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Department of Community Services
Rules
Yukon Securities Office
National Instruments
Please note that in accordance with section 5(1)(a) of Local Rule 11-802, the effective date in Yukon of each National Instrument is endorsed on the top right of each page. In the event that a CSA instrument contains a contradictory effective date (as certain CSA Instruments were published prior to Yukon adopting the MRRS/Passport systems), the endorsed date on the top right will be considered the true effective date of the Instrument.
| 11-101 |
Multilateral -Instrument REPEALED Sept 28, 2009 |
Principal Regulator System REPEALED Sept 28, 2009 |
| 11-102 |
Multilateral Instrument Initially Effective in Yukon: March 17, 2008 |
Passport System (as amended by Local Rule 11-803) Amendment to Multilateral Instrument Effective April 30, 2010 Companion Policy 11-102CP |
| 13-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
NI 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) (as amended by Local Rule 11-803) |
| 14-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Definitions Amendment to National Instrument in effect April 30, 2010 Amendment (IFRS) Effective January 1, 2011 |
| 21-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Amendment to National Instrument Effective January 28, 2010 Companion Policy 21-101CP |
| 23-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Amendment Effective January 28, 2010 and February 1, 2011 Sets out common trading rules that apply to all trading whether on a marketplace or not. Amendment Effective January 28, 2010 and February 1, 2011 |
| 23-102 |
National Instrument Initially Effective in Yukon: June 30, 2010 |
Use of Client Brokerage Commissions Sets out requirements pertaining to brokerage transactions involving client brokerage commissions that are directed to a dealer in return for the provision of order execution goods and services or research goods and services. |
| 24-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Institutional Trade Matching and Settlement |
| 31-101 |
National Instrument REPEALED: |
National Registration System REPEALED: |
| 31-102 |
Multilateral Instrument Initially Effective in Yukon: March 17, 2008 |
National Registration Database Requires that certain registration information, including applications for registration by individuals, be submitted to regulators electronically through the NRD. |
| 31-103 |
National Instrument Initially Effective in Yukon: Sept 28, 2009 |
Registration Requirements and Exemptions Amendment to National Instrument Effective July 11, 2011 Form 31-103F1 Calculation of Excess Working Capital Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service Form 31-103F3 Use of Mobility Exemption Companion Policy 31-103CP Remade Companion Policy 31-103CP Effective January 1, 2011 |
| 33-102 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Regulation of Certain Registrant Activities Requires registrants to provide with disclosure about certain products and risks. |
| 33-105 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Imposes requirements on distributions where the relationship between the selling security holder and the registrant acting as underwriter raises the possibility of a conflict between its own interests or those of the selling security holder, and those of investors. |
| 33-109 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Registration Information Amendment to National Instrument Effective July 11, 2011 Remade Companion Policy 33-109CP Effective July 11, 2011. Form 33-109F1 - Notice of Termination Form 33-109F2 - Change or Surrender of Individual Categories Form 33-109F3 - Business Locations Other Than Head Office Form 33-109F4 - Registration Information for an Individual Form 33-109F5 - Change of Registration Information Form 33-109F6 - Firm Registration |
| 34-202 |
Multilateral Policy Initially Effective in Yukon: March 17, 2008 |
Registrants Acting as Corporate Directors Expresses the views of the CSA as to the potential for conflicts of interest arising if a registrant acts as a director of or advisor to a reporting issuer |
| 35-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Conditional Exemption From Registration for United States Brokers-dealers and Agents Provides U.S. broker-dealers and their agents with a conditional exemption from the applicable registration and prospectus requirements under Canadian securities legislation. Form 35-101F1 - Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer |
| 41-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
General Prospectus Requirements (as amended by Local Rule 11-803) Creates a comprehensive, seamless and transparent set of national prospectus requirements for all issuers including investment funds, other than mutual funds filing a prospectus under NI 81-101. Companion Policy 41-101CP Form 41-101F2 Information Required in an Investment Fund Prospectus |
| 43-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Standards of Disclosure for Mineral Projects Remade National Instrument 43-101 - Effective June 30, 2011 Regulate all disclosure that an issuer makes concerning mineral projects that is reasonably likely to made available to the public. Consolidates and expands National Policy Statements 2-A Guide for Engineers, Geologists and Prospectors Submitting Reports on Mining Properties to the Canadian Securities Administrators. Remade Companion Policy 43-101 - Effective June 30, 2011 |
| 44-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Short Form Prospectus Distributions Companion Policy 44-101CP Form 44-101F1 Short Form Prospectus CSA Notice 44-301 Frequently Asked Questions Regarding the New Prospectus Rules Sets out frequently asked questions and answers respecting: NI 44-101 Short Form Prospectus Distributions, NI 44-102 Shelf Distributions, NI 44-103 Post-Receipt Pricing and OSC rule 41-501 General Prospectus Requirements. |
| 44-102 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Shelf Distributions |
| 44-103 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Regulates the Canadian post-receipt pricing regime. Reformulates and replaces the provisions of NP44 relating to post-receipt pricing. |
| 45-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Rights Offerings |
| 45-102 |
Multilateral Instrument Initially Effective in Yukon: March 17, 2008 |
Implements uniform first trade restrictions for securities acquired under registration and prospectus exemptions. |
