THE MANITOBA SECURITIES COMMISSION
MSC Rule No. 2023-1
(Section 149.1, The Securities Act)
NATIONAL INSTRUMENT 13-103
SYSTEM FOR ELECTRONIC DATA ANALYSIS AND RETRIEVAL +
(SEDAR+)
Definitions and Interpretation
1.(1) In this Instrument:
“deliver” includes deposit, furnish, provide, send or submit;
“document” includes information and material that is required or permitted to be filed with or delivered to a securities regulatory authority or regulator;
“profile” means a set of information providing a profile of a person or company;
“SEDAR+” means the system for the transmission of documents known as the System for Electronic Data Analysis and Retrieval +.
1.(2) In this Instrument, a reference to a document that is permitted to be filed includes an application for a decision of the regulator or securities regulatory authority.
Transmission of documents through SEDAR+
2. Subject to section 3, if a person or company is required or permitted, under securities legislation or under a decision of the securities regulatory authority or regulator, to file a document with, or deliver a document to, the securities regulatory authority or regulator, the person or company must file or deliver the document by transmitting it through SEDAR+.
Transmission of documents outside of SEDAR+
3. Unless a decision made under securities legislation provides for filing or delivery through SEDAR+, a person or company must not file or deliver the following through SEDAR+:
(a) a document required or permitted to be filed with or delivered to the securities regulatory authority or regulator in connection with a hearing, compliance review, proceeding or investigation;
(b) a letter required to be delivered under subsection 4.11(8) or (9) of National Instrument 51-102 Continuous Disclosure Obligations;
(c) a Form 51-102F3 Material Change Report filed on a confidential basis under subsection 7.1(2) of National Instrument 51-102 Continuous Disclosure Obligations, subsection 11.2(2) of National Instrument 81-106 Investment Fund Continuous Disclosure or, in Ontario, subsection 75(3) of the Securities Act (Ontario);
(d) a notice under subsection 7.1(5) of National Instrument 51-102 Continuous Disclosure Obligations, subsection 11.2(4) of National Instrument 81-106 Investment Fund Continuous Disclosure or, in Ontario, subsection 75(4) of the Securities Act (Ontario);
(e) a notice under subsection 13.2(2) of National Instrument 51-102 Continuous Disclosure Obligations;
(f) a notice under subsection 5(1) or 6(1) of National Instrument 52-108 Auditor Oversight;
(g) a Form 62-104F1 Take-Over Bid Circular filed by an offeror in respect of a take-over bid to acquire securities of an issuer that is not a reporting issuer and that has not filed a profile under subsection 4(1);
(h) a notice under subsection 18.6(2) of National Instrument 81-106 Investment Fund Continuous Disclosure;
(i) a document that a person or company is required or permitted to file or deliver pursuant to a provision of, or a decision of the securities regulatory authority or regulator issued in respect of, securities legislation listed in Column A of the Appendix, other than the exceptions listed in Column B of the Appendix.
Profile requirements
4.(1) Before a person or company transmits a document through SEDAR+ for the first time, the person or company must file a profile by transmitting it through SEDAR+.
4.(2) If information contained in a profile becomes inaccurate, the person or company must file an updated profile with the accurate information by transmitting it through SEDAR+ at the earlier of
(a) the next time the person or company transmits a document through SEDAR+ after the date on which the person or company knew or reasonably should have known that the information contained in the profile is inaccurate, and
(b) 10 days after the date on which the person or company knew or reasonably should have known that the information contained in the profile is inaccurate.
Payment of fees
5.(1) At the time that a person or company transmits a document through SEDAR+, a person or company must pay through SEDAR+
(a) the prescribed fee for that document, other than a fee prescribed under Multilateral Instrument 13-102 System Fees or, in Manitoba, an equivalent regulation, to the securities regulatory authority or regulator, and
(b) the fee for that document prescribed under Multilateral Instrument 13-102 System Fees or, in Manitoba, an equivalent regulation, to the person or company’s principal regulator if the principal regulator is the securities regulatory authority in the local jurisdiction.
