What’s In SecuritiesSource



 


Regulatory Materials

 

SecuritiesSource includes regulatory materials, instruments, notices and policy documents from securities commissions or their equivalents, stock exchanges, and other self-regulating organizations. This information is organized by jurisdiction, issuing body and document type. 

Alberta Securities Commission
  • Publication of the ASC Summary was discontinued in 2001. For your convenience, SecuritiesSource continues to post ASC regulatory material on a weekly basis in a format resembling the former Summary for your convenience. It is accessible from the homepage link, “Alberta Securities Commission Summary”. The full text of ASC Summaries from the first issue of 1999 (Vol. 8, Issue 1, Jan. 8, 1999) to the final issue of 2001 (Vol. 10, Issue 13, Mar. 30, 2001) are also accessible from this link.
  • The following ASC material can also be accessed through the Table of Contents or the Regulatory Materials custom search template:
         - National and Alberta Rules, Policies and Notices (New Numbering System) 
         - Policy Statements and Blanket Orders 
         - Notices and Interpretation Notices 
         - Alberta Securities Commission Personnel 
         - Legislation

British Columbia Securities Commission
  • Publication of the BCSC Weekly Summary was discontinued in 2000. SecuritiesSource continues to post BCSC regulatory material on a weekly basis in a format resembling the former Weekly Summary for your convenience. It is accessible from the homepage link “British Columbia Securities Commission Weekly Summary”. The full text of BCSC Weekly Summaries from the first issue of 1999 (Vol. 8, Issue 1, Jan. 8, 1999) to the final issue of 2000 (Issue 00:35, Sept. 8, 2000) are also accessible from this link.
  • The following BCSC material can also be accessed from the Table of Contents or the Regulatory Materials custom search template:
         - Uniform Numbering System Documents 
         - Local Policy Statements 
         - Blanket Orders and Rulings 
         - Notices and Interpretation Notices 
         - News Releases 
         - Legislation

Canadian Securities Administrators

All current National Instruments, Multilateral Instruments, National Policies, National Policy Statements (old numbering system), Uniform Act Policies, Canadian Securities Administrator Notices and Principles of Regulation.

TSX Venture Exchange
  • Corporate Finance Manual
  • TSX Venture Exchange Rules
  • TSX Venture Exchange Policy Statements
  • NEX
Canadian Investment Regulatory Organization (formerly the New Self-Regulatory Organization from January 1, 2023 to June 1, 2023)

The following material is available:
  • Interim Rules (effective January 1, 2023)
  • By-law No. 1 of the New SRO (effective January 1, 2023)
  • Notices
  • Decisions/Rulings from January 1, 2023
  • Marketplace Notices
  • Other Notices
Investment Industry Regulatory Organization of Canada (up to December 31, 2022)

The following material is available:
  • IIROC Rule Book
  • Market Regulation Services
  • IIROC Decisions/Rulings since 2008 to Dec. 31, 2022

Investment Funds Institute of Canada

The following material is available:
  • By-Laws
  • Regulations
  • Code of Practice
Mutual Funds Dealers Association (up to December 31, 2022)

The following material is available:
  • Rules · By-Laws · Policies
  • MFDA Decisions/Rulings from 2004 to December 31, 2022
Manitoba Securities Commission
All current Rules Notice Policy Statements, Notices, and Blanket Orders.

ICE Futures Canada
All current Rules, By-laws and Annexures.

New Brunswick Financial and Consumer Services Commission
All current Policy Statements, Notices, Interpretation Notices, Instruments, Local Rules, Local Policies, Blanket Orders, By-Laws and National Policies.

Newfoundland Superintendent of Securities
All current Rules, Policy Statements and Blanket Orders.

Northwest Territories, Office of the Superintendent of Securities
All current Blanket Orders.

Nova Scotia Securities Commission
All current Nova Scotia Rules, Staff List, Policies, Blanket Orders, Blanket Orders Under the Companies Act, Notices and Interpretation Notes.

Nunavut Registrar of Securities
All current Blanket Orders.

