WestlaweCARSWELL    News Centres    Events    Learning & Support    Law School    Contact Us    Litigator    International  
  LawSource    CriminalSource    FamilySource    Estates&TrustsSource    InsolvencySource    SecuritiesSource    IPSource  
  SecuritiesSource > What's In
  SecuritiesSource
    Features & Benefits
    Navigation
    Directory
    Pricing
    Subscribe Now!
    What's In
    Abridgment eDigests
    News Centre
      This Week's News
      Updates
      OSC Perspectives
    Currency Notes
      Announcements
      Regulatory Materials
      Legislation
      Table of Concordance
      Commentary
      Case Law/Rulings
Review descriptions of all information in your service.

 

·       Case Law/Rulings                            

·       Legislation

·       Commentary/Precedents

·       Regulatory Materials

·       KeyCiteCanada

Regulatory Materials

SecuritiesSource has information from securities commissions or their

equivalents, stock exchanges, and other self-regulating organizations. This information is organized by jurisdiction, issuing body and document type.

 

Alberta Securities Commission

·         Publication of the ASC Summary was discontinued in 2001. For your convenience, SecuritiesSource continues to post ASC regulatory material on a weekly basis in a format resembling the former Summary. It is accessible from the homepage link, “Alberta Securities Commission Summary”. The full text of 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:

o        Notices

o        Press Releases

o        Policies

o        Legislation

o        Requests for Comments

 

Alberta Stock Exchange

Alberta Stock Exchange (ASE) materials remain on the service for reference purposes.

·         ASE Members Manual. Contains the list of the Board of Governors and Officers, By-Law, Internal Control Policy Statements, Minimum Industry Standards for Retail Account Supervision, and the Joint Regulatory Financial Questionnaire and Report.

·         The ASE Act (look under “Legislation”).

·         ASE Policy and Procedures Manual. Contains the Circulars and Forms.

 

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”. 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:

o        Notices

o        News Releases

o        Blanket Orders

o        Policies

o        Legislation 

 

Canadian Securities Administrators

All current Notices, National Instruments, Policies, Policy Statements (old numbering system), Uniform Act Policies, Principles of Regulation.

 

Investment Dealers Association of Canada

The following material is available:

·       By-Laws

·       Regulations

·       Forms

·       Bulletins

·       Policies

·       Statements

·       News Releases

 

Investment Funds Institute of Canada

The following material is available:

·       By-Laws

·       Regulations

·       Code of Practice

 

Manitoba Securities Commission

All current Policy Statements, Notices, and Blanket Orders.

 

New Brunswick Office of the Administrator of Securities

All current Policies and Interpretation Notices.

 

Newfoundland and Labrador Securities Division

All current Policy Statements and Blanket Orders.

 

Northwest Territories, Registrar of Securities

All current Blanket Orders and related Forms.

 

Nova Scotia Securities Commission

All current Policies, Blanket Orders, Notices, and Interpretation Notes.

 

Nunavut Legal Registries Division

All current Blanket Orders.

 

Ontario Securities Commission

·         The most recent OSC Bulletins are available from the homepage link “Ontario Securities Commission Bulletin”.

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

o        Notices

o        News Releases

o        Rules

o        Policies

o        Requests for Comments

o        SRO Notices and Disciplinary Proceedings

 

Toronto Stock Exchange (TSX)

·         TSX Rule Book – contains TSE Rules, Policies and Concordances and replaces the General By-Laws.

·         TSX Company Manual – contains all the listing policies and appendices.

·         TSX Notices – inclusive back to November, 1995.

·         TSX Regulatory Notices – inclusive back to 1996.

·         Toronto Venture Exchange Corporate Finance Manual. Includes update notices.

 

Prince Edward Island, Director of Corporations, Department of Provincial Affairs and Attorney General

No regulatory materials from this jurisdiction.

 

Quebec Securities Commission (Commission des valeurs mobilières du Quebec)

QSC Policy Statements (English version).

 

Montreal Exchange

By-Laws, Fees, Rules, Policies, and The Charter of the Montreal Stock Exchange (English versions). Amendments made by Circulars are incorporated on an ongoing basis but Circulars are not published independently after 2000.

 

Saskatchewan Securities Commission

Regulatory materials published in the SSC Bulletin and on the SSC Web site. Includes reformulated and pre-reformulation documents.