5.(2) For the purposes of subsection (1), if the person or company is transmitting through SEDAR+ a document to which Multilateral Instrument 11-102 Passport System applies, “principal regulator” has the meaning set out in Part 3, 4, 4A, 4B or 4C of Multilateral Instrument 11-102 Passport System, as applicable.
5.(3) For the purposes of subsection (1), if the person or company is transmitting through SEDAR+ a document to which Multilateral Instrument 11-102 Passport System does not apply, the principal regulator is the securities regulatory authority or regulator that would be the principal regulator if Part 3 of Multilateral Instrument 11-102 Passport System applied.
5.(4) Despite subsection (3), if the person or company is transmitting through SEDAR+ a Form 45-106F1 Report of Exempt Distribution, and the person or company does not have a head office in Canada or is an investment fund with an investment fund manager that does not have a head office in Canada, the principal regulator is the securities regulatory authority or regulator of the jurisdiction with which the person or company has the most significant connection.
Temporary hardship exemption
6.(1) If technical difficulties prevent a person or company from transmitting a document through SEDAR+ within the time required or permitted under securities legislation, the person or company may file the document with or deliver the document to the securities regulatory authority or regulator outside of SEDAR+ no later than 2 business days after the date on or by which the person or company was required or permitted to file the document with, or deliver the document to, the securities regulatory authority or regulator.
6.(2) A person or company must include the following legend in capital letters at the top of the first page of a document filed or delivered outside of SEDAR+ in reliance on subsection (1):
IN ACCORDANCE WITH SECTION 6 OF NATIONAL INSTRUMENT 13-103 SYSTEM FOR ELECTRONIC DATA ANALYSIS AND RETRIEVAL + (SEDAR+), THIS [SPECIFY DOCUMENT] IS BEING FILED OR DELIVERED outside of SEDAR+ UNDER A TEMPORARY HARDSHIP EXEMPTION
6.(3) If a person or company files or delivers a document to the securities regulatory authority or regulator in the manner and within the time prescribed by this section, the person or company is exempt from the requirement to file or deliver the document by the date prescribed in securities legislation.
6.(4) If a person or company files or delivers a document to the securities regulatory authority or regulator outside of SEDAR+ in reliance on this section, the person or company must transmit the document to the securities regulatory authority or regulator through SEDAR+ as soon as practicable and in any event within 3 business days of the date on which the technical difficulties have been resolved, and must include the following legend in capital letters at the top of the first page of the document :
THIS DOCUMENT IS A COPY OF [SPECIFY DOCUMENT] FILED WITH OR DELIVERED TO [LIST ALL SECURITIES REGULATORY AUTHORITIES OR REGULATORS WITH WHOM THE DOCUMENT WAS FILED OR TO WHOM IT WAS DELIVERED] ON [DATE] UNDER A TEMPORARY HARDSHIP EXEMPTION UNDER SECTION 6 OF NATIONAL INSTRUMENT 13-103 SYSTEM FOR ELECTRONIC DATA ANALYSIS AND RETRIEVAL + (SEDAR+).
Decisions
7.(1) Despite paragraph 3(i), if a decision made under securities legislation requires a person or company to file a document with, or deliver a document to, the securities regulatory authority or regulator through the System for Electronic Document Analysis and Retrieval (SEDAR), the person or company must file or deliver the document by transmitting it through SEDAR+.
7.(2) In British Columbia, subsection (1) does not apply.
Exemptions
8.(1) The securities regulatory authority or regulator may grant an exemption from this Instrument, in whole or in part, subject to such conditions or restrictions as may be imposed in the exemption.
8.(2) Despite subsection (1), in Ontario only the regulator may grant an exemption from this Instrument.
8.(3) Except in Alberta and Ontario, an exemption referred to in subsection (1) is granted under the statute referred to in Appendix B of National Instrument 14-101 Definitions opposite the name of the local jurisdiction.
Repeal of former instrument
9. National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) is repealed.
Effective date
10. This Instrument comes into force on June 9, 2023.
11. In Saskatchewan, despite section 10, if this Instrument is filed with the Registrar of Regulations after June 9, 2023, this Instrument comes into force on the day on which it is filed with the Registrar of Regulations.
