Frequently Asked Questions

...a paper copy of my registration form? For those registration processes that remain paper-based (such as firm registrations or submission of supporting documents), will we need to continue to submit...

CSA announces adoption of amendments to National Instrument 24-101 Institutional Trade Matching and Settlement

Toronto – The Canadian Securities Administrators (CSA) today published final amendments (Amendments) to National Instrument 24-101 Institutional Trade Matching and Settlement and changes to its Companion Policy. The Amendments reflect...

CSA announces exemption from certain filing requirements of National Instrument 24-101 Institutional Trade Matching and Settlement

Toronto – The Canadian Securities Administrators (CSA) today published a Notice announcing a temporary exemption on the applicability of section 4.1 of National Instrument 24-101 Institutional Trade Matching and Settlement...

Publication of a CSA Multilateral Staff Notice regarding the filing of the report by the auditor required by National Instrument 81-102 Investment Funds

...Jurisdictions) today published CSA Multilateral Staff Notice 81-328 Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of National Instrument 81-102 Investment Funds regarding the...

Canadian securities regulators remind investors to do their research during Fraud Prevention Month

...CSA members are also running initiatives to highlight the importance of researching investments, checking registration through the CSA’s National Registration Search and being familiar with the red flags of fraud before...

Canadian securities regulators seek comment on proposed rule for venture issuers

...Comment announcing proposed NI 51-103, proposed amendments to National Instrument 41-101 General Prospectus Requirements, National Instrument 44-101 Short Form Prospectus Distributions, and National Instrument 45-106 Prospectus and Registration Exemptions, and...

Canadian securities regulators remind capital market participants of upcoming deadline as they prepare to transition to SEDAR+

...for public documents and information filed by issuers in Canada in accordance with applicable securities legislation.   At launch, SEDAR+ will replace SEDAR, the national Cease Trade Order (CTO) database, the...

Canadian securities regulators seek second round of input on proposed business conduct rules for derivatives dealers and advisers

...Instrument was originally published for comment on April 4, 2017 (the first consultation). The Proposed Instrument, together with Proposed National Instrument 93-102 Derivatives: Registration and a related companion policy (NI 93-102) published...

Canadian securities regulators adopt new nationally harmonized start-up crowdfunding rules

Vancouver – The Canadian Securities Administrators (CSA) today adopted harmonized rules for securities crowdfunding. National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions  introduces a single, uniform set of rules that replaces and...

CSA Publications (CFR)

...National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations (31-103CP) Autorité des marchés financiers [French] [English] Alberta...