 

Vancouver Stock Exchange

The following VSE materials remain on SecuritiesSource for reference purposes:

·         VSE By-Laws and Rules Manual – contains By-Laws, Rules, Polices, and Forms.

·         VSE Corporate Finance Services Policy and Procedures Manual – contains listing policies, appendices, update notices and preliminary material.

 

Legislation

SecuritiesSource contains the securities acts, related regulations and forms from all Canadian jurisdictions..

 

You can access legislation on SecuritiesSource in many ways, including the legislation search template, the Table of Contents or through the Find/KeyCite template. SecuritiesSource also includes documents that resemble legislation but are otherwise categorized as "Regulatory Materials".

 

Table of Concordance

SecuritiesSource contains a concordance of securities acts from all jurisdictions in Canada, providing a quick comparison of related sections. This concordance is updated monthly.

 

SecuritiesSource Legislation Collection

The following full-text statutes, rules and regulations are included with your SecuritiesSource subscription.

 

Federal

·         CBCA Act and Regulation

·         Investment Canada Act and Regulation

·         United Nations Suppression of Terrorism Regulations

 

Alberta

·         Securities Act

·         Alta. Reg. 115/95 – Securities Regulation

·         Alberta Securities Commission Rules (General)

·         The Alberta Stock Exchange Act (see "Policy Documents – National" for the TSX Corporate Finance Manual)

·         Alberta Stock Exchange Restructuring Act

·         Securities Act [Repealed]

 

British Columbia

·         Securities Act

·         B.C. Reg. 69/2002 – Multilateral Instrument 45-103 Capital Raising Exemptions, and Schedule

·         B.C. Reg. 310/01 – National Instrument 33-105 Underwriting Conflicts

·         B.C. Reg 269/01 – Multilateral Instrument 45-102 Resale of Securities

·         B.C. Reg. 230/2001 – National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI)

·         B.C. Reg. 252/01 – National Instrument 23-101 Trading Rules

·         B.C. Reg. 251/01 – National Instrument 21-101 Marketplace Operation

·         B.C. Reg. 174/01 – National Instrument 33-102 Regulation of Certain Registrant Activities

·         B.C. Reg. 165/01 – National Instrument 45-101 Rights Offerings

·         B.C. Reg. 138/2001 – National Instrument 55-101 Exemption from Certain Insider Reporting Requirements

·         B.C. Reg. 12/2001 – National Instrument 43-101 Standards of Disclosure for Mineral Projects

·         B.C. Reg. 9/2001 – Commission Rule 45-502 (BC) Cooperative Associations

·         B.C. Reg. 425/2000 – National Instrument 44-102 Shelf Distributions

·         B.C. Reg. 424/2000 – National Instrument 44-101 Short Form Prospectus Distributions

·         B.C. Reg. 423/2000 – National Instrument 41-101 Prospectus Disclosure Requirements

·         B.C. Reg. 422/2000 – National Instrument 35-101 Conditional Exemption from Registration for United States Broker-Dealers and Agents

·         B.C. Reg 189/2000 – Commission Rule 45-501 (BC) Mortgages

·         B.C. Reg. 83/2000 – The Early Warning System and Related Take-over Bid and Insider Reporting Issues

·         B.C. Reg. 82/2000 – Disclosure of Outstanding Share Data

·         B.C. Reg. 81/2000 – Control Block Distribution Issues

·         B.C. Reg. 2/2000 – National Instrument 81-102 Mutual Funds

·         B.C. Reg. 1/2000 – National Instrument 81-101 Mutual Fund Prospectus Disclosure

·         Rule 71-802 – Distributions Outside of British Columbia under the – United States Multijurisdictional – Disclosure System

·         Rule 71-801 – Implementing the Multijurisdictional Disclosure System – Under National Instrument 71-101

·         B.C. Rule – 32-101 – Small Securityholder Selling and Purchase Arrangements

·         B.C. Reg. 196/97 – Securities Regulation

·         B.C. Reg. 195/97 – Rule Making Procedure Regulation

·         B.C. Reg. 194/97 – Securities Rules

·         B.C. Reg. 193/97 – Registration Transfer Rules

·         Vancouver Stock Exchange Act (see "Policy Documents – National" for the TSX Corporate Finance Manual)