APPENDIX
TO
NATIONAL INSTRUMENT 13-103
SYSTEM FOR ELECTRONIC DATA ANALYSIS AND RETRIEVAL +
(SEDAR+)
Securities legislation pursuant to which documents must not be
transmitted through SEDAR+
(Paragraph 3(i))
Column A |
Column B |
National and multilateral instruments pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Part 4A Registration and Part 4B Application to Become a Designated Rating Organization of Multilateral Instrument 11-102 Passport System |
N/A |
National Instrument 21-101 Marketplace Operation |
N/A |
National Instrument 23-101 Trading Rules |
N/A |
National Instrument 23-102 Use of Client Brokerage Commissions |
N/A |
National Instrument 23-103 Electronic Trading and Direct Electronic Access to Marketplace |
N/A |
National Instrument 24-101 Institutional Trade Matching and Settlement |
N/A |
National Instrument 24-102 Clearing Agency Requirements |
N/A |
National Instrument 25-101 Designated Rating Organizations |
N/A |
National Instrument 31-102 National Registration Database |
N/A |
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations |
N/A |
Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Managers |
N/A |
National Instrument 33-105 Underwriting Conflicts |
N/A |
National Instrument 33-109 Registration Information |
N/A |
National Instrument 35-101 Conditional Exemption From Registration For United States Broker-Dealers and Agents |
N/A |
Multilateral Instrument 45-108 Crowdfunding |
An issuer filing or delivering a document under section 15, section 16 or section 17 An issuer filing an application for an exemption under section 44 |
National Instrument 45-110 Start-Up Crowdfunding Registration and Prospectus Exemptions |
An issuer filing a document under section 6 An issuer filing an application for an exemption under section 7 |
National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards |
An issuer filing an application for an exemption under subsection 5.1(1) |
National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI) |
An issuer filing an application for an exemption under subsection 6.1(1) |
National Instrument 55-104 Insider Reporting Requirements and Exemptions |
An issuer filing an application for an exemption under subsection 10.1(1) |
Multilateral Instrument 91-101 Derivatives: Product Determination |
N/A |
Multilateral Instrument 91-102 Prohibition of Binary Options |
N/A |
Multilateral Instrument 91-506 Derivatives: Product Determination |
N/A |
Multilateral Instrument 91-507 Trade Repositories and Derivatives Data Reporting |
N/A |
National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives |
N/A |
National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions |
N/A |
Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting |
N/A |
Column A |
Column B |
British Columbia securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Exemption orders (Part 1) – section 3.1 of the Securities Act R.S.B.C. 1996, c 418 |
An issuer filing an application for an order under section 3.1 An issuer required or permitted to file or deliver a document pursuant to an exemption order |
Designations (Part 1) – section 3.2 of the Securities Act R.S.B.C. 1996, c 418 |
A person filing an application under paragraph 3.2(1)(b) for an order that a person or a person within a class of persons is a mutual fund, a non-redeemable investment fund or a reporting issuer An issuer required or permitted to file or deliver a document pursuant to a designation order |
Benchmark Administrators, Clearing Agencies, Exchanges, Information Processors, Quotation and Trade Reporting Systems, Self-Regulatory Bodies and Trade Repositories (Part 4) – sections 23-33 of the Securities Act R.S.B.C. 1996, c 418 |
N/A |
Registration (Part 5) – sections 34-41 of the Securities Act R.S.B.C. 1996, c 418 |
N/A |
Exemption order by commission or executive director (Part 6) – section 48 of the Securities Act R.S.B.C. 1996, c 418 |
A person filing an application for an exemption from the prospectus requirement |
Trading in Derivatives (Part 8) – sections 58 – 60 of the Securities Act R.S.B.C. 1996, c 418 |
N/A |
