OSC Staff Notice 11-739 (Revised) - Policy Reformulation Table of Concordance and List of New Instruments
OSC Staff Notice 11-739 (Revised) - Policy Reformulation Table of Concordance and List of New Instruments
OSC STAFF NOTICE 11-739 (REVISED)
POLICY REFORMULATION TABLE OF CONCORDANCE AND LIST OF NEW INSTRUMENTS
The following revisions have been made to the Table of Concordance and List of New Instruments. A full version of the Table of Concordance and List of New Instruments as of September 30, 2014 has been posted to the OSC Website at www.osc.gov.on.ca.
Table of Concordance
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Item Key
The third digit of each instrument represents the following: 1-National/Multilateral Instrument; 2-National/Multilateral Policy; 3-CSA Notice; 4-CSA Concept Release; 5-Local Rule; 6-Local Policy; 7-Local Notice; 8-Implementing Instrument; 9-Miscellaneous
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Reformulation
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Instrument |
Title |
Status |
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_________ |
None |
__________ |
New Instruments
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Instrument |
Title |
Status |
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21-313 |
Information Processor for Exchange-Traded Securities Other Than Options |
Published July 3, 2014 |
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21-314 |
Information Processor for Corporate Debt Securities |
Published July 3, 2014 |
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91-507 |
Trade Repositories and Derivatives Data Reporting -- Amendments |
Minister's approval published July 3, 2014 |
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23-703 |
Order Protection Rule -- Industry Roundtable |
Published July 3, 2014 |
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11-739 |
Policy Reformulation Table -- Table of Concordance and List of New Instruments |
Published July 10, 2014 |
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51-341 |
Continuous Disclosure Review Program Activities for the Fiscal Year Ended March 31, 2014 |
Published July 17, 2014 |
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24-310 |
Status Update on Proposed Local Rules 24-503 Clearing Agency Requirements and Related Companion Policies |
Published July 17, 2014 |
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52-108 |
Auditor Oversight -- Repeal and Replacement |
Commission approval published July 17, 2014 |
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41-101 |
General Prospectus Requirements -- Amendments (tied to NI 52-108) |
Commission approval published July 17, 2014 |
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51-102 |
Continuous Disclosure Obligations -- Amendments (tied to NI 52-108) |
Commission approval published July 17, 2014 |
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71-102 |
Continuous Disclosure and Other Exemptions Relating to Foreign Issuers -- Amendments (tied to NI 52-108) |
Commission approval published July 17, 2014 |
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24-311 |
Qualifying Central Counterparties |
Published July 17, 2014 |
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81-725 |
Recent Amendments to Part XXI Insider Trading and Self-Dealing of the Securities Act (Ontario) -- Transition Issues |
Commission approval published August 7, 2014 |
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91-507 |
Trade Repositories and Derivatives Data Reporting -- Amendments |
Minister's approval published August 14, 2014 |
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62-306 |
Update on Proposed National Instrument 62-105 Security Holder Rights Plans and AMF Consultation Paper An Alternative Approach to Securities Regulator's Intervention in Defensive Tactics |
Published September 11, 2014 |
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81-102 |
Mutual Funds -- Amendments |
Minister's approval published September 18, 2014 |
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81-106 |
Investment Fund Continuous Disclosure -- Amendments (tied NI 81-102) |
Minister's approval published September 18, 2014 |
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81-101 |
Mutual Fund Prospectus Disclosure -- Amendments (tied NI 81-102) |
Minister's approval published September 18, 2014 |
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41-101 |
General Prospectus Requirements -- Amendments (tied NI 81-102) |
Minister's approval published September 18, 2014 |
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81-107 |
Independent Review Committee For Investment Funds -- Amendments (tied NI 81-102) |
Minister's approval published September 18, 2014 |
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24-101 |
Institutional Trade Matching Settlement -- Amendments (tied to NI 81-102 |
Minister's approval published September 18, 2014 |
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31-103 |
Registration Requirements, Exemptions and Ongoing Registrant Obligations -- Amendments (tied to NI 81-102) |
Minister's approval published September 18, 2014 |
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33-109 |
Registration Information -- Amendments (tied to NI 81-102) |
Minister's approval published September 18, 2014 |
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44-102 |
Shelf Distributions -- Amendments (tied to NI 81-102) |
Minister's approval published September 18, 2014 |
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45-106 |
Prospectus and Registration Exemptions -- Amendments (tied to NI 81-102) |
Minister's approval published September 18, 2014 |
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62-103 |
The Early Warning System and Related Take-Over Bid and Insider Reporting Issues -- Amendments (tied to NI 81-102) |
Minister's approval published September 18, 2014 |
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81-104 |
Commodity Pools -- Amendments (tied to NI 81-102) |
Minister's approval published September 18, 2014 |
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81-105 |
Mutual Fund Sales Practices -- Amendments (tied to NI 81-102) |
Minister's approval published September 18, 2014 |
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11-203 |
Process for Exemptive Relief Applications in Multiple Jurisdictions -- Amendments |
Minister's approval published September 18, 2014 |
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13-502 |
Fees -- Amendments |
Published for comment September 18, 2014 |
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33-744 |
Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario) |
Published September 18, 2014 |
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33-745 |
Compliance and Registrant Regulation -- Annual Summary Report for Dealers, Advisers and Investment Fund Managers |
Published September 25, 2014 |
For further information, contact:
October 9, 2014