·         B.C. Reg. 343/98 – National Instrument 71-101 The Multijurisdictional Disclosure System

·         B.C. Reg. 48/97 – National Instrument 14-101 Definitions

·         B.C. Reg. 378/96 – National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)

 

Manitoba

·         Securities Act

·         Man. Reg. 491/88 – Securities Regulation

·         Man. Reg. 246/97 – Rule-Making Procedure Regulation

·         The Commodity Futures Act

·         Man. Reg. 179/99 – Commodity Futures Fees Regulation

·         Man. Reg. 180/99 – Commodity Futures Rule-Making Procedure Regulation

 

New Brunswick

·         Security Frauds Prevention Act

·         N.B. Reg. 84-128 – General Regulation

·         N.B. Reg. 84-52 – Exemption Regulation

·         N.B. Reg. 84-243 – Certificate of Registration

 

Newfoundland and Labrador

·         Securities Act

·         Nfld. Reg. 805/96 – Securities Regulations

·         Personal Property Security Act

 

Northwest Territories

·         Securities Act

·         Securities Regulations

·         Securities Fees Regulations

 

Nova Scotia

·         Securities Act

·         Securities Regulation

·         Community Economic-Development Corporations Regulations

 

Nunavut

·         Interpretation Act

·         Securities Act (Nunavut)

·         Nun. Reg. S-5 – Securities Regulations

·         Nun. Reg. 20 (Supp.) – Securities Fees Regulations

 

Ontario

·         Securities Act

·         Securities Regulations

·         Toronto Stock Exchange Act

·         OBCA and Regulation

·         Commodity Futures Act and Regulation

 

Prince Edward Island

·         Securities Act

·         P.E.I. Reg. EC2002-139 – Securities Act Fees Regulations

·         P.E.I. Reg. EC165/89 – Securities Act Regulations

 

Québec

·         Securities Act

·         Securities Regulation

·         An Act Respecting the Distribution of Financial Products and Services

·         Que. Reg. 161-2001 – Regulation respecting the rules of ethics in the securities sector

·         Que. Reg. 1085-2000 – Designation of persons who may offer an insurance product that cannot be offered by a distributor

·         Que. Reg. 44-2000 – Designation of persons permitted to offer an insurance product that cannot be offered by a distributor

·         An Act respecting market intermediaries

·         An Act Respecting Nasdaq Stock Exchange Activities in Québec

·         The Charter of the Montreal Stock Exchange

 

Saskatchewan

·         The Securities Act, 1988

·         Sask. Reg. c. S-42.2, Reg. 1 – The Securities Regulations

·         Sask. Reg. c. S-42.2, Reg. 2 – The Securities Commission (Regulation Procedures) Regulations

·         Sask. Reg. c. S-42.2, Reg. 3 – The Securities Commission (Adoption of National Instruments) Regulations

·         Sask. Reg. c. S-42.2, Reg. 5 – The Securities Commission (Local Instruments) Regulations

·         Sask. Reg. c. S-42.2, Reg. 6 – The Securities Commission (Disclosure of Personal Information) Regulations

 

Yukon

·         Securities Act

1976/176 – Securities Regulations
 

Commentary

SecuritiesSource contains the commentary found in Volumes 1 and 2 of the Securities Law and Practice print service published by Carswell.

 

Newsletter

The Securities Newsletter is edited by Jeffrey Read of Fraser, Milner, Casgrain LLP with contributions from securities law experts from across the country. It is published as new developments arise. Complete archives back to 1998 are available on SecuritiesSource.

 

Precedents

SecuritiesSource contains all of the precedents contained in the Canadian Securities Law Precedents print service published by Carswell.

 

Case Law/Rulings

SecuritiesSource contains securities-related case law dating back to 1855, including:

·         all case law published in the Canadian Cases on the Law of Securities (CCLS)

·         full-text rulings, orders, and decisions from the ASC and BCSC since 1998

·         full-text rulings from the Ontario Securities Commission since 1994.

 

Canadian Abridgment Case Digests

SecuritiesSource contains digests of securities-related case law back to 1855, drawn from Carswell's Canadian Abridgment Case Digests print service. This print service is a comprehensive collection of digests of Canadian case law. With the exception of Quebec civil law cases, this collec