Unofficial Consolidation: OSC Rule 11-501 Electronic Delivery of Documents

"form filer" means a person or company required or permitted by Ontario securities law to file or deliver a required document with the Ontario Securities Commission;

"NRD" has the meaning ascribed to it in National Instrument 31-102 National Registration Database;

"required document" means

1. a document listed in Appendix A; or
2. any other document required to be filed with or delivered to the Ontario Securities Commission under Ontario securities law by
  1. a market participant, or
  2. another person or company exempted from a requirement of Ontario securities law by reason of section 147 of the Act or an application otherwise provided for in Ontario securities law;

"SEDAR" has the meaning ascribed to it in National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR);

"SEDI" has the meaning ascribed to it in National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI).

(2) In this Rule, unless the context otherwise requires, "document" includes "information", "material" and "notice" as those words are used in Ontario securities law.

(3) In this Rule, a reference to a document that is required or permitted to be delivered includes a document that is required or permitted to be deposited with, or delivered, furnished, sent, provided or submitted to, the Ontario Securities Commission under Ontario securities law.

(4) The transmission of a document in electronic format to the Ontario Securities Commission under section 2 of this Rule constitutes

1. if the document is required or permitted to be filed under Ontario securities law, the filing of that document under Ontario securities law; and
2. if the document is required or permitted to be delivered to the Ontario Securities Commission under Ontario securities law, the delivery of that document.

Electronic filing

2. (1) Each required document of a person or company must be transmitted to the Ontario Securities Commission electronically by the person or company following the steps set out at https://www.osc.gov.on.ca/filings.

(2) Subsection 2(1) does not apply to any required document that is

1. filed or delivered through SEDAR, SEDI or NRD;
2. filed or delivered under the Ontario Securities Commission Rules of Procedure; or
3. filed or delivered under Part V, Part VI or Part VII of the Securities Act.

Temporary technical difficulties exemption

3. (1) If unanticipated technical difficulties prevent the timely transmission of a required document, the form filer may transmit the document by e-mail as soon as practical and in any event no later than 2 business days after the day on which the filing was required.

(2) A filing under subsection (1) must include the following legend at the top of the first page:

THIS REPORT IS BEING FILED UNDER A TEMPORARY TECHNICAL DIFFICULTIES EXEMPTION

(3) In addition to filing or delivery under subsection (1), a copy of each completed required document of a form filer must be transmitted under section 2 as soon as practical after the unanticipated technical difficulty has been resolved and in any event no later than 3 business days after resolution of the technical difficulties.

(4) If a document is filed or delivered as required under this section, the date by which the document is required to be filed or delivered under Ontario securities law is deemed to be the date on which the document is filed electronically under section 2.

Exemption

4. The Director may grant an exemption from the provisions of this Rule, in whole or in part, subject to such conditions or restrictions as may be imposed in the exemption.

