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 February 26, 2010. 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 May 28, 2010. 

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 February 26, 2010. 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 May 28, 2010.

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Investment Dealers Association of Canada

Current to Bulletin 3724 (May 26, 2008).

Investment Industry Regulatory Organization of Canada

Current to Rules Notices (Dealers) 10-0155 (May 28, 2010) and Rules (Marketplace Notices) 10-0156 (May 28, 2010).

 

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 2010-18 (May 31, 2010).

 

Market Regulation Services Inc.

Universal Market Integrity Rules are available under the Table of Contents’ Regulatory Materials heading “National – Market Regulation Services”.

Montreal Exchange

Current to Circular 076-2010 (June 4, 2010).  Amendments made by Circulars are incorporated on an ongoing basis but Circulars are only published for 2009 going forward.

 

Mutual Fund Dealers Association

Current to Notice of amendment to By-law No. 1 (July 20, 2007).

New Brunswick Securities Commission

Current to Regulatory Instrument 62-103 (March 1, 2010) and Notice 51-403 (May 31, 2010).

Newfoundland & Labrador Securities Commission

Current to Amendments to Blanket Order 55 (December 17, 2007).

Northwest Territories Securities Commission

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

Nova Scotia Securities Commission

Current to Notice 51-403 (May 31, 2010), Rules 81-101 (April 12, 2010), and Blanket Order 24-502 (April 16, 2010).

 

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 33, Issue 22 (June 4, 2010).

 

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 31-508 (March 27, 2010).

Saskatchewan Financial Securities Commission

Current to General Rulings/Orders 51-403 (May 31, 2010).

 

Toronto Stock Exchange  

Current to Notice 2010-012 (April 16, 2010). 

 

TSX Venture Exchange

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