Skip Ribbon Commands
Skip to main content
or
Check registration (?)

The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

45-106 - Prospectus Exemptions [NI]

45-106PDFProspectus Exemptions - Consolidated Version National InstrumentAs Amended10/5/2018
45-106F1PDFReport of Exempt Distribution - Consolidated VersionFormAs Amended10/5/2018
Schedule 1
to 45-106F1
(Excel Template)
PDFConfidential Purchaser Information MiscellaneousEffective10/5/2018
Schedule 2
to 45-106F1
(Excel Template)
PDFConfidential Director, Executive Officer, Promoter and Control Person InformationMiscellaneousEffective6/30/2016
45-106F2PDFOffering Memorandum for Non-Qualifying Issuers - Consolidated VersionFormAs Amended4/30/2016
45-106F3PDFOffering Memorandum for Qualifying Issuers - Consolidated VersionFormAs Amended4/30/2016
45-106F4PDFRisk Acknowledgement - Consolidated VersionFormAs Amended4/30/2016
Sched 1 and 2
to 45-106F4
PDFSchedule 1 Classification of Investors / Schedule 2 Investment Limits for InvestorsMiscellaneousEffective4/30/2016
45-106F5PDFRisk Acknowledgement Saskatchewan Close Personal Friends and Close Business AssociatesFormEffective9/28/2009
45-106F7PDFInformation Memorandum for Short-term Securitized Products Distributed under Section 2.35.1FormEffective5/5/2015
45-106F8PDFMonthly Disclosure Report for Short-term Securitized Products Distributed under Section 2.35.1FormEffective5/5/2015
45-106F9PDFForm for Individual Accredited InvestorsFormEffective5/5/2015
45-106F12PDFOntario Risk Acknowledgement Form for Family, Friend and Business Associate InvestorsFormEffective6/16/2016
45-106F14PDFRights Offering Notice for Reporting IssuersFormEffective12/8/2015
45-106F15PDFRights Offering Circular for Reporting IssuersFormEffective12/8/2015
45-106F16PDFNotice of Use of ProceedsFormEffective4/30/2016
45-106F17PDFNB, NS & ON Notice of Specified Key EventsFormEffective4/30/2016
45-106CPPDFCompanion Policy to NI 45-106 - Consolidated Version Companion PolicyAs Changed10/5/2018
Download All

