About Numbering System


The Canadian Securities Administrators (CSA), follows a system in which securities regulatory instruments are assigned numbers that indicate the type and subject matter of the instrument.

Under the numbering system, each instrument is assigned a five-digit number, with a hyphen appearing between the second and third number.

  • The first number represents the main subject area or topic.
  • The second number represents the sub-topic.
  • The third number represents the document type.
  • The fourth and fifth numbers represent the particular document number (in sequential order starting at 01).

The documents are divided into nine main subject areas, indicated by the first number. The nine subject areas are:

1 - Procedure & Related Matters
2 - Certain Capital Market Participants (Self-Regulatory Organizations, Exchanges and Market Operations)
3 - Registration Requirements & Related Matters (Dealers, Advisers and other Registrants)
4 - Distribution Requirements (Prospectus Requirements and Prospectus Exemptions)
5 - Ongoing Requirements for Issuers & Insiders (Continuous Disclosure)
6 - Takeover Bids & Special Transactions
7 - Securities Transactions Outside the Jurisdiction
8 - Investment Funds 
9 - Derivatives

If you are looking for a document with a five digit number that starts with 4 (e.g. NI 43-101), you will need to select 4 - Distribution Requirements. Similarly, if you are looking for a document starting with 8 (e.g. NI 81-101), you will need to select 8 - Investment Funds.

A companion policy or form that is related to an instrument or rule will have the same number as the instrument or rule to which it relates, followed by the suffix "CP" in the case of a companion policy or "F" in the case of a form. If there is more than one Form related to a particular instrument, the forms will be numbered consecutively (F1, F2, F3, etc.).

Topic, Sub-Topic and Document Type Numbers

Topic
(1st Number)
Sub-Topic
(2nd Number)
Document Type
(3rd Number)
1 - Procedure and Related Matters
1 - General
2 - Applications
3 - Filings with Securities Regulatory Authority
4 - Definitions
5 - Hearings and Enforcement
1 - National or Multilateral Instrument (Rule) and any related Companion Policy and Form

2 - National or Multilateral Policy

3 - CSA (or Staff) Notice

4 - CSA Concept Proposal

5 - BC Instrument (Local Rule or Blanket Order) and any related Companion Policy or Form

6 - BC Policy

7 - BC Interpretation Note or Permanent Notice

8 - Implementing Rule (BC Rule that gives effect to a National or Multilateral Instrument)

9 - Miscellaneous Item (e.g. a Form that does not relate to another Instrument or Policy)
2 - Certain Capital Market Participants
1 - Stock Exchanges
2 - Other Markets
3 - Trading Rules
4 - Clearing and Settlement
5 - Other Participants
3 - Registration and Related Matters
1 - Registration Requirements
2 - Registration Exemptions
3 - Ongoing Requirements Affecting Registrants
4 - Fitness for Registration
5 - Non-Resident Registrants
4 - Distribution Requirements
1 - Prospectus Contents - Non-Financial Matters
2 - Prospectus Contents - Financial Matters
3 - Prospectus Filing Matters
4 - Alternative Forms of Prospectus
5 - Prospectus Exempt Distributions
6 - Requirements Affecting Distributions by Certain Issuers
7 - Advertising and Marketing
8 - Distribution Restrictions
5 - Ongoing Requirements for Issuers and Insiders
1 - Disclosure - General
2 - Financial Disclosure
3 - Timely Disclosure
4 - Proxy Solicitation
5 - Insider Reporting
6 - Restricted Shares
7 - Cease Trading Orders
8 - Corporate Governance
6 - Take-Over Bids and Special Transactions
1 - Special Transactions
2 - Take-over Bids
7 - Securities Transactions Outside the Jurisdictions
1 - International Issuers
2 - Distributions Outside the Jurisdiction
8 - Investment Funds
1 - Investment Fund Distributions
9 - Derivatives
1 - Trades in Derivatives

See CSA Staff Notice 11-312 National Numbering System for additional information.