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Current Orders
- #129 – Temporary Foreign Issuer Exemption From Filing in SEDAR+
- #128 – Exemptions from Certain Filing Requirements in Connection with the Launch of the System for Electronic Data Analysis and Retrieval +
- #126 Temporary Exemption from certain filing requirements of National Instrument 24-101 Institutional Trade Matching and Settlement
- #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 clients
- #124 Exemptions From Filing Requirements During Switch to System of Electronic Data Analysis and Retrieval+ (SEDAR+)
- #123 Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers (REVISED)
- #122 Exemption from NI 52-112 Non-GAAP and Financial Measures Disclosure
- #121 Exempting Well-known Seasoned Issuers from Certain Prospectus Requirements (Revised End Date)
- #119 Exemption from Proficiency Requirements in National Instrument 81-104 Alternative Mutual Funds
- #118 Temporary Exemption From Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants
- #117 Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds
- #116 Temporary Exemption from Certain Corporate Finance Requirements
- #115 Temporary Exemptions from Certain Requirements to File or Send Securityholder Materials
- #114 Temporary Variation from Borrowing Limit to Accommodate Redemption Requests of Mutual Funds Investing in Fixed Income Securities
- #111 Exemption NI 24-101 Institutional Trade Matching and Settlement
- #110 Temporary Exemption from Certain Corporate Finance Requirements
- #109 Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds
- #108 Temporary Exemption From Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants
- #107 Temporary Exemption From Certain Reporting Requirements For Regulated Entities Carrying On Business In Newfoundland and Labrador
- #106 Relief from Certain Reporting Requirements Under NI 24-101 Institutional Trade Matching and Settlement
- #105 Exemption from Trade Repositories and Derivatives Date Reporting (NI 96-101)
- #104 Exemption from Mandatory Central Counterplay Clearing of Derivatives (NI 94-101)
- #103 Exemption from Certain Requirements of MI 96-101
- #102 Relief from Certain Derivatives Reporting Requirements
- #101 Delay 96-101 Trade Repositories & Derivatives Data Reporting
- #100 Exemptions from Certain Requirements in Form 45-106F – Report of Exempt Distribution
- #99 Exemptions from MI 51-105 Issuers Quoted in U.S. Over-the-Counter Markets
- #98 Exemptive Relief Brookfield Investments Corporation
- #96 Exemptions from Certain Client Relationship Model – Phase 2 (“CRM2”) Provisions of National Instrument 31-103
- #95 Exemption from the Dealer Registration Requirement and the Adviser Registration Requirement in Respect of Trades and Advice for U.S. Resident Clients
- #94 An Order Exempting Issuers whose Securities are listed on the Aequitas NEO Exchange from Certain Requirements
- #93 Exemption of MFDA Registrants from Certain Provision of National Instrument 31-103
- #92 Exemption of IIROC Registrants from Certain Provision of National Instrument 31-103
- #91 Designation of Aequitas NEO Exchange Inc. as a Designated Exchange
- #90 Relief from Requirement for a Corporation of an Individual Registrant that is an Agent of Mutual Fund Dealers to be Registered to Receive Compensation
- #89 IDA Voluntary Surrender as a SRO
- #88 Exemption from the Prospectus Requirement – March 13, 2014
- #87 Exemption From the Registration and Prospectus Requirement – Feb 19, 2014
- #85 Exemption from Multilateral Instrument 51-105
- #84 Exemption From Section 9 With Respect to the Distribution of Settlement Funds by IIROC
- #80 62-104 Alpha Main and Alpha Venture Plus
- #79 Order exempting issuers on Alpha Main
- #78 Order exempting issuers on Alpha Venture Plus
- #77 Exemption From Section 9 With Respect to the Distribution of Settlement Funds by IIROC
- #76 Revocation of Certain Registration Related Order
- #73 Exemption From The Registration Requirement For International Advisers.pdf#72 Exemption From The Registration Requirement For International Dealers
- #72 Exemption From The Registration Requirement For International Dealers
- #71 Exemption From Section 70 of Securities Act, Barclays Bank PLC
- #61 Exemption From Section 3.3 Of NI 31-103 For Representatives of Scholarship Plan Dealers
- #58 Exemption From Certain Sections Of NI 31-103 In Conjunction With Transaction And Grandfathering Matters
- #56 Exemption From Prohibited Representations Under Section 39(3) of the Securities Act
- #55 Exemption From The Requirements of MI 52-109 to file Full Annual Certificates and Full Interim Certificates For Venture Issuers
- #54 Exemption For Solicitations OF Expressions Of Interest in Connection With Over-Allotment Options
- #53 National Instrument 45-106 Discretionary Relief
- #52 Exception for Mutual Funds from Delivering Financial Statements
- #51 Contractual Right of Action Required to be Delivered in Rule 45-501
- #50 Relief Respecting the Requirement to Send Financial Statements to Security Holders
- #48 Exemption For a Trade On a Amalgamation, Arrangement or Specified Statutory Procedure
- #47 Finance Company Questionnaire and Financial Report