Proposed Amendments Related to 45-106

PDFRequest for Comment Proposed Amendments to NI 45-106 and NI 31-103 (includes comment letters received)CSA NoticePublished3/8/2018
NumberDocument TitleRegulatory Instrument TypeStatusDate
45-308PDFGuidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 Prospectus Exemptions - Revised VersionCSA NoticePublished10/4/2018
PDFRequest for Comment Proposed Blanket Order 45-520 Facilitating Access to Capital by Community Economic Development Corporations (includes comment letters received)ASC NoticePublished9/13/2018
46-309PDFBail-in DebtCSA NoticePublished8/23/2018
45-323PDFUpdate on Use of the Rights Offering Exemption in NI 45-106 Prospectus Exemptions - Revised VersionCSA NoticePublished7/26/2018
45-703PDFReport on the Use of the Family, Friends and Business Associates Prospectus ExemptionASC NoticePublished11/28/2017
45-322PDFPotential Concerns with the Structure of Rights Offerings CSA NoticePublished1/12/2017
45-515PDFExpired - Exemption from Certain Financial-Statement Requirements of Form 45-106F2 Offering Memorandum for Non-Qualifying IssuersBlanket OrderExpired12/21/2016
45-320PDFExemptions for Certain Foreign Issuers from the Requirement to Identify Purchasers as Registrants or Insiders in Reports of Exempt DistributionCSA NoticePublished7/7/2016
45-518PDFForm 45-106F1 - Exemption Regarding Certain Purchaser InformationBlanket OrderEffective6/30/2016
ABASC 974PDFOM Exemptions Non-Reporting Issuers - Confidentiality OrderSLP MiscellaneousEffective4/30/2016
45-701PDFInvestment Fund Financial Statements Used in an Offering MemorandumASC NoticePublished4/30/2016
2016 ABASC 91PDFDesignation of Investment Funds as Reporting Issuers for Certain Purposes, 2016 ABASC 91Revocation OrderEffective4/30/2016
13-323PDFFrequently Asked Questions About Making Exempt Market Offering and Disclosure Filings on SEDARCSA NoticePublished4/21/2016
45-304PDFNotice of Local Exemptions Related to NI 45-106 and NI 31-103CSA NoticePublished5/21/2015
45-512PDFExemption from certain financial statement requirements of Form 45-106F2 Offering Memorandum for Non-Qualifying Issuers - RevokedBlanket OrderRevoked12/17/2014
PDFExemptions from Certain Financial-Statement Requirements of the Offering Memorandum ExemptionCSA NoticePublished12/17/2014
45-314PDFConsolidated List of Current CSA Exempt Market InitiativesCSA NoticePublished3/20/2014
45-311PDFExemptions from Certain Financial Statement-Related Requirements in the Offering Memorandum Exemption to Facilitate Access to Capital by Small Businesses (including comment letters)CSA NoticePublished12/20/2012
45-309PDFGuidance for Preparing and Filing an Offering Memorandum under National Instrument 45-106 Prospectus and Registration ExemptionsCSA NoticePublished4/26/2012
PDFASC Rule 45-511 Local Prospectus Exemptions and Related Requirements And Consequential Amendments to Alberta Securities Commission Rules (General)ASC NoticePublished6/4/2010
2005 ABASC 849PDFExemption for trades in certain capital accumulation plansBlanket OrderEffective10/21/2005
NumberDocument TitleRegulatory Instrument TypeStatusDate
45-106CPPDFChanges to 45-106CPChanges to PolicyEffective10/5/2018
45-106PDFAmendments to NI 45-106 Amendments to InstrumentEffective10/5/2018
PDFAmendments to NI 45-106 and Changes to 45-106CPCSA NoticePublished7/19/2018
45-106PDF Amendments to NI 45-106 (arising from NI 44-101)Amendments to InstrumentEffective6/12/2018
PDFRequest for Comment Proposed Amendments to NI 45-106 (includes comment letters received)CSA NoticePublished6/8/2017
45-106PDFAmendments to NI 45-106 (relating to Reports of Exempt Distribution)Amendments to InstrumentEffective6/30/2016
45-106CPPDFChanges to 45-106CPChanges to PolicyEffective6/30/2016
2011 ABASC 561PDFDesignation of Investment Funds as Reporting Issuers for Certain PurposesDesignation OrderRevoked4/30/2016
PDFInvestment Fund Financial Statements used in an Offering MemorandumASC NoticeWithdrawn4/30/2016
45-106PDFAmendments to NI 45-106 relating to the Offering Memorandum ExemptionAmendments to InstrumentEffective4/30/2016
45-106CPPDFChanges to 45-106CP relating to the Offering Memorandum ExemptionChanges to PolicyEffective4/30/2016
PDFAmendments to NI 45-106 relating to Reports of Exempt DistributionCSA NoticePublished4/7/2016
45-106PDFAmendments to NI 45-106 relating to Rights OfferingAmendments to InstrumentEffective12/8/2015
45-106CPPDFChanges to 45-106CP relating to Rights OfferingChanges to PolicyEffective12/8/2015
45-106PDFAmendments to NI 45-106 (arising from the recognition of Aequitas NEO Exchange Inc. as an Exchange)Amendments to InstrumentEffective11/17/2015
PDFAmendments to NI 45-106 Prospectus Exemptions relating to the Offering Memorandum ExemptionCSA NoticePublished10/29/2015
PDFAmendments to NI 45-106, NI 41-101, NI 44-101, NI 45-102 and Repeal of NI 45-101 relating to Rights OfferingCSA NoticePublished9/24/2015
PDFRequest for Comment Proposed Amendments to NI 45-106 relating to Reports of Exempt DistributionCSA NoticePublished8/13/2015
45-106PDFAmendments to NI 45-106 relating to the Short-term Debt Prospectus Exemption and Short-term Securitized ProductsAmendments to InstrumentEffective5/5/2015
45-106CPPDFChanges to 45-106CP relating to the Short-term Debt Prospectus Exemption and Short-term Securitized ProductsChanges to PolicyEffective5/5/2015
45-106PDFAmendments to NI 45-106 relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)Amendments to InstrumentEffective5/5/2015
45-106CPPDFChanges to 45-106CP relating to the Accredited Investor and Minimum Amount Investment Prospectus ExemptionsChanges to PolicyEffective5/5/2015
45-106F1PDFReport of Exempt DistributionFormAs Amended5/5/2015
PDFAmendments to NI 45-106 relating to the Short-term Debt and Short-term Securitized ProductsCSA NoticePublished2/19/2015
PDFAmendments to National Instrument 45-106 Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus ExemptionsCSA NoticePublished2/19/2015