Department of Community Services

Office of the Superintendent of Securities

National Policies and Multilateral Polices


11-201NP Electronic Delivery of Documents, effective November 18, 2011

11-202NP Process for Prospectus Reviews in Multiple Jurisdictions, effective September 28, 2009

11-203NP Process for Exemptive Relief Applications in Multiple Jurisdictions, effective May 5, 2015

11-204NP Process for Registration in Multiple Jurisdictions, effective September 28, 2009

11-205NP Process for Designation of Credit Rating Organizations in Multiple Jurisdictions, effective April 20, 2012

11-206NP Process for Cease to be a Reporting Issuer Applications, effective June 23, 2016

11-207NP Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions, effective June 23, 2016

12-202NP Revocation of Certain Cease Trade Orders, effective June 23, 2016

12-203NP  Management Cease Trade Orders, effective June 23, 2016

25-201NP Guidance for Proxy Advisory Firms, effective April 30, 2015

31-202NP Registration Requirement for Investment Fund Managers, effective September 28, 2012

41-201NP Income Trusts and other Indirect Offerings, effective August 13, 2013

46-201NP Escrow for Inital Public Offerings, effective November 17, 2015

Form 46-201F1 Escrow Agreement, effective November 17, 2015

47-201NP Trading Securities Using the Internet and Other Electronic Means, effective August 13, 2013

51-201NP Disclosure Standards, effective May 31, 2013

58-201NP Corporate Governance Guidelines, effective March 17, 2008

62-202NP Take-Over Bids - Defensive Tactics, effective March 17, 2008

62-203NP Take-Over Bids and Issuer Bids, effective May 9, 2016