Initial and subsequent insider report – section 87 of the Securities Act R.S.B.C. 1996, c 418 |
N/A |
Exemption order by commission or executive director (Part 12) – section 91 of the Securities Act R.S.B.C. 1996, c 418 |
An issuer filing an application under section 91 for an exemption order other than an application for an exemption from the insider reporting requirement An issuer required or permitted to file or deliver a document pursuant to an exemption order |
Filing and inspection of records (Part 20) – section 169 of the Securities Act R.S.B.C. 1996, c 418 |
An issuer filing an application under section 169 |
Discretion to revoke or vary decision (Part 20) – section 171 of the Securities Act R.S.B.C. 1996, c 418 |
An issuer filing an application under section 171 An issuer required or permitted to file or deliver a document pursuant to an order |
Administrative powers respecting commission rules (Part 20) – section 187 of the Securities Act R.S.B.C. 1996, c 418 |
An issuer filing an application under section 187 An issuer required or permitted to file or deliver a document pursuant to an order |
Column A |
Column B |
Alberta securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Form 4 Report by a Registered Owner of Securities Beneficially Owned by an Insider Under Section 183 of the Securities Act – section 17 of Alberta Securities Commission Rules (General) |
N/A |
Designation orders – section 10 of the Securities Act RSA 2000, c S-4 |
An issuer filing an application under section 10 |
Regulation, Recognition and Designation of Entities and Benchmarks – Part 4 of the Securities Act RSA 2000, c S-4 |
N/A |
Surrender of registration – section 78 of the Securities Act RSA 2000, c S-4 |
N/A |
Further Information – section 82 of the Securities Act RSA 2000, c S-4 |
N/A |
Trading in Securities and Derivatives Generally – Part 7 of the Securities Act RSA 2000, c S-4 |
N/A |
Discretionary exemptions – section 144 of the Securities Act RSA 2000, c S-4 |
A person or company filing an application for relief from the prospectus requirement |
Applications to the Commission – section 179 of the Securities Act RSA 2000, c S-4 |
An issuer filing an application under section 179 |
General Exemption – section 213 of the Securities Act RSA 2000, c S-4 |
An issuer filing an application under section 213, other than a registrant An issuer transmitting a document pursuant to a blanket order |
Revoke or vary decisions – section 214 of the Securities Act RSA 2000, c S-4 |
An issuer filing an application under section 214 |
Filing and confidentiality – section 221 of the Securities Act RSA 2000, c S-4 |
An issuer filing an application under section 221 |
Alberta Securities Commission Rule 13-501 Fees |
An issuer filing any of the following: • an application under section 3 • Form 13-501F1 Class 1 Reporting Issuers and Class 3B Reporting Issuers – Participation Fee • Form 13-501F2 Class 2 Reporting Issuers – Participation Fee • Form 13-501F3 Adjustment of Fee Payment for Class 2 Reporting Issuer • Form 13-501F4 Class 3A Reporting Issuers – Participation Fee • Form 13-501F5 Investment Fund – Participation Fee • Form 13-501F6 Subsidiary Exemption Notice |
Alberta Securities Commission Rule 91-504 Strip Bonds |
A person or company filing an application for exemption under section 4.1, other than a person or company that is a registrant, or would be a registrant but for reliance on the rule |
Compensation fund or contingency trust fund – section 6 of Alberta Securities Commission Rules (General) |
N/A |
Trading in Securities and Derivatives Generally – Part 4 of Alberta Securities Commission Rules (General) |
N/A |
Column A |
Column B |
Saskatchewan securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Designation – section 11.1 of The Securities Act, 1988 SS 1988-89, c S-42.2 |
An issuer filing an application for an order pursuant to section 11.1 |
Recognition of Entities (Part V) – sections 21-25 of The Securities Act, 1988 SS 1988-89, c S-42.2 |
N/A |
Designation of Entities (Part V.1) of The Securities Act, 1988 SS 1988-89, c S-42.2 |
N/A |
Voluntary surrender of registration – section 29 of The Securities Act, 1988 SS 1988-89, c S-42.2 |
