Approval Orders
- 2022.11.24 – New Self-Regulatory Organization of Canada Recognition OrderOpens in new window (267 KB)
- 2022.11.24 – New Canadian Investor Protection Fund Approval OrderOpens in new window (196 KB)
- 2020.12.30 – The Canadian Investor Protection Fund Approval OrderOpens in new window (288 KB)
Blanket Orders
Current Orders
- #136 – Exemptions from Certain Conditions of the Listed Issuer Financing Exemption
- #135 – Prospectus Exemption for New Reporting IssuersOpens in new window
- #134 – Exemptions from Certain Prospectus and Disclosure RequirementsOpens in new window
- #133 – The Delegation of Functions to the Canadian Investment Regulatory Organization (CIRO)Opens in new window
- #131 – Temporary Exemptions from Derivatives Data Reporting Requirements Relating to the Unique Product Identifier for Commodity Derivatives Opens in new window
- #130 – Temporary Exemptions for Derivatives Firms from certain 0bligations when transacting with certain investment funds and for senior derivatives managers from certain reporting obligationsOpens in new window
- #129 – Extension – Temporary Foreign Issuer Exemption From Filing in SEDAR+Opens in new window
- #129 – Temporary Foreign Issuer Exemption From Filing in SEDAR+Opens in new window
- #128 – Exemptions from Certain Filing Requirements in Connection with the Launch of the System for Electronic Data Analysis and Retrieval +Opens in new window
- #126 Temporary Exemption from certain filing requirements of National Instrument 24-101 Institutional Trade Matching and SettlementOpens in new window
- #125 Temporary exemption from the requirement to transmit a report of exempt distribution through SEDAR+ in connection with distributions of eligible foreign securities to permitted clientsOpens in new window
- #124 Exemptions From Filing Requirements During Switch to System of Electronic Data Analysis and Retrieval+ (SEDAR+)Opens in new window
- #123 Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers (REVISED)Opens in new window
- #122 Exemption from NI 52-112 Non-GAAP and Financial Measures DisclosureOpens in new window
- #121 Exempting Well-known Seasoned Issuers from Certain Prospectus Requirements (Revised End Date)Opens in new window
- #119 Exemption from Proficiency Requirements in National Instrument 81-104 Alternative Mutual FundsOpens in new window
- #118 Temporary Exemption From Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets ParticipantsOpens in new window
- #117 Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment FundsOpens in new window
- #116 Temporary Exemption from Certain Corporate Finance RequirementsOpens in new window
- #115 Temporary Exemptions from Certain Requirements to File or Send Securityholder MaterialsOpens in new window
- #114 Temporary Variation from Borrowing Limit to Accommodate Redemption Requests of Mutual Funds Investing in Fixed Income SecuritiesOpens in new window
- #111 Exemption NI 24-101 Institutional Trade Matching and SettlementOpens in new window
- #110 Temporary Exemption from Certain Corporate Finance RequirementsOpens in new window
- #109 Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment FundsOpens in new window
- #108 Temporary Exemption From Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets ParticipantsOpens in new window
- #107 Temporary Exemption From Certain Reporting Requirements For Regulated Entities Carrying On Business In Newfoundland and LabradorOpens in new window
- #106 Relief from Certain Reporting Requirements Under NI 24-101 Institutional Trade Matching and SettlementOpens in new window
- #105 Exemption from Trade Repositories and Derivatives Date Reporting (NI 96-101)Opens in new window
- #104 Exemption from Mandatory Central Counterplay Clearing of Derivatives (NI 94-101)Opens in new window
- #103 Exemption from Certain Requirements of MI 96-101Opens in new window
- #102 Relief from Certain Derivatives Reporting RequirementsOpens in new window
