The Office of the Superintendent of Securities of Newfoundland and Labrador administers the Securities Act and is empowered to make legally binding rules.
Note: all links below are PDFs and will open in a new window.
National Instrument
- 31-101 – National Registration System
- 33-105 – Underwriting Conflicts
- Rules (243 KB)
- Companion Policy (433 KB)
- 41-101 – Prospectus Disclosure Requirements
- Rules (19 KB)
- Companion Policy (1 MB)
- Form 1 (14 KB)
- Form 2 (12 KB)
- Amendments to National Instrument 41-101 (230 KB)
- Amendments to Companion Policy 41-101CP (139 KB)
- 43-101 – Standards of Disclosure for Mineral Projects
- Rules (50 KB)
- Companion Policy (31 KB)
- Appendix (16 KB)
- Form 1 (34 KB)
- 44-101 – Short Form Prospectus Distributions
- Rules (183 KB)
- Companion Policy (186 KB)
- Form 3 (122 KB)
- 44-102 – Shelf Distributions
- Rules (158 KB)
- Companion Policy (33 KB)
- 44-103 – Post-Receipt Pricing
- Rules (44 KB)
- Companion Policy (17 KB)
- 45-101 – Short Form Prospectus Distributions
- Rules (33 KB)
- Companion Policy (22 KB)
- Form 1 (19 KB)
- 45-106 – Prospectus and Registration Exemptions
- 51-101 – Standards of Disclosure for Oil and Gas Activities
- Rules (1.9 MB)
- Companion Policy (221 KB)
- Form 1 (44 KB)
- Form 2 (13 KB)
- Form 3 (11 KB)
- 51-102 – Continuous Disclosure Obligations
- 55-101 – Exemption From Certain Insider Reporting Requirements
- Rules (100 KB)
- Companion Policy (88 KB)
- 52-107 – Acceptable Accounting Principles, Auditing Standards and Reporting Currency
- Rules (53 KB)
- Companion Policy (62 KB)
- Proposal (187 KB)
- 52-108 – Auditor Oversight
- Rules (17 KB)
- 54-101 – Communication with Beneficial Owners of Securities of a Reporting Issuer
- 55-102 – System for Electronic Disclosure by Insiders (SEDI)
- 58-101 – Disclosure of Corporate Governance Practices
- 71-102 – Continuous Disclosure and Other Exemptions Relating To Foreign Issuers
- Rules (47 KB)
- Companion Policy (22 KB)
- 81-101 – Mutual Fund Prospectus Disclosure
- Rules (34 KB)
- Companion Policy (56 KB)
- Form 1 (109 KB)
- Form 2 (73 KB)
- 81-105 – Mutual Fund Sales Practices
- Rules (41 KB)
- Companion Policy (56 KB)
- 81-106 – Investment Fund Continuous Disclosure
- Rules (140 KB)
- Companion Policy (65 KB)
- Form 1 (52 KB)
National Policies
- 58-201 – Corporate Governance Guidelines
- Policy (38 KB)
Multilateral Instrument
- 31-102 – National Registration Database
- Rules (26 KB)
- Companion Policy (12 KB)
- 33-109 – Registration Information
- 45-102 – Resale of Securities
- Rules (60 KB)
- Companion Policy (28 KB)
- Form 1 (16 KB)
- 45-105 – Trades to Employees, Senior Officers, Directors, and Consultants
- 52-109 – Certification of Disclosure In Issuers’ Annual and Interim Filings
- 52-110 – Audit Committees
- Rules (56 KB)
- Companion Policy (43 KB)
- Form 1 (19 KB)
- Form 2 (17 KB)
- 81-104 – Commodity Pools
- Rules (44 KB)
- Companion Policy (32 KB)
Local Rules
- 45-502 – Offering Memorandum Requirements For Newfoundland And Labrador
- Rules (173 KB)
- 51-801 – Implementing National Instrument 51-102 Continuous Disclosure Obligations
- Rules (13 KB)
- Companion Policy (9 KB)
- 71-801 – Implementing National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating To Foreign Issuers
- Rules (14 KB)
Revoked
- 45-103 – Capital Raising Exemptions Revoked September 14, 2005
- 45-501 – Capital Raising Exemptions Revoked March 31, 2004
- Rules (25 KB)
- 45-801 – Implementing National Instrument 45-103 Capital Raising Exemptions Revoked September 14, 2005
- Rules (18 KB)
Adobe® Acrobat® Reader software can be used for viewing PDF documents. Download Acrobat® Reader for free.