N/A |
Trading in Securities and Derivatives (Part IX) of The Securities Act, 1988 SS 1988-89, c S-42.2 |
N/A |
Saskatchewan General Ruling/Order 91-906 Strip Bonds |
A person or company other than a registrant filing an application pursuant to Saskatchewan General Ruling/Order 91-906 Strip Bonds |
Order relieving reporting issuer of status as reporting issuer, section 92 of The Securities Act, 1988 SS 1988-89, c S-42.2 |
An issuer filing an application for an order pursuant to section 92 |
Applications to the Commission-section 101 of The Securities Act, 1988 SS 1988-89, c S-42.2 |
N/A |
Part XVIII-Enforcement-section 135.6 of The Securities Act, 1988 SS 1988-89, c S-42.2 Financial compensation |
N/A |
Order re exemption or declaration-section 83 of The Securities Act, 1988 SS 1988-89, c S-42.2 |
An issuer filing an application pursuant to section 83 |
Filing in other Jurisdictions- section 130 of The Securities Act, 1988 SS 1988-89, c S-42.2 |
An issuer filing an application pursuant to section 130 |
Filing and Inspection of material-section 152 (1) of The Securities Act, 1988 SS 1988-89, c S-42.2 |
An issuer filing an application pursuant to section 152 |
Revoke or vary decisions-section 158(3) of The Securities Act, 1988 SS 1988-89, c S-42.2 |
An issuer filing an application pursuant to section 158(3) |
General Exemption-section 160 of The Securities Act, 1988 SS 1988-89, c S-42.2 |
An issuer filing an application pursuant to section 160 |
Column A |
Column B |
Manitoba securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Exemption by commission – section 20 of the Securities Act C.C.S.M. c.S50 |
An issuer filing an application under section 20 |
Blanket Order – section 20 of the Securities Act C.C.S.M. c.S50 |
A person or company required or permitted to file or deliver a document through SEDAR pursuant to the blanket order. An issuer required or permitted to file or deliver a document pursuant to the blanket order. |
Self-regulatory organizations (Part IV.1) – sections 31.1, 31.3 and 31.4 of the Securities Act C.C.S.M. c.S50 |
N/A |
Trade repositories and clearing agencies (Part IV.2) – sections 31.6, 31.11 and 31.12 of the Securities Act C.C.S.M. c.S50 |
N/A |
Trading in derivatives (Part VIII.1) – section 79.1 of the Securities Act C.C.S.M. c.S50 |
N/A |
Designating a person or company as an insider – section 108.1 of the Securities Act C.C.S.M. c.S50 |
A person or company filing an application for an order that an issuer or class of issuers is, or is not, a mutual fund or a non-redeemable investment fund |
Exemption and extension orders section 116 of the Securities Act C.C.S.M. c.S50 |
An issuer filing an application under section 116 |
Audit oversight bodies (Part XX) – sections 204 and 206 of the Securities Act C.C.S.M. c.S50 |
N/A |
Column A |
Column B |
Ontario securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Relieving orders – subsection 1(10) of the Securities Act, RSO 1990, c S.5 |
An issuer filing an application for an order under subsection 1(10) |
Designation – subsection 1(11) of the Securities Act, RSO 1990, c S.5 |
An issuer filing an application for an order under subsection 1(11) |
Exchanges, alternative trading systems, self-regulatory organizations, clearing agencies, quotation and trade reporting systems, information processors – Part VIII of the Securities Act, RSO 1990, c S.5 |
N/A |
Credit rating organizations – Part IX of the Securities Act, RSO 1990, c S.5 |
N/A |
Benchmarks – Part X of the Securities Act, RSO 1990, c S.5 |
N/A |
Registration – Part XI of the Securities Act, RSO 1990, c S.5 |
N/A |
Disclosure of trade information to the Commission – subsection 36(2) of the Securities Act, RSO 1990, c S.5 |
N/A |
Exemption order – subsection 74(1) of the Securities Act, RSO 1990, c S.5 |
A person or company filing an application for relief from the prospectus requirement An issuer required or permitted to file or deliver a document pursuant to an exemption order |
Insider reporting – section 107 of the Securities Act, RSO 1990, c S.5 |
N/A |
Report of transfer by insider – section 109 of the Securities Act, RSO 1990, c S.5 |
