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Requests for Comment

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Proposed Policies, Rules & Forms

The following summaries refer to all documents published for comment since July 1, 1998 that have not yet been finalized. You should not rely on these summaries, but refer to the actual policy documents. These documents may include proposed rules (some of which are adopted on a uniform basis across Canada and are known as national instruments or multilateral instruments), proposed policies, proposed forms or concept proposals.

Out For Comment

Document Comment Period Expires Format
24-102 Proposed Amendments to National Instrument 24-102 Clearing Agency Requirements and Proposed Changes to Companion Policy 24-102 Clearing Agency Requirements [CSA Notice and Request for Comment]
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2019-01-16
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments
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2018-12-24
81-105 CSA Notice and Request for Comment Proposed Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments
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2018-12-13
52-112 CSA Notice and Request for Comment Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure Proposed Companion Policy 52-112 Non-GAAP and Other Financial Measures Disclosure Related Proposed Consequential Amendments and Changes [CSA Notice]
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2018-12-05

Under Review

Document Comment Period Expires Format
31-103 CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms) [CSA Notice]
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2018-10-19
93-101 Proposed National Instrument 93-101 Derivatives: Business Conduct Proposed Companion Policy 93-101CP Derivatives: Business Conduct [CSA Notice and Second Request for Comment]
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2018-09-17
93-102 Derivatives: Registration [CSA Notice and Request for Comment]
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2018-09-17
21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Proposed Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy [CSA Staff Notice and Request for Comment]
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2018-08-29
61-303 Soliciting Dealer Arrangements [CSA Staff Notice]
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2018-06-11
BCN2018/05 Notice and Request for Comment Consultation on Proposed Fee Changes [BCN]
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2018-05-31
BCN2018/03 Notice and Request for Comment Consultation on Disclosure Requirements in National Instrument 58-101 Disclosure of Corporate Governance Practices relating to Women on Boards and in Executive Officer Positions [BCN]
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2018-04-10
BCN2018/01 Notice and Request for Comment - Consulting on the Securities Law Framework for Fintech Regulation [BCN]
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2018-04-03
94-101 CSA Notice and Request for Comment Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
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2018-01-10
93-301 Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period [CSA Staff Notice]
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2017-09-01
51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers [CSA Consultation Paper]
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2017-07-28
52-403 Auditor Oversight Issues in Foreign Jurisdictions [CSA Consultation Paper]
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2017-06-24
81-408 Consultation on the Option of Discontinuing Embedded Commissions [CSA Consultation Paper]
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2017-06-09
81-102 Investment Funds [NI Amendment Proposed]
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2016-12-22
95-401 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives [CSA Consultation Paper]
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2016-09-06
33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Towards Their Clients [CSA Consultation Paper]
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2016-08-26
54-304 Final Report on Review of the Proxy Voting Infrastructure and Request for Comments on Proposed Meeting Vote Reconciliation Protocols [CSA Multilateral Staff Notice]
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2016-07-15
45-315 Proposed Prospectus Exemption for Certain Distributions through an Investment Dealer [Multilateral CSA Notice]
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2015-06-15
92-401 Derivatives Trading Facilities [CSA Consultation Paper]
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2015-03-30
81-324 Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts [CSA Notice]
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2014-03-12
62-105 Security Holder Rights Plans [NI Proposed]
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2013-07-12
91-407 Derivatives: Registration [CSA Consultation Paper]
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2013-06-17