- #101 Delay 96-101 Trade Repositories & Derivatives Data ReportingOpens in new window
- #100 Exemptions from Certain Requirements in Form 45-106F – Report of Exempt DistributionOpens in new window
- #99 Exemptions from MI 51-105 Issuers Quoted in U.S. Over-the-Counter MarketsOpens in new window
- #98 Exemptive Relief Brookfield Investments CorporationOpens in new window
- #96 Exemptions from Certain Client Relationship Model – Phase 2 (“CRM2”) Provisions of National Instrument 31-103Opens in new window
- #95 Exemption from the Dealer Registration Requirement and the Adviser Registration Requirement in Respect of Trades and Advice for U.S. Resident ClientsOpens in new window
- #94 An Order Exempting Issuers whose Securities are listed on the Aequitas NEO Exchange from Certain RequirementsOpens in new window
- #93 Exemption of MFDA Registrants from Certain Provision of National Instrument 31-103Opens in new window
- #92 Exemption of IIROC Registrants from Certain Provision of National Instrument 31-103Opens in new window
- #91 Designation of Aequitas NEO Exchange Inc. as a Designated ExchangeOpens in new window
- #90 Relief from Requirement for a Corporation of an Individual Registrant that is an Agent of Mutual Fund Dealers to be Registered to Receive CompensationOpens in new window
- #89 IDA Voluntary Surrender as a SROOpens in new window
- #88 Exemption from the Prospectus Requirement – March 13, 2014Opens in new window
- #87 Exemption From the Registration and Prospectus Requirement – Feb 19, 2014Opens in new window
- #85 Exemption from Multilateral Instrument 51-105Opens in new window
- #84 Exemption From Section 9 With Respect to the Distribution of Settlement Funds by IIROCOpens in new window
- #80 62-104 Alpha Main and Alpha Venture PlusOpens in new window
- #79 Order exempting issuers on Alpha MainOpens in new window
- #78 Order exempting issuers on Alpha Venture PlusOpens in new window
- #77 Exemption From Section 9 With Respect to the Distribution of Settlement Funds by IIROCOpens in new window
- #76 Revocation of Certain Registration Related OrderOpens in new window
- #73 Exemption From The Registration Requirement For International Advisers.pdf#72 Exemption From The Registration Requirement For International DealersOpens in new window
- #72 Exemption From The Registration Requirement For International DealersOpens in new window
- #71 Exemption From Section 70 of Securities Act, Barclays Bank PLCOpens in new window
- #61 Exemption From Section 3.3 Of NI 31-103 For Representatives of Scholarship Plan DealersOpens in new window
- #58 Exemption From Certain Sections Of NI 31-103 In Conjunction With Transaction And Grandfathering MattersOpens in new window
- #56 Exemption From Prohibited Representations Under Section 39(3) of the Securities ActOpens in new window
- #55 Exemption From The Requirements of MI 52-109 to file Full Annual Certificates and Full Interim Certificates For Venture IssuersOpens in new window
- #54 Exemption For Solicitations OF Expressions Of Interest in Connection With Over-Allotment OptionsOpens in new window
- #53 National Instrument 45-106 Discretionary ReliefOpens in new window
- #52 Exception for Mutual Funds from Delivering Financial StatementsOpens in new window
- #51 Contractual Right of Action Required to be Delivered in Rule 45-501Opens in new window
- #50 Relief Respecting the Requirement to Send Financial Statements to Security HoldersOpens in new window
- #48 Exemption For a Trade On a Amalgamation, Arrangement or Specified Statutory ProcedureOpens in new window
- #47 Finance Company Questionnaire and Financial ReportOpens in new window
- #46 Suspension of Operation of SEDIOpens in new window
- #45A (Replaces and Revokes #45) Exemption Relief Pending the Adoption Multilateral Instrument 45-102Opens in new window
- #43 Implementation of National Instrument 55-102Opens in new window
- #42A (Replaces and Revokes #42) Time Period for Filing Insider ReportsOpens in new window