N/A |
Filing in other jurisdictions – section 121 of the Securities Act, RSO 1990, c S.5 |
An issuer filing an application under section 121 |
Filing and inspection of material – section 140 of the Securities Act, RSO 1990, c S.5 |
An issuer filing an application under section 140 |
Class order exemption – subsection 143.11(2) of the Securities Act, RSO 1990, c S.5 |
A person or company required or permitted to file or deliver a document through SEDAR pursuant to a class order An issuer required or permitted to file or deliver a document pursuant to a class order |
Revocation or variation of decision – section 144 of the Securities Act, RSO 1990, c S.5 |
An issuer filing an application under section 144 |
Exemption – section 147 of the Securities Act, RSO 1990, c S.5 |
An issuer filing an application under section 147 |
OSC Rule 11-501 Electronic Delivery of Documents to the Ontario Securities Commission |
N/A |
OSC Rule 13-502 Fees |
An issuer filing any of the following: • Form 13-502F1 Class 1 and Class 3B Reporting Issuers – Participation Fee • Form 13-502F2 Class 2 Reporting Issuers – Participation Fee • Form 13-502F2A Adjustment of Fee for Class 2 Reporting Issuers • Form 13-502F3A Class 3A Reporting Issuers – Participation Fee • Form 13-502F6 Subsidiary Exemption Notice • an application under section 8.1 |
OSC Rule 31-505 Conditions of Registration |
N/A |
OSC Rule 32-501 Direct Purchase Plans |
N/A |
OSC Rule 32-505 Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario |
N/A |
OSC Rule 35-502 Non-Resident Advisers |
An issuer filing an application under OSC Rule 35-502 |
OSC Rule 91-501 Strip Bonds |
A person or company other than a registrant filing an application under OSC Rule 91-501 |
OSC Rule 91-502 Trades in Recognized Options |
N/A |
OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting |
N/A |
Column A |
Column B |
Québec securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Insider reports – sections 89 to 98 of the Securities Act, CQLR, c. V-1.1 |
N/A |
Surrender of registration – section 153 of the Securities Act, CQLR, c. V-1.1 |
N/A |
Self-Regulatory Organizations, Securities Exchange or Clearing Activities, Credit rating Organization, Benchmarks and Benchmark Administrators – sections 169 to 186.6 of the Securities Act, CQLR, c. V-1.1 |
N/A |
Exemption order by the Autorité des marchés financiers – section 263 of the Securities Act, CQLR, c. V-1.1 |
An issuer filing an application for an exemption A person filing an application for an exemption from the prospectus requirement An issuer required or permitted to file or deliver a document pursuant to an exemption order |
Blanket order by Autorité des marchés financiers – section 263 of the Securities Act, CQLR, c. V-1.1 |
An issuer required or permitted to file or deliver a document pursuant to a blanket order |
Designation – section 272.2 of the Securities Act, CQLR, c. V-1.1 |
A person filing an application to be designated a non-redeemable investment fund, a mutual fund or a reporting issuer An issuer required or permitted to file or deliver a document pursuant to a designation order |
Derivatives Act, CQLR, c. I-14.01 |
N/A |
An Act Respecting the Regulation of the Financial Sector, CQLR, c. A-33.2 |
N/A |
Column A |
Column B |
New Brunswick securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Designations – section 1.1(1) of the Securities Act SNB 2004, c S-5.5. |
An issuer filing an application for an order under section 1.1(1) An issuer required or permitted to file or deliver a document pursuant to a designation order |
Self-Regulated Organizations and other regulated entities – sections 35-39 of the Securities Act SNB 2004, c S-5.5. |
N/A |
Exemption orders – section 44.02(1) of the Securities Act SNB 2004, c S-5.5. |
N/A |
Further information – section 50 of the Securities Act SNB 2004, c S-5.5. |
N/A |
Surrender of registration– section 51(1) of the Securities Act SNB 2004, c S-5.5. |
N/A |
Exemption order – section 55(1) of the Securities Act SNB 2004, c S-5.5. |
A person filing an application that also includes relief from the prospectus requirement |
