Regulatory Materials

“Regulatory Materials” includes information from securities commissions or their equivalents, stock exchanges, and other self-regulating organizations.

 

Alberta Securities Commission

Publication of the ASC Summary was discontinued in 2001. SecuritiesSource continues to post ASC regulatory material on a weekly basis in a format resembling the former Summary for your convenience. It is accessible from the homepage link, “Alberta Securities Commission Summary” and is current to the week ending December 30, 2011. Full text ASC Summaries from the first issue of 1999 (Vol. 8, Issue 1: Jan. 8, 1999) to the final issue of 2001 (Vol. 10, Issue 13: Mar. 30, 2001) are also accessible from this link.

 

The following ASC material can also be accessed through the Table of Contents or the Regulatory Materials custom search template:

-          Notices

-          Press Releases

-          Policies

-          Legislation

-          Requests for Comment

These materials are current to the week ending December 30, 2011. 

 

Alberta Stock Exchange

Companies listed prior to Nov. 29, 1999, were permitted to use old policies until Mar. 1, 2000. For your convenience, legislation and regulatory materials pertaining to the ASE remain on the service.

 

British Columbia Securities Commission

Publication of the BCSC Weekly Summary was discontinued in 2000. SecuritiesSource continues to post BCSC regulatory material on a weekly basis in a format resembling the former Weekly Summary for your convenience. It is accessible from the homepage link “B.C. Securities Commission Weekly Summary” and is current to the week ending December 30, 2011. The full text of BCSC Weekly Summaries from the first issue of 1999 (Vol. 8, Issue 1, Jan. 8, 1999) to the final issue of 2000 (Issue 00:35, Sept. 8, 2000) are also accessible from this link.

 

The following BCSC material can also be accessed from the Table of Contents or the Regulatory

    Materials custom search template:

-          Notices

-          News Releases

-          Blanket Orders

-          Policies

-          Legislation

These materials are current to the week ending December 30, 2011.

 

Investment Industry Regulatory Organization of Canada

Current to Rules Notices (Dealers) 11-0361 (December 15, 2011) and Rules (Marketplace Notices) 11-0359 (December 13, 2011).

 

IIROC Decisions/Rulings, going back to 2008, are updated weekly.

 

Investment Funds Institute of Canada

General By-Law and Regulations - 2001 are on the service including October 2002 amendments.

 

Manitoba Securities Commission

Current to Notice 2011-32 (August 19, 2011).

 

Montreal Exchange

Current to Circular 189-11 (December 21, 2011).

 

Mutual Fund Dealers Association

Current to Notice MR-0079 (March 4, 2011), and Bulletin 0517-M (December 20, 2011).

MFDA Decisions/Rulings, going back to 2004, are updated weekly.

New Brunswick Securities Commission

Current to Blanket Order 31-523 (September 28, 2011) and CSA Notice 41-306 (September 29, 2011). 

Newfoundland & Labrador Securities Commission

Current to Blanket Order 69 (December 3, 2010).

 

Northwest Territories Securities Commission

Current to Blanket Order BO #10 (December 15, 2008).

 

Nova Scotia Securities Commission

Current to Blanket Order 31-524 (September 22, 2011) and CSA Notice 41-306 (September 29, 2011). 

 

Nunavut Legal Registries Division

Current to Blanket Order 3 (March 28, 2000).

 

Ontario Securities Commission

The most recent OSC Bulletins are available from the homepage link “Ontario Securities Commission Bulletin”. The latest Bulletin is posted every Friday afternoon.

 

The following OSC regulatory material is also accessible from the Table of Contents or through the Regulatory Materials custom search template:

-          Notices

-          News Releases

-          Rules

-          Policies

-          Requests for Comments

-          SRO Notices and Disciplinary Proceedings

These materials are current to Volume 34, Issue 51 (December 23, 2011).

 

OSC Bulletin – Insider Reports
We are pleased to announce that we have resumed publishing the weekly insider report information in Chapter 7 of the OSC Bulletin, beginning with Issue 27/04, dated Friday January 23, 2004.

 

Prince Edward Island Securities Commission

Current to Blanket Order 21-501 (December 15, 2011).

 

Saskatchewan Financial Securities Commission

Current to Order (December 19, 2011).

 

Toronto Stock Exchange  

Current to Notice 2011-075 (December 14, 2011).

 

TSX Venture Exchange

Current to Requests for Comments (October 12, 2007).