Requests for Comment 

Industry and public consultation is an important part of the regulatory process and provides good input into new or revised legislation.

When the ASC or CSA believe new or revised regulation is required, they will typically publish the proposed new documents for public comment. Proposals that are currently available for public comment:


Passport System for Registration - CSA Notice of proposed National Policy 11-204 Process for Registration in Multiple Jurisdictions, proposed amendments to Multilateral Instrument 11-102 Passport System and related proposed repeals and amendments

The Canadian Securities Administrators (CSA) have published proposed National Policy 11-204 Process for Registration in Multiple Jurisdictions (NP 11-204) and proposed amendments to Multilateral Instrument 11-102 Passport System (MI 11-102) and its related policies.  The CSA Notice also proposes to repeal National Instrument 31-101 National Registration System, its related forms and National Policy 31-201 National Registration System (NRS).

The proposed amendments to MI 11-102, published by CSA members other than the OSC, would establish a passport system for the registration of dealers and advisors and would deal with a few issues that have arisen since implementing this instrument.  Proposed NP 11-204, published by all CSA members, outlines the process for registration in multiple jurisdictions and how market participants in passport jurisdictions would gain access to the Ontario Market.  Passport for registration, together with the interface in proposed NP 11-204, would replace the NRS rule, forms and policy.  Also, CSA is proposing some consequential and housekeeping amendments to other related policies.

View CSA Notice of proposed amendments to MI 11-102, proposed NP 11-204 and related amendments and repeals

View proposed amendments to MI 11-102 and proposed NP 11-204

Published: 18 July 2008
Comment period, other than the repeal of NRS, expires: 17 September 2008
Comment period on the repeal of NRS expires: 17 October 2008


 Proposed Recognition of the Natural Gas Exchange Inc. (NGX)

NGX has applied to the Alberta Securities Commission for recognition as an exchange and as a clearing agency.  The Commission welcomes public comment about the proposed recognition.   Please provide comments, as directed in the notice, before the end of business on August 14th.

Alberta Securities Commission Notice and Request for Comment on the Proposed Recognition of  NGX as an Exchange and a Clearing Agency

NGX Proposed Exchange Recognition order

NGX Proposed Clearing Agency Recognition order

Published: 15 Jul 2008
Comment Period Expires: 14 Aug 2008

2722736 v2 - Proposed Amendment to NI 55-102.pdfRequests for Comment55-102Notice and Request for Comment on Proposed Amendments to National Instrument 55-102 System For Electronic Disclosure By Insiders (SEDI) and Forms
16409_CSA_Notice_for_comment-_Aug_31-07.pdfRequests for Comment11-202 & 11-203Notice and request for comment on proposed NP 11-202 and proposed NP 11-203 (comment period ends October 30, 2007)
_2476283_v1_-_AMENDMENTS_TO_21-101CP__APR_5_2007_.pdfRequests for Comment21-101Amendments to Companion Policy NI 21-101CP Marketplace Operation
_2476303_v1_-_AMENDMENTS_TO_NI_23-101__APR_5_2007_.pdfRequests for Comment23-101Amendments to NI 23-101 Trading Rules
_2476311_v1_-_AMENDMENTS_TO_23-101CP__APR_5_2007_.pdfRequests for Comment23-101Amendments to Companion Policy 23-101CP Trading Rules
Compiled_CSA_Notice_81-106.pdfRequests for Comment81-106Notice and request for comment on proposed amendments to NI 81-106 Investment Fund Continuous Disclosure, Form 81-106F1 and Companion Policy 81-106 and related amendments
_2486646_v1_-_CSA_STAFF_NOTICE_21-306__APR_2007_.pdfRequests for Comment21-101Staff Notice 23-306 Notice of filing of Form 21-101F5
_2476269_v1_-_AMENDMENTS_TO_NI_21-101__APR_4_2007_.pdfRequests for Comment21-101Amendments to NI 21-101 Marketplace Operation
_2470191_v2_-_CSA_Notice_NI_21-101_NI_23-101.pdfRequests for Comment21-101 & 23-101Notice of Amendments to NI 21-101 and NI 23-101