Derivatives – section 70.5(1) of the Securities Act SNB 2004, c S-5.5. |
N/A |
Prospectus and distribution – section 80(1) of the Securities Act SNB 2004, c S-5.5. |
A person required or permitted to file or deliver a document through SEDAR pursuant to an exemption order An issuer required or permitted to file or deliver a document pursuant to an exemption order. |
Continuous Disclosure – section 92(1) of the Securities Act SNB 2004, c S-5.5. |
An issuer filing an application under section 92 for an exemption from the insider reporting requirement An issuer required or permitted to file or deliver a document pursuant to an exemption order |
Insider trading and self-dealing – section 148(1) of the Securities Act SNB 2004, c S-5.5. |
A person required or permitted to file or deliver a document through SEDAR pursuant to an exemption order An issuer required or permitted to file or deliver a document pursuant to an exemption order |
Filing and inspection of material – section 198 of the Securities Act SNB 2004, c S-5.5. |
An issuer filing an application under section 198 |
Powers to revoke or vary decision – section 205.1(1) of the Securities Act SNB 2004, c S-5.5 |
An issuer filing an application under section 205.1(1) An issuer required or permitted to file or deliver a document pursuant to an order |
General – Exemption order – section 208(1) of the Securities Act SNB 2004, c S-5.5. |
An issuer filing an application under section 208(1) An issuer required or permitted to file or deliver a document pursuant to an order |
Column A |
Column B |
Nova Scotia securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Recognition of self-regulatory organizations – section 30 of the Securities Act, RSNS 1989, c. 418, as amended |
N/A |
Designation – section 30 A of the Securities Act, RSNS 1989, c. 418, as amended |
A person or company filing an application under section 30 A to be designated a mutual fund, non-redeemable investment fund or reporting issuer |
Designation of credit rating agencies – sections 30 EA and 30 F of the Securities Act, RSNS 1989, c. 418, as amended |
N/A |
Recognition of exchanges, quotation and trade reporting systems, clearing agencies, derivatives trading facilities, and derivative trade repositories – section 30 I of the Securities Act, RSNS 1989, c. 418, as amended |
N/A |
Designation of benchmarks and benchmark administrators –sections 30 N and 30 O of the Securities Act, RSNS 1989, c. 418, as amended |
N/A |
Voluntary surrender or suspension of registration –section 33 of the Securities Act, RSNS 1989, c. 418, as amended |
N/A |
Discretionary exemptions – section 79 of the Securities Act, RSNS 1989, c. 418, as amended |
A person or company filing an application for relief from the prospectus requirement |
Commission orders – section 98 of the Securities Act, RSNS 1989, c. 418, as amended |
An issuer filing an application under section 98 |
Relieving orders – section 121 of the Securities Act, RSNS 1989, c. 418, as amended |
An issuer filing an application under section 121 |
Exemption Order – section 128 of the Securities Act, RSNS 1989, c.418, as amended |
An issuer filing an application under section 128 |
Filing and confidentiality – subsection 148(2) of the Securities Act, RSNS 1989, c. 418, as amended |
An issuer filing an application under subsection 148(2) |
Revocation or variation of a decision – section 151 of the Securities Act, RSNS 1989, c.418, as amended |
An issuer filing an application under section 151 |
Discretionary exemptions – section 151A of the Securities Act, RSNS 1989, c. 418, as amended |
An issuer filing an application under section 151A |
Blanket order – section 151A of the Securities Act, RSNS 1989, c.418, as amended |
A person or company required or permitted to file or deliver a document through SEDAR pursuant to the blanket order. An issuer required or permitted to file or deliver a document pursuant to the blanket order. |
Column A |
Column B |
Prince Edward Island securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Recognition orders – sections 72 and 73 of the Securities Act Chapter S-3.1 |
