continuous Disclosure Obligations, NI
52-107 Acceptable Accounting Principles, Auditing
Standards and Reporting Currency, NI 71-102
Continuous Disclosure and Other Exemptions relating to
Foreign Issuers and CP 71-102CP Continuous
Disclosure and Other Exemptions relating to Foreign Issuers comes into effect December 29, 2006
Notice
Amendments to NI 51-102 Continuous Disclosure
Obligations
Amendments to Form 51-102F1, Form 51-102F2, Form 51-102F3,
Form 51-102F4, Form 51-102F5, Form 51-102F6
Amendments to NI 52-107 Acceptable Accounting
Principles, Auditing Standards and Reporting Currency
Amendments to NI 71-102
Continuous Disclosure and Other Exemptions relating to
Foreign Issuers
Consequential amendments to NI 44-101 Short Form
Prospectus Distributions
Consequential amendments to Form NI 44-101F1
|
September 29, 2006 |
General Ruling/Order
45-917
Filing Requirements for Amended Offering Memoranda |
September 25, 2006- |
Request for comment - proposed
amendments to National Instrument 21-101 Marketplace
Operation and Companion Policy 21-101CP and National
Instrument 23-101 Trading Rules and Companion Policy
23-101CP
Notice
Amendments to NI 21-101 Marketplace Operation
Amendments to Companion Policy 21-101CP
Amendments to Form 21-101F2 Initial Operation Report
Alternative Trading System and Form 21-101F5 Initial
Operation Report for Information Processor
Amendments to NI 23-101 Trading Rules
Amendments to Companion Policy 23-101CP
|
September 22, 2006 |
CSA Staff Notice 52-316
Certification of Design of Internal Control Over
Financial Reporting |
September 22, 2006 |
CSA Staff Notice 52-315
Certification Compliance Review |
September 8, 2006 |
CSA Staff Notice 51-320
Options Backdating |
September 6, 2006 |
Cease trade order against Gerald Blerot and others extended |
August 28, 2006 |
Temporary Cease Trade Order
issued against:
Gerald Wilfred Blerot
Plain Investments Inc.
Executive Marketing and Strategies Ltd.
Jean Sayers
Jennifer Dawn Sayers
Ryan Sayers
News Release
Cease Trade Order |
August 14, 2006 |
Cease trade order against Wellington Trading Group S.A
extended |
August 9, 2006 |
CSA Staff Notice 52-306
(Revised) Non-GAAP Financial Measures |
August 9, 2006 |
CSA Staff Notice 51-319
Report on staff's second continuous disclosure review of
income trust issuers |
August 1, 2006 |
The Securities Commission (Adoption of National
Instruments) Amendment Regulations, 2006 in force
August 1, 2006 |
July 31, 2006 |
Temporary cease trade order
issued against:
Wellington Trading Group S.A.
Eric Aquavia
Dan Davis
Al Moxey
Ronnie Bethel
Timothy Bell
Russell Finklestein
Please note
that the Wellington Trading Group S.A. referred to in this
Cease Trade Order is not connected in any way and should
not be confused with
Wellington
Management Company, LLP, Wellington West Capital Inc. or
Wellington West Financial Services Inc. which are all
registered in good standing in Saskatchewan.
Cease
Trade Order
|
July 28, 2006 |
NI 81-107 Independent Review
Committee for Investment Funds comes into force on
November 1, 2006.