- #41A (Replaces and Revokes #41) Certain Take-Over Bids and Issuer BidsOpens in new window
- #40 Long Form Prospectus DisclosureOpens in new window
- #39 Designation Pursuant to Section 149B of the Securities RegulationOpens in new window
- #38 Exemption From Certain Insider Reporting RequirementsOpens in new window
- #37 System For Electronic Data Analysis And RetrievalOpens in new window
- #36 Trades in Securities in Connection With a Security Exchange Issuer Bid or an Amalgamation, Arrangement or Other Statutory ProcedureOpens in new window
- #35 Certain Trades Relating to the Issue of Securities in Exchange for Mining Claims and the First Trade in Securities Acquired in Exchange for Mining ClaimsOpens in new window
- #33 Zero Coupon Strip BondsOpens in new window
- #32 National Policy Statement No.47 and the Solicitation of Expressions of InterestOpens in new window
- #31 Prompt Offering Qualifications System (Ruling & Order)Opens in new window
- #30 Prompt Offering Qualifications System (waivers)Opens in new window
- #29 First Trade in Securities Acquired Pursuant to Certain ExemptionsOpens in new window
- #28 Toronto Stock Exchange Policies and the Montreal Exchange on Small Shareholder Selling and Purchase AgreementsOpens in new window
- #27 Dividend Reinvestment and Stock Dividend PlansOpens in new window
- #26 Trading in Recognized Options Cleared Through Recognized Clearing OrganizationsOpens in new window
- #25 Certain Reporting Issuers (National Policy #41)Opens in new window
- #24 Self Directed Registered Education Savings PlanOpens in new window
- #23 Trades by Issuers Upon Exercise of Certain Conversion or Exchange Rights and the First Trade in Securities Against Upon Exercise of Such Conversion or Exchange RightsOpens in new window
- #21 Networking Arrangements Governed by the Principals of RegulationOpens in new window
- #20 Disclosure of Executive Compensation and Indebtedness of Directors and Senior OfficersOpens in new window
- #19 Real Return Bond Strip BondsOpens in new window
- #15 Limitations on a Registrant Underwriting Securities of a Related Issuer or Connected Issuer of the RegistrantOpens in new window
- #14 Government WarrantsOpens in new window
- #13 Automatic Investment of Dividends or Distributions in Shares or Units of MutualOpens in new window
- #12 Mandatory Investment of Dividends or Distributions in Shares or Units of Mutual FundsOpens in new window
- #11 Mutual Fund SecuritiesOpens in new window
- #9 Subsection 36(7) of the Act and Section 173 of the Regulations Made Under the ActOpens in new window
- #7 Certain Certificates for Government SecuritiesOpens in new window
- #6 First Prospectuses Filed by National Policy No. 36 Mutual FundsOpens in new window
- #3 Certification Required for Filling Interim Financial StatementsOpens in new window
- #1 Rules for Shelf Prospectus and Pricing Offerings After the Final Prospectus is ReceiptedOpens in new window
Inactive Orders
- #127 Exemption from derivatives reporting requirements in Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting for certain derivatives data relating to U.S. dollar London interbank offered rate
- #120 Transitional Relief Related to the Elimination of the Deferred Sales Charge Option in Respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability ProvisionsOpens in new window
- #113 Relief of Client Focused Reforms Relationship Disclosure Information ProvisionsOpens in new window
- #112 Relief of Client Focused Reforms Conflict of Interest ProvisionsOpens in new window
- #97 Exemption from the Registration Requirement in National Instrument 31-103 for Trades in Short-Term Debt InstrumentsOpens in new window
- #83 Exemptions from Certain Financial Statement Requirements of Forms 45-106F2Opens in new window
- #75 Transitional Relief From The Requirement To Provide The Relationship Disclosure Information Prescribed By Section 14.2(1) Of NI 31-103 For MFDA Member FirmsOpens in new window