Effective Date

5. This Rule comes into force on February 19, 2014.

Appendix A

Document Reference	Description of Document
Securities Act, s. 1(10)	Applications to the Commission under clause 1(10) of the Securities Act
Securities Act, s. 1(11)	Applications to the Commission under clause 1(11) of the Securities Act
Securities Act, Part VIII	Applications to the Commission for recognition or designation under Part VIII of the Securities Act
Securities Act, s. 21.4	Applications to the Commission for the voluntary surrender of a recognition or designation under section 21.4 of the Securities Act
Securities Act, s. 75(3) 51-102, s. 7.1(2), 81-106, s. 11.2(4)	Confidential material change reports permitted to be filed under subsection 75(3) of the Securities Act, subsection 7.1(2) of National Instrument 51-102 Continuous Disclosure Obligations, or subsection 11.2(2) of NI 81-106 Investment Fund Continuous Disclosure
Securities Act, s. 75(4) 51-102, s. 7.1(5), 81-106, s. 11.2(4)	The notification required under subsection 75(4) of the Securities Act, subsection 7.1(5) of NI 51-102 Continuous Disclosure Obligations, or subsection 11.2(4) of NI 81-106 Investment Fund Continuous Disclosure
Securities Act, Part XXIII.1	Notices and other documents to be sent to the Commission under Part XXIII.1 of the Securities Act
Securities Act, s. 144	Applications to the Commission to vary or revoke a recognition or designation granted under Part VIII of the Securities Act
11-202	Pre-filings or waiver applications within the meaning of National Policy 11-202 Process for Prospectus Reviews in Multiple Jurisdictions
11-203	Pre-filings, as defined in National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions
11-203	Applications, as defined in National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions
11-205	Applications to become Designated Rating Organization, under the process set out in National Policy 11-205 Process for Designation of Credit Rating Organizations in Multiple Jurisdictions
12-202	Applications to vary or revoke a CTO as defined in National Policy 12-202 Revocation of a Compliance-related Cease Trade Order
13-101 s. 2.1	Documents to be filed with the Commission by issuers not required to comply with National Instrument 13-101 System for Electronic Document Analysis and Retrieval in accordance with section 2.1 of that Instrument
13-101 s. 2.3	Documents to be filed with the Commission in paper format under section 2.3 of National Instrument 13-101 System for Electronic Document Analysis and Retrieval
13-502F4	Form 13-502F4 Capital Markets Participation Fee Calculation
13-502F5	Form 13-502F5 Adjustment of Fee for Registrant Firms and Unregistered Exempt International Firms
13-503F1	Form 13-503F1 Capital Markets Participation Fee Calculation (Firms registered only under the Commodity Futures Act)
13-503F2	Form 13-503F2 Adjustment of Fee for Registrant Firms registered only under the Commodity Futures Act
13-502F8	Form 13-502F8 Designated Rating Organizations – Participation Fee
21-101F1	Form 21-101F1 Information Statement Exchange or Quotation and Trade Reporting System
21-101F2	Form 21-101F2 Initial Operation Report Alternative Trading System
21-101F3	Form 21-101F3 Quarterly Report of Alternative Trading System Activities
21-101F4	Form 21-101F4 Cessation of Operations Report for Alternative Trading System
21-101F5	Form 21-101F5 Initial Operation Report for Information Processor
21-101F6	Form 21-101F6 Cessation of Operations Report for Information Processor
24-101F1	Form 24-101F1 Registered Firm Exception Report of DAP/RAP Trade Reporting and Matching
24-101F2	Form 24-101F2 Clearing Agency - Quarterly Operations Report of Institutional Trade Reporting and Matching
24-101F3	Form 24-101F3 Matching Service Utility - Notice of Operations
24-101F4	Form 24-101F4 Matching Service Utility - Notice of Cessation of Operations
24-101F5	Form 24-101F5 Matching Service Utility - Quarterly Operations Report of Institutional Trade Reporting and Matching
25-101F1	Form 25-101F1 Designated Rating Organization Application and Annual Filing
25-101F2	Form 25-101F2 Submission to Jurisdiction and Appointment of Agent for Service of Process
31-103 s. 11.9	Notice of acquisition pursuant to section 11.9 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-103 s. 11.10	Notice of acquisition pursuant to section 11.10 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-103 s. 12.2	Notice of repayment or termination of subordination agreement pursuant to section 12.2 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-103 s. 12.7	Notice of change, claim or cancellation of insurance policy pursuant to section 12.7 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-103F1	Form 31-103F1 Calculation of Excess Working Capital, together with associated financial information as required by sections 12.12, 12.13 and 12.14 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-103F2	Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