Notice
Appendix A - Summary of Changes
Appendix B - Summary of Public
Comments on NI 81-107 and Commentary
Appendix C - NI 81-101
Appendix D - NI 81-102
Appendix E - NI 81-106
Appendix F - NI 13-101
Appendix G - NI 81-104
NI
81-107
|
July 21, 2006 |
Request for Comment - Proposed National Instrument 23-102
Use of Client Brokerage Commissions as Payment for Order
Execution Services or Research ("Soft Dollar"
Arrangements)
Notice
Appendix A NI 23-102
NI
23-102
CP 23-102
|
July 11, 2006 |
Saskatchewan Staff Notice 32-802 Saskatchewan Local
Instrument 32-501 Deposit Agents |
July 7, 2006 |
Investor Watch -
Principal Protected Notes (PPNs) |
July 7, 2006 |
CSA Staff Notice 46-303 Principal Protected Notes |
June 29, 2006 |
CSA Staff Notice 52-314
Securities Regulators Want Your Feedback on XBRL |
June 8, 2006 |
General Ruling/Order
31-902 Saskatchewan Small Business Security Issuers
Amended |
June 8, 2006 |
Cease trade order against Fagundes (alias "Silver"),
Kowalchuks and Goebel extended |
June 2, 2006 |
CSA Staff Notice 43-306
Technical reports filed for prospectus offerings |
June 1, 2006 |
GRO 11-907
Designation Order Pursuant to Section 11.1 |
May 30, 2006 |
Temporary cease trade order
issued against:
Fernando Fagundes (alias
"Shane Silver")
Kim John Kowalchuk
Allan D. Kowalchuk
Reginald Allen Goebel
News Release
Cease Trade Order |
May 29, 2006 |
GRO 11-906 Offering
Memorandum Specification Order |
May 29, 2006 |
Amendments to The Securities Act, 1988 come into
force June 1, 2006 |
May 25, 2006 |
GRO 45-916 Exemption
for Solicitations of Expressions of Interest |
May 12, 2006 |
Amendments to NI 31-102
National Registration System and to NP 31-201
National Registration System
Notice
Amendments to National Instrument 31-102 National
Registration System
Amendments to National Policy 31-201 National
Registration System
|
May 12, 2006 |
Request for Comment -
Amendments to MI 33-109 Registration Information and
MI 31-102 National Registration Database
Notice
Amendments to MultiIateral Instrument 33-109
Registration Information
Amended Companion Policy 33-109CP
Amendments to Multilateral Instrument 31-102 National
Registration Database
Amended Companion Policy 31-102CP
|
May 11, 2006 |
Commission issues decision in the matter of Edourad Yvon
Elzear Bonamie, Pat Theriault, Ives Business Services Inc.,
Family Circle 40/40 Option Fund and The World of
Synchrotron Performance Fund. |
May 4, 2006 |
General Ruling/Order
45-915 Exemptions for Certain Supranational Agencies |
May 3, 2006 |
The Securities Amendment Act, 2005 comes into force
on June 1, 2006 |
May 2, 2006 |
"Test Your Financial IQ" contest winners announced |
May 1, 2006 |
Notice and Request for Comment
- National Instrument 62-104 Take-Over Bids and Issuer
Bids
Notice
Schedule 1 - Consequential Amendments to NI 62-103 The
Early Warning System and Related Take-over Bid and
Insider Reporting Issuers
NI 62-104
Companion
Policy 62-104CP
Form
62-104F1 Take-Over Bid Circular
Form
62-104F2 Issuer Bid Circular
Form
62-104F3 Director's Circular
Form
62-104F4 Director's or Officer's Circular
Form
62-104F5 Notice of Change or Notice of Variation
|
April 21, 2006 |
CSA Notice 47-302
Pre-marketing of underwriters' options on bought deals |
April 4, 2006 |
Cease trade order issued against Tri-Media Integrated
Marketing Technologies Inc. (formerly Andromeda Media
Capital Corporation Limited) |
March 17, 2006 |
Joint CSA/SRO Notice
23-304 Status of the Transaction Reporting and
Electronic Audit Trail System (TREATS) |
March 11, 2006 |
Euston Capital Corp. and George Schwartz appeal the
Commission's February 9, 2006 decision |
March 10, 2006 |
Status of Proposed MI 52-111
Reporting on Internal Control Over Financial Reporting
News Release
CSA Notice 52-313
|
March 10, 2006 |
CSA Notice 44-303
Filing of Notice of Intention To Be Qualified to File a
Short Form Prospectus under NI 44-101 |
March 8, 2006 |
IDA appeals and Frederick Smith cross-appeals the
Commission's February 6, 2006 decision |
March 3, 2006 |
CSA Notice 24-302
Entitlement to Payments to The Canadian Depository for
Securities Limited (CDS) |
March 3, 2006 |
Request for Comment - National
Instrument 24-101 Institutional Trade Matching and
Settlement
Notice
NI 24-101
Companion
Policy 24-101CP
|
March 3, 2006 |
CSA Notice 11-309
Withdrawal of CSA Notices |
February 24, 2006 |
CSA Notice 51-317 NI
51-101 Standards of Disclosure for Oil and Gas Activities
Application of Canadian Oil and Gas Evaluation Handbook |
February 13, 2006 |
Suspension of LI 32-501
Deposit Agents extended until October 1, 2006 |
February 9, 2006 |
Commission renders decision in the matter of Euston Capital
Corp. and George Schwartz et al
New Release
Decision
|
February 7, 2006 |
Commission renders decision in MacBain, Neufeld and
Smith v. The Investment Dealers Association of Canada |
January 27, 2006 |
GRO 52-903 Exemption from Multilateral Instrument 52-109 repealed |
January 27, 2006 |
CSA Staff Notice 11-308
Guidelines for use of Mobility Exemptions under Part 5 of MI 11-101
Principal Regulator System |
January 13, 2006 |
CSA Staff Notice 52-312 Audit
Committee Compliance Review
|
January 13, 2006 |
CSA Staff Notice 13-315
Securities Regulatory Authority Closed Dates 2006 |