- #74 Transitional Relief From The Requirement To Provide The Relationship Disclosure Information Prescribed By Section 14.2(1) Of NI 31-103 For IIROC Member FirmsOpens in new window
- #70 Exemption From The Registration Requirements For Trades In Short-Term Debt InstrumentsOpens in new window
- #69 Exemption From The Registration Requirement For Mortgage Investment Entities To Register As Investment Fund Managers And AdvisersOpens in new window
- #68 (Repealed by Order No 76) Relief From The Requirement Under Subparagraph 13.2(3)(b)(i) For Mutual Fund DealersOpens in new window
- #67 (Repealed by Order No 76) Relief From The Requirement Under Subparagraph 13.2(2)(b) Of NI 31-1Opens in new window
- #66 Relief From The Requirement To Provide The Relationship Disclosure Information Prescribed By Section 14.2(1) Of NI 31-103 For MFDA Member FirmsOpens in new window
- #65 Relief From The Requirement To Provide The Relationship Disclosure Information Prescribed By Section 14.2(1) Of NI 31-103 For IIROC Member FirmsOpens in new window
- #64 (Repealed by Order No 69) Exemption From The Registration Requirement For Mortgage Investment Entities To Register As Investment Fund Managers And AdvisersOpens in new window
- #63.1 Exemption From The Registration Requirements For Trades In Short-Term Debt InstrumentsOpens in new window
- #62 (Repealed by Order No 76) Exemption From Section 14.5 Of NI 31-103 For Canadian FirmsOpens in new window
- #60 (Repealed by Order No 76) Exemption From Sections 3.5 and 3.9 Of NI 31-103 For Portfolio Managers Adding A CategoryOpens in new window
- #59 (Repealed by Order No 76) Exemption From Sections 3.6, 3.10 and 3.14 Of NI 31-103 For Chief Compliance Officers Of Portfolio Managers Adding A CategoryOpens in new window
- #49 Exemptions Under Multilateral Instruments 31-102 and 33-109Opens in new window
- #44 Exemption From Certain Requirements of National Instrument 55-102Opens in new window
- #34 (Replace and Revoked) Certain Trades Relating to the Issue of Securities in Exchange for Mining Claims and the First Trade in Securities Acquired in Exchange for Mining ClaimsOpens in new window
- #22 (Revoked and Replace by #23) Trades by Issuers Upon Exercise of Certain Conversion or Exchange Rights and the First Trade in Securities Acquired Upon Exercise of Such Conversion or Exchange RightsOpens in new window
- #18 (Revoked and Replaced by #23) First Trade in a Security Acquired Under Subparagraph 73(1)(f)(iii)Opens in new window
- #17 (revoked and Replaced by #26) Recognized Options Rationalization OrderOpens in new window
- #16 (revoked and replaced by #23) Subclause (iii) of Clause 73(1)(f) of the Securities ActOpens in new window
- #10 (revoked and replaced by #27) Dividend Reinvestment and Stock Dividend PlansOpens in new window
- #8 (revoked and replaced by #28) Toronto Stock Exchange Policy on Small Shareholder Selling and Purchase AgreementsOpens in new window
- #5 (revoked and replaced by #27) Dividend Reinvestment and Share Purchase PlansOpens in new window
- #4 (replace and revoked by #29) First Trade in Securities Acquired Pursuant to Certain ExemptionsOpens in new window
- #2 (revoked and replaced #26) Recognized Options Rationalization Order
Cease Trade Orders
A Cease Trade Order (CTO) is a decision issued against a company or an individual. Orders are issued for reasons such as failing to meet disclosure requirements or as a result of an enforcement action that involves an investigation of potential wrongdoing.
For more information regarding Cease Trade Orders, please call (709) 729-2596.
| Issued Date | Name | Expiry Date |
|---|---|---|
| 2013/12/12 | GOLDMAN, Leonard: GTServ-Corp; Glendale Growth & Trust (92 KB) | None |
Recognition Orders
- 2025-08 N.L.S.A. – Designation Order – Matter of CNSX Markets Inc.Opens in new window
- 2023-06 N.L.S.A. – Recognition Order – Legal Name Change of New SRO to Canadian Investment Regulatory Organization (CIRO)Opens in new window
- 2019-03 N.L.S.A. – Recognition Order – Ice Trade Vault