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Rule Making

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

Note: all links below are PDFs and will open in a new window.

• National Instrument
• National Policies
• Multilateral Instrument
• Local Rules
• Revoked

National Instrument

• 31-101 - National Registration System
  • Rules (54 KB)
  • Form 1 (14 KB)
  • Form 2 (12 KB)
• 33-105 - Underwriting Conflicts
  • Rules (243 KB)
  • Companion Policy (433 KB)
• 41-101 - Prospectus Disclosure Requirements
  • Rules (19 KB)
  • Form 1 (14 KB)
  • Form 2 (12 KB)
• 43-101 - Standards of Disclosure for Mineral Projects
  • Rules (50 KB)
  • Companion Policy (31 KB)
  • Appendix (16 KB)
  • Form 1 (34 KB)
• 44-101 - Short Form Prospectus Distributions
  • Rules (183 KB)
  • Companion Policy (186 KB)
  • Form 3 (122 KB)
• 44-102 - Shelf Distributions
  • Rules (158 KB)
  • Companion Policy (33 KB)
• 44-103 - Post-Receipt Pricing
  • Rules (44 KB)
  • Companion Policy (17 KB)
• 45-101 - Short Form Prospectus Distributions
  • Rules (33 KB)
  • Companion Policy (22 KB)
  • Form 1 (19 KB)
• 45-106 - Prospectus and Registration Exemptions
  • Rules (149 KB)
  • Companion Policy (69 KB)
  • Form 1 (29 KB)
  • Form 2 (67 KB)
  • Form 3 (45 KB)
  • Form 4 (17 KB)
  • Form 5 (15 KB)
• 51-101 - Standards of Disclosure for Oil and Gas Activities
  • Rules (1.9 MB)
  • Companion Policy (221 KB)
  • Form 1 (44 KB)
  • Form 2 (13 KB)
  • Form 3 (11 KB)
• 51-102 - Continuous Disclosure Obligations
  • Rules (138 KB)
  • Companion Policy (87 KB)
  • Form 1 (58 KB)
  • Form 2 (52 KB)
  • Form 3 (14 KB)
  • Form 4 (14 KB)
  • Form 5 (52 KB)
• 55-101 - Exemption From Certain Insider Reporting Requirements
  • Rules (100 KB)
  • Companion Policy (88 KB)
• 52-107 - Acceptable Accounting Principles, Auditing Standards and Reporting Currency
  • Rules (53 KB)
  • Companion Policy (62 KB)
  • Proposal (187 KB)
• 52-108 - Auditor Oversight
  • Rules (17 KB)
• 54-101 - Communication with Beneficial Owners of Securities of a Reporting Issuer
  • Rules (53 KB)
  • Companion Policy (55 KB)
  • Form 1 (31 KB)
  • Form 2 (29 KB)
  • Form 3 (11 KB)
  • Form 4 (11 KB)
  • Form 5 (10 KB)
  • Form 6 (11 KB)
  • Form 7 (11 KB)
  • Form 8 (10 KB)
  • Form 9 (12 KB)
• 55-102 - System for Electronic Disclosure by Insiders (SEDI)
  • Consolidated (224 KB)
  • Form 1 (80 KB)
  • Form 2 (105 KB)
  • Form 3 (87 KB)
  • Form 4 (55 KB)
  • Form 5 (75 KB)
  • Form 6 (140 KB)
• 58-101 - Disclosure of Corporate Governance Practices
  • Rules (15 KB)
  • Form 1 (57 KB)
  • Form 2 (11 KB)
• 71-102 - Continuous Disclosure and Other Exemptions Relating To Foreign Issuers
  • Rules (47 KB)
  • Companion Policy (22 KB)
• 81-101 - Mutual Fund Prospectus Disclosure
  • Rules (34 KB)
  • Companion Policy (56 KB)
  • Form 1 (109 KB)
  • Form 2 (73 KB)
• 81-105 - Mutual Fund Sales Practices
  • Rules (41 KB)
  • Companion Policy (56 KB)
• 81-106 - Investment Fund Continuous Disclosure
  • Rules (140 KB)
  • Companion Policy (65 KB)
  • Form 1 (52 KB)

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National Policies

• 58-201 - Corporate Governance Guidelines
  • Policy (38 KB)

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Multilateral Instrument

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

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Local Rules

• 51-801 - Implementing National Instrument 51-102 Continuous Disclosure Obligations
  • Rules (13 KB)
  • Companion Policy (9 KB)
• 71-801 - Implementing National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating To Foreign Issuers
  • Rules (14 KB)

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Revoked

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

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