| 45-106 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Prospectus and Registration Exemptions Companion Policy 45-106CP Form 45-106F1 Report of Exempt Distributions Form 45-106F2 Offering Memorandum for Non-Qualifying Issuers Form 45-106F3 Offering Memorandum for Qualifying Issuers Form 45-106F4 Risk Acknowledgement |
| 51-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Standards of Disclosure for Oil and Gas Activities Companion Policy 51-101CP Form 51-101F2- Report on Data by Independent Qualified Reserves Evaluator Form 51-101F3- Report of Management and Directors on Oil and Gas Disclosure List of professional organizations which supercedes the list in section 1.5(b) |
| 51-102 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Continuous Disclosure Obligations Companion Policy 51-102CP Form 51-102F2 Annual Information Form Form 51-102F3 Material Change Report Form 51-102F4 Business Acquisition Report Form 51-102F5 Information Circular Form 51-102F6 Statement of Executive Compensation |
| 52-107 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Acceptable Accounting Principles, Auditing Standards and Reporting Currency Companion Policy 52-107CP |
| 52-108 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Requires an auditor's report that accompanies a reporting issuer's financial statements to be signed by a public accounting firm that is a member of the Canadian Public Accountability Board. |
| 52-109 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Certification of Disclosure in Issuer's Annual and Interim Filings including Forms Companion Policy 52-109CP Form 52-109F1 - Certification of Annual Filings Full Certificate Form 52-109FV1 - Certification of Annual Filings Venture Issuer Basic Certificate Form 52-109F1-IPO/RTO - Certification of Annual Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer Form 52-109F1-AIF - Certification of Annual Filings in Connection With Voluntarily Filed AIF Form 52-109F2 - Certification of Interim Filings Full Certificate Form 52-109FV2 - Certification of Interim Filings Venture Issuer Basic Certificate Form 52-109F2-IPO/RTO - Certification of Interim Filings Following an initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer |
| 52-110 |
Multilateral Instrument Initially Effective in Yukon: March 17, 2008 |
Audit Committees Form 52-110F1 - Audit Committee Information Required in an AIF Form 52-110F2 - Disclosure by Venture Issuers |
| 54-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Communication with Beneficial Owners of Securities of a Reporting Issuer Form 54-101F1 – Explanation to Clients and Client Response Form |
| 55-101 |
National Instrument REPEALED: April 30, 2010 |
|
| 55-102 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
System for Electronic Disclosure by Insiders (SEDI) (as amended by Local Rule 11-803) Requires insiders of SEDI issuers to file their reports on SEDI. SEDI issuers are reporting issuers (other than mutual funds) that are required to file materials on SEDAR. Form 55-102F1 – Insider Profile |
| 55-103 |
Multilateral Instrument REPEALED: |
Insider Reporting for Certain Derivative Transactions REPEALED |
| 55-104 | National Instrument Initially Effective in Yukon: April 30, 2010 |
Insider Reporting Requirements and Exemptions Sets out the main insider reporting requirements and exemptions from those requirements for insiders of reporting issuers. Companion Policy 55-104CP |
| 58-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Disclosure of Corporate Governance Practices Requires issuers to disclose the corporate governance practices that it has adopted. Also requires issuers to file any written code that they have adopted. Form 58-101F1 – Corporate Governance Disclosure Form 58-101F2 – Corporate Governance Disclosure (Venture Issuer) |
| 62-103 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Early Warning System & Related Take-over Bid & Inside Reporting Issues Amendment effective April 30, 2010 Provides exemptions from the early warning requirements, the insider reporting requirement, and related provision to certain institutional investors that have a "passive intent" with respect to their ownership or control of securities of reporting issuers. |
| 62-104 |
Multilateral Instrument Initially Effective in Yukon: March 17, 2008 |
Take-Over Bids and Issuer Bids Form 62-104F1 Take-Over Bid Circular |
| 71-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
The Multijurisdictional Disclosure System Reformulates the multi jurisdictional disclosure system, a joint initiative implemented in 1991 by the CSA and the Securities and Exchange Commission of the United States to reduce duplicative regulation in cross-border offerings, issuer bids, take-over bids, business combinations and continuous disclosure and other filings. Form 71-101F1 – Form for Submission to Jurisdiction and Appointment of Agent |
| 71-102 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Continuous Disclosure and Other Exemptions Relating to Foreign Issuers Companion Policy 71-102CP |
| 81-101 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Mutual Fund Prospectus Disclosure Amendment to National Insttrume Effective January 30, 2010 Companion Policy 81-101CP Form 81-101F1 - Contents of Simplified Prospectus Amendment to Form 2 effective June 30, 2010 Form 81-101F3 - Fund Facts Effective January 1, 2011
|
| 81-102 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Mutual Funds Companion Policy 81-102CP |
| 81-104 |
Multilateral Instrument Initially Effective in Yukon: March 17, 2008 |
Sets out the rules that govern the operation of commodity pools. Allows them to invest in commodities and use derivatives in ways not permitted for conventional mutual funds. |
| 81-105 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Imposes restrictions on certain sales and business practices followed by managers and principal distributors of publicly offered mutual funds, and registered dealers and their sales representatives who sell them. |
| 81-106 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Investment Fund Continuous Disclosure Companion Policy 81-106CP Form 81-106F1 - Contents of Annual and Interim Management Report of Fund Performance |
| 81-107 |
National Instrument Initially Effective in Yukon: March 17, 2008 |
Independent Review Committee for Investment Funds (as amended by Local Rule 11-803) An independent oversight regime for all publicly offered investment funds that is intended to improve investment fund governance. |