- #46 Suspension of Operation of SEDI
- #45A (Replaces and Revokes #45) Exemption Relief Pending the Adoption Multilateral Instrument 45-102
- #43 Implementation of National Instrument 55-102
- #42A (Replaces and Revokes #42) Time Period for Filing Insider Reports
- #41A (Replaces and Revokes #41) Certain Take-Over Bids and Issuer Bids
- #40 Long Form Prospectus Disclosure
- #39 Designation Pursuant to Section 149B of the Securities Regulation
- #38 Exemption From Certain Insider Reporting Requirements
- #37 System For Electronic Data Analysis And Retrieval
- #36 Trades in Securities in Connection With a Security Exchange Issuer Bid or an Amalgamation, Arrangement or Other Statutory Procedure
- #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 Claims
- #33 Zero Coupon Strip Bonds
- #32 National Policy Statement No.47 and the Solicitation of Expressions of Interest
- #31 Prompt Offering Qualifications System (Ruling & Order)
- #30 Prompt Offering Qualifications System (waivers)
- #29 First Trade in Securities Acquired Pursuant to Certain Exemptions
- #28 Toronto Stock Exchange Policies and the Montreal Exchange on Small Shareholder Selling and Purchase Agreements
- #27 Dividend Reinvestment and Stock Dividend Plans
- #26 Trading in Recognized Options Cleared Through Recognized Clearing Organizations
- #25 Certain Reporting Issuers (National Policy #41)
- #24 Self Directed Registered Education Savings Plan
- #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 Rights
- #21 Networking Arrangements Governed by the Principals of Regulation
- #20 Disclosure of Executive Compensation and Indebtedness of Directors and Senior Officers
- #19 Real Return Bond Strip Bonds
- #15 Limitations on a Registrant Underwriting Securities of a Related Issuer or Connected Issuer of the Registrant
- #14 Government Warrants
- #13 Automatic Investment of Dividends or Distributions in Shares or Units of Mutual
- #12 Mandatory Investment of Dividends or Distributions in Shares or Units of Mutual Funds
- #11 Mutual Fund Securities
- #9 Subsection 36(7) of the Act and Section 173 of the Regulations Made Under the Act
- #7 Certain Certificates for Government Securities
- #6 First Prospectuses Filed by National Policy No. 36 Mutual Funds
- #3 Certification Required for Filling Interim Financial Statements
- #1 Rules for Shelf Prospectus and Pricing Offerings After the Final Prospectus is Receipted
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 Provisions
- #113 Relief of Client Focused Reforms Relationship Disclosure Information Provisions
- #112 Relief of Client Focused Reforms Conflict of Interest Provisions
- #97 Exemption from the Registration Requirement in National Instrument 31-103 for Trades in Short-Term Debt Instruments
- #83 Exemptions from Certain Financial Statement Requirements of Forms 45-106F2
- #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 Firms
- #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 Firms
- #70 Exemption From The Registration Requirements For Trades In Short-Term Debt Instruments
- #69 Exemption From The Registration Requirement For Mortgage Investment Entities To Register As Investment Fund Managers And Advisers
- #68 (Repealed by Order No 76) Relief From The Requirement Under Subparagraph 13.2(3)(b)(i) For Mutual Fund Dealers
- #67 (Repealed by Order No 76) Relief From The Requirement Under Subparagraph 13.2(2)(b) Of NI 31-1
- #66 Relief From The Requirement To Provide The Relationship Disclosure Information Prescribed By Section 14.2(1) Of NI 31-103 For MFDA Member Firms
- #65 Relief From The Requirement To Provide The Relationship Disclosure Information Prescribed By Section 14.2(1) Of NI 31-103 For IIROC Member Firms
- #64 (Repealed by Order No 69) Exemption From The Registration Requirement For Mortgage Investment Entities To Register As Investment Fund Managers And Advisers
- #63.1 Exemption From The Registration Requirements For Trades In Short-Term Debt Instruments
- #62 (Repealed by Order No 76) Exemption From Section 14.5 Of NI 31-103 For Canadian Firms
- #60 (Repealed by Order No 76) Exemption From Sections 3.5 and 3.9 Of NI 31-103 For Portfolio Managers Adding A Category
- #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 Category
- #49 Exemptions Under Multilateral Instruments 31-102 and 33-109
- #44 Exemption From Certain Requirements of National Instrument 55-102
- #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 Claims
- #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 Rights
- #18 (Revoked and Replaced by #23) First Trade in a Security Acquired Under Subparagraph 73(1)(f)(iii)
- #17 (revoked and Replaced by #26) Recognized Options Rationalization Order
- #16 (revoked and replaced by #23) Subclause (iii) of Clause 73(1)(f) of the Securities Act
- #10 (revoked and replaced by #27) Dividend Reinvestment and Stock Dividend Plans
- #8 (revoked and replaced by #28) Toronto Stock Exchange Policy on Small Shareholder Selling and Purchase Agreements
- #5 (revoked and replaced by #27) Dividend Reinvestment and Share Purchase Plans
- #4 (replace and revoked by #29) First Trade in Securities Acquired Pursuant to Certain Exemptions
- #2 (revoked and replaced #26) Recognized Options Rationalization Order