31-103F3	Form 31-103F3 Use of Mobility Exemption
31-317	CSA Staff Notice: 31-317 (Revised) Reporting Obligations Related to Terrorist Financing
32-102F1	Form 32-102F1 Submission to Jurisdiction and Appointment of Agent for Service for International Investment Fund Manager
32-102F2	Form 32-102F2 Notice of Regulatory Action
33-109F5	Form 33-109F5 Change of Registration Information
33-109F6	Form 33-109F6 Firm Registration
33-506F5	Form 33-506F5 Change of Registration Information (Commodity Futures Act)
33-506F6	Form 33-506F6 Firm Registration (Commodity Futures Act)
35-101F1	Form 35-101F1 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer
35-101F2	Form 35-101F2 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer
43-101F1	Form 43-101F1 Technical Report
45-106F1	Form 45-106F1 Report of Exempt Distribution
45-106F2	Form 45-106F2 Offering Memorandum for Non-Qualifying Issuers or any amendment to a previously filed Form 45-106F2
45-106F3	Form 45-106F3 Offering Memorandum for Qualifying Issuers or any amendment to a previously filed Form 45-106F3
45-106 s. 2.9(17.1)	Filing of marketing materials pursuant to subsection 2.9(17.1) of National Instrument 45-106 Prospectus Exemptions
45-106F16	Form 45-106F16 Notice of Use of Proceeds
45-106 s. 2.9(17.13)	Delivery of a notice of change in financial year end pursuant to subsection 2.9(17.13) of National Instrument 45-106 Prospectus Exemptions
45-106 s. 2.9(17.5)	Delivery of annual financial statements pursuant to subsection 2.9 (17.5) of National Instrument 45-106 Prospectus Exemptions
45-106F15	Form 45-106F15 Rights Offering Circular for Reporting Issuers
45-106 s. 2.1.2	Notice and materials sent pursuant to section 2.1.2 of National Instrument 45-106 Prospectus Exemptions
45-106 s. 2.42(2)(a)	Notice to the Commission given pursuant to paragraph 2.42(2)(a) of National Instrument 45-106 Prospectus Exemptions
45-106 s. 4.1(4)	Letters filed with the Commission pursuant to subsection 4.1(4) of National Instrument 45-106 Prospectus Exemptions
45-108 s. 12(1)(a)	A term sheet made available to a purchaser pursuant to clause 12(1)(a) of Multilateral Instrument 45-108 Crowdfunding
45-108 s. 12(1)(c)	Materials summarizing the information in a crowdfunding offering document made available to a purchaser pursuant to clause 12(1)(c) of Multilateral Instrument 45- 108 Crowdfunding
45-108F1	Form 45-108F1 Crowdfunding Offering Document
45-501 s. 5.4	Delivery of an offering memorandum or any amendment to a previously delivered offering memorandum in accordance with section 5.4 of OSC Rule 45-501 Ontario Prospectus and Registration Exemptions
71-101F1	Form 71-101F1 Forms of Submission to Jurisdiction and Appointment of Agent for Service of Process
72-503F	Form 72-503F Report of Distributions Outside Canada
81-102 s. 5.8(3)	Notice to the Commission by a manager under subsection 5.8(3) of National Instrument 81-102 Mutual Funds
81-102 s. 6.7(3)	Delivery of custodian compliance reports under subsection 6.7(3) of National Instrument 81-102 Mutual Funds
81-102 s. 12.1(2), 12.1(3)	Compliance reports under subsection 12.1(2) or 12.1(3) of National Instrument 81-102 Mutual Funds
81-106 s. 2.11(c)	Notice to the Commission that a mutual fund is relying on the exemption not to file its financial statements in section 2.11 of National Instrument 81-106 Investment Fund Continuous Disclosure
91-507, Part 4	OTC Derivative Trade Reporting (not already reported to repository) pursuant to Part 4 of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting
Business Corporations Act, s. 1(6)	Applications to the Commission under subsection 1(6) of the Business Corporations Act
Business Corporations Act, s. 46(4)	Applications to the Commission under subsection 46(4) of the Business Corporations Act
Business Corporations Act, s. 113	Applications to the Commission under section 113 of the Business Corporations Act
Business Corporations Act, s. 158(1.1)	Applications to the Commission under subsection 158(1.1) of the Business Corporations Act
Business Corporations Act, s. 190(6)	Applications to the Commission under subsection 190(6) of the Business Corporations Act
Ont. Reg. 289/00 made under the Business Corporations Act, s. 4(b)	Applications to the Commission for consents under subsection 4(b) of Ont. Reg. 289/00 made under the Business Corporations Act
Loan and Trust Corporations Act, s. 213(3)(b)	Applications to the Commission for approvals under subsection 213(3)(b) of the Loan and Trust Corporations Act