N/A |
Designation orders – sections 6 and 71 of the Securities Act Chapter S-3.1 |
N/A |
Authorization orders – section 76 of the Securities Act Chapter S-3.1 |
N/A |
Exemption orders – section 16 of the Securities Act Chapter S-3.1 |
N/A |
Superintendent orders – subsection 15(1) of the Securities Act Chapter S-3.1 |
N/A |
Insider filings – subsection 104(2) and section 105 of the Securities Act Chapter S-3.1 |
N/A |
Exchanges and quotation and trade reporting systems – section 70 of the Securities Act Chapter S-3.1 |
N/A |
Column A |
Column B |
Newfoundland and Labrador securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Trading in Securities Generally – Part XII of the Securities Act RSNL 1990, c S-13 |
N/A
|
Exemptions from Registration Requirements – Part XI of the Securities Act RSNL 1990, c S-13 |
A person or company filing an application for relief from the prospectus requirement |
Exemption – section 142.1 of the Securities Act RSNL 1990, c S-13 |
An issuer filing an application under section 142.1 |
Surrender of registration – section 28 of the Securities Act RSNL 1990, c S-13 |
N/A
|
Self-regulation – Part VIII of the Securities Act RSNL 1990, c S-13 |
N/A
|
Investigations and Examinations – Part VI of the Securities Act RSNL 1990, c S-13 |
N/A
|
Applications to superintendent – section 93 of the Securities Act RSNL 1990, c S-13 |
An issuer filing an application under section 93 |
Further information – section 32 of the Securities Act RSNL 1990, c S-13 |
N/A |
Filing and inspection of material – section 140 of the Securities Act RSNL 1990, c S-13 |
An issuer filing an application under section 140 |
Column A |
Column B |
Yukon securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Recognition orders – sections 72 and 73 of the Securities Act S.Y. 2007, c.16 |
N/A |
Designation orders – sections 6 and 71 of the Securities Act S.Y. 2007, c.16 |
N/A |
Authorization orders – section 76 of the Securities Act S.Y. 2007, c.16 |
N/A |
Exemption orders – section 16 of the Securities Act S.Y. 2007, c.16 |
N/A |
Superintendent orders – subsection 15(1) of the Securities Act S.Y. 2007, c.16 |
N/A |
Designation of credit rating organizations – section 83.1 of the Securities Act S.Y. 2007, c.16 |
N/A |
Insider filings – subsection 104(2) and section 105 of the Securities Act S.Y. 2007, c.16 |
N/A |
Exchanges and quotation and trade reporting systems – section 70 of the Securities Act S.Y. 2007, c.16 |
N/A |
Column A |
Column B |
Nunavut securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Recognition orders – sections 72 and 73 of the Securities Act, SNu 2008, c 12 |
N/A |
Designation orders – sections 6 and 71 of the Securities Act, SNu 2008, c 12 |
N/A |
Authorization orders – section 76 of the Securities Act, SNu 2008, c 12 |
N/A |
Exemption orders – section 16 of the Securities Act, SNu 2008, c 12 |
N/A |
Superintendent orders – subsection 15(1) of the Securities Act, SNu 2008, c 12 |
N/A |
Designation of credit rating organizations – section 83.1 of the Securities Act, SNu 2008, c 12 |
N/A |
Insider filings – subsection 104(2) and section 105 of the Securities Act, SNu 2008, c 12 |
N/A |
Column A |
Column B |
Northwest Territories securities legislation pursuant to which documents must not be filed or delivered through SEDAR+ |
Exceptions to Column A: Filers who must file or deliver the document through SEDAR+ |
Recognition orders – sections 72 and 73 of the Securities Act, SNWT 2008, c. 10 |
N/A |
Designation orders – sections 6 and 71 of the Securities Act, SNWT 2008, c. 10 |
N/A |
Authorization orders – section 76 of the Securities Act, SNWT 2008, c. 10 |
N/A |
Exemption orders – section 16 of the Securities Act, SNWT 2008, c. 10 |
N/A |
Superintendent orders – subsection 15(1) of the Securities Act, SNWT 2008, c. 10 |
N/A |
Designation of credit rating organizations – section 83.1 of the Securities Act, SNWT 2008, c. 10 |
N/A |
Insider filings – subsection 104(2) and section 105 of the Securities Act, SNWT 2008, c. 10 |
N/A |
Exchanges and quotation and trade reporting systems – section 70 of the Securities Act, SNWT 2008, c. 10 |
N/A |