Rule Making

The Securities Commission of Newfoundland and Labrador administers the Securities Act and is empowered to make legally binding rules.

Contents

  1. National Instrument
  2. National Policies
  3. Multilateral Instrument
  4. Local Rules
  5. Revoked

National Instrument

Rule Title Addendum
31-101 National Registration System Rules (PDF: 54 KB)
Form 1 (PDF: 14 KB)
Form 2 (PDF: 12 KB)
33-105 Underwriting Conflicts Rules (PDF: 43 KB)
Companion Policy (PDF: 433 KB)
41-101 Prospectus Disclosure Requirements Rules (PDF: 19 KB)
Form 1 (PDF: 14 KB)
Form 2 (PDF: 12 KB)
43-101 Standards of Disclosure for Mineral Projects Rules (PDF: 50 KB)
Companion Policy (PDF: 31 KB)
Appendix (PDF: 16 KB)
Form 1 (PDF: 34 KB)
44-101 Short Form Prospectus Distributions Rules (PDF: 183 KB)
Companion Policy (PDF: 186 KB)
Form 3 (PDF: 122 KB)
44-102 Shelf Distributions Rules (PDF: 158 KB)
Companion Policy (PDF: 33 KB)
44-103 Post-Receipt Pricing Rules (PDF: 44 KB)
Companion Policy (PDF: 17 KB)
45-101 Short Form Prospectus Distributions Rules (PDF: 33 KB)
Companion Policy (PDF: 22 KB)
Form 1 (PDF: 19 KB)
45-106 Prospectus and Registration Exemptions Rules (PDF: 149 KB)
Companion Policy (PDF: 69 KB)
Form 1 (PDF: 29 KB)
Form 2 (PDF: 67 KB)
Form 3 (PDF: 45 KB)
Form 4 (PDF: 17 KB)
Form 5 (PDF: 15 KB)
51-101 Standards of Disclosure for Oil and Gas Activities Rules (PDF: 1,850 KB)
Companion Policy (PDF: 221 KB)
Form 1 (PDF: 44 KB)
Form 2 (PDF: 13 KB)
Form 3 (PDF: 11 KB)
51-102 Continuous Disclosure Obligations Rules (PDF: 138 KB)
Companion Policy (PDF: 87 KB)
Form 1 (PDF: 58 KB)
Form 2 (PDF: 52 KB)
Form 3 (PDF: 14 KB)
Form 4 (PDF: 14 KB)
Form 5 (PDF: 52 KB)
Form 6 (PDF: 73 KB)
55-101 Exemption From Certain Insider Reporting Requirements Rules (PDF: 100 KB)
Companion Policy (PDF: 88 KB)
52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency Rules (PDF: 53 KB)
Companion Policy (PDF: 62 KB)
Proposal (PDF: 187 KB)
52-108 Auditor Oversight Rules (PDF: 17 KB)
54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer Rules (PDF: 53 KB)
Companion Policy (PDF: 55 KB)
Form 1 (PDF: 31 KB)
Form 2 (PDF: 29 KB)
Form 3 (PDF: 11 KB)
Form 4 (PDF: 11 KB)
Form 5 (PDF: 10 KB)
Form 6 (PDF: 11 KB)
Form 7 (PDF: 11 KB)
Form 8 (PDF: 10 KB)
Form 9 (PDF: 12 KB)
55-102 System for Electronic Disclosure by Insiders (SEDI) Consolidated (PDF: 224 KB)
Form 1 (PDF: 80 KB)
Form 2 (PDF: 105 KB)
Form 3 (PDF: 87 KB)
Form 4 (PDF: 55 KB)
Form 5 (PDF: 75 KB)
Form 6 (PDF: 140 KB)
58-101 Disclosure of Corporate Governance Practices Rules (PDF: 15 KB)
Form 1 (PDF: 57 KB)
Form 2 (PDF: 11 KB)
71-102 Continuous Disclosure and Other Exemptions Relating To Foreign Issuers Rules (PDF: 47 KB)
Companion Policy (PDF: 22 KB)
81-101 Mutual Fund Prospectus Disclosure Rules (PDF: 34 KB)
Companion Policy (PDF: 56 KB)
Form 1 (PDF: 109 KB)
Form 2 (PDF: 73 KB)
81-105 Mutual Fund Sales Practices Rules (PDF: 41 KB)
Companion Policy (PDF: 56 KB)
81-106 Investment Fund Continuous Disclosure Rules (PDF: 140 KB)
Companion Policy (PDF: 65 KB)
Form 1 (PDF: 52 KB)

National Policies

Rule Title Addendum
58-201 Corporate Governance Guidelines Policy (PDF: 38 KB)

Multilateral Instrument

Rule Title Addendum
31-102 National Registration Database Rules (PDF: 26 KB)
Companion Policy (PDF: 12 KB)
33-109 Registration Information Rules (PDF: 27 KB)
Companion Policy (PDF: 12 KB)
Form 1 (PDF: 14 KB)
Form 2 (PDF: 15 KB)
Form 3 (PDF: 14 KB)
Form 4 (PDF: 115 KB)
Form 5 (PDF: 16 KB)
45-102 Resale of Securities Rules (PDF: 60 KB)
Companion Policy (PDF: 28 KB)
Form 1 (PDF: 16 KB)
45-105 Trades to Employees, Senior Officers, Directors, and Consultants Rules (PDF: 103 KB)
Amendment
52-109 Certification of Disclosure In Issuers' Annual and Interim Filings Rules (PDF: 26 KB)
Companion Policy (PDF: 92 KB)
Form 1 (PDF: 12 KB)
Form 2 (PDF: 12 KB)
Form 1 T (PDF: 11 KB)
Form 2 T (PDF: 11 KB)
52-110 Audit Committees Rules (PDF: 56 KB)
Companion Policy (PDF: 43 KB)
Form 1 (PDF: 19 KB)
Form 2 (PDF: 17 KB)
81-104 Commodity Pools Rules (PDF: 44 KB)
Companion Policy (PDF: 32 KB)

Local Rules

Rule Title Addendum
51-801 Implementing National Instrument 51-102 Continuous Disclosure Obligations Rules (PDF: 13 KB)
Companion Policy (PDF: 13 KB)
71-801 Implementing National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating To Foreign Issuers Rules (PDF: 14 KB)

Revoked

Rule Title Addendum
45-103 Capital Raising Exemptions
Revoked September 14, 2005		 Rules (PDF: 124 KB)
Companion Policy (PDF: 107 KB)
Form 1 (PDF: 150 KB)
Form 2 (PDF: 105 KB)
Form 3 (PDF: 32 KB)
Form 4 (PDF: 62 KB)
Form 5 (PDF: 32 KB)
45-501 Capital Raising Exemptions
Revoked March 31, 2004		 Rules (PDF: 25 KB)
45-801 Implementing National Instrument 45-103 Capital Raising Exemptions
Revoked September 14, 2005		 Rules (PDF: 18 KB)