Ontario Securities Commission
  • The most recent OSC Bulletins are available from the homepage link “Ontario Securities Commission Bulletin”. The OSC Bulletin archive goes back to 1994.
  • The following OSC regulatory material is also accessible from the Table of Contents or through the Regulatory Materials custom search template:
         - By-Laws 
         - Policies 
         - Blanket Orders, Recognitions, Designations and Assignments 
         - Notices 
         - Requests for Comments 
         - Registration Section Clarification Notes 
         - Rules of Practice 
         - Rules of Procedure 
         - Rules

Toronto Stock Exchange (TSX)
  • TSX Rule Book
  • TSX Company Manual
  • Regulatory Notices
  • Notices
  • Member Firms and Member Corporations

Prince Edward Island Securities Office
Rules, Policies, Notices and Blanket Orders.

Autorité des Marchés Financiers
Policy Statements (English version).

Montreal Exchange
Montreal Exchange Management and Members, List of Fees, Montreal Exchange Rules, Policies and Montreal Exchange Circulars (English versions). Amendments made by Circulars are incorporated on an ongoing basis but Circulars are only published for 2009.

Saskatchewan Financial Services Commission
Saskatchewan Executive Council News Releases, Securities Commission Table of Concordance, Staff List, National Instruments, National Policies, CSA Staff Notices, CSA News Releases, Local Policy Statements, Local Instruments, Staff Notices, Implementing Orders, General Rulings/Orders, Notices/Request for Comments, Business Practice Rules, Pre-Reformulation SSC Documents.


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Legislation

SecuritiesSource contains the securities acts, related regulations and forms from all Canadian jurisdictions.

You can access legislation on SecuritiesSource in many ways, including the legislation search template, the Table of Contents or through the Find/KeyCite template. SecuritiesSource also includes documents that resemble legislation but are otherwise categorized as "Regulatory Materials".

Table of Concordance
SecuritiesSource contains a concordance of securities acts from all jurisdictions in Canada, providing a quick comparison of related sections. This concordance is updated monthly.

SecuritiesSource Legislation Collection
The following full-text statutes, rules and regulations are included with your SecuritiesSource subscription.

Alberta
  • Securities Act
  • Alta. Reg. 115/95 – Securities Regulation
  • Alta. Reg. 46-501 — Alberta Securities Commission Rules

British Columbia
  • Securities Act · Securities Regulation

Manitoba
  • Securities Act · Man. Reg. 491/88 – Securities Regulation
  • Man. Reg. 246/97 – Rule-Making Procedure Regulation

New Brunswick
  • Securities Act
  • N.B. Reg. 2004-66 — General Regulation — Securities Act

Newfoundland and Labrador
  • Securities Act · Nfld. Reg. 805/96 – Securities Regulation

Northwest Territories
  • Securities Act
  • N.W.T. Reg. R-060-2008 — Promulgation of Rules Regulations
  • N.W.T. Reg. R-066-2008 — Securities Fees Regulations
 
Nova Scotia
  • Securities Act · N.S. Reg. 201/87 - Securities Regulation
  • Community Economic-Development Corporations Regulations
 
Nunavut
  • Securities Act
  • Nun. Reg. R-024-2008 — Promulgation of Rules Regulations
  • Nun. Reg. 20 (Supp.) — Securities Fees Regulations
  • Nun. Reg. S-5 – Securities Regulations

Ontario
  • Securities Act
  • Ont. Reg. 261/92 — Exemptions Respecting The Algoma Steel Corporation, Limited
  • Ont. Reg. 85/05 — Exemptions Respecting the Ontario Financing Authority
  • Ont. Reg. 106/03 — Exemptions Respecting the Ontario Municipal Economic Infrastructure Financing Authority
  • Ont. Reg. 1015 — General Regulation
  • Ont. Reg. 261/02 — Toronto Stock Exchange Inc.
 
Prince Edward Island
  • Securities Act
  •  P.E.I. Reg. EC2008-57 – Securities Act Regulations

Québec
  • Securities Act
  • Securities Regulation
Saskatchewan
  • Securities Act
  • R.R.S., c. S-42.2, Reg. 3 — The Securities Commission (Adoption of National Instruments) Regulations
  • R.R.S., c. S-42.2 7 — The Securities Commission (Disclosure of Personal Information) Regulations, 2008
  • R.R.S., c. S-42.2, Reg. 5 — The Securities Commission (Local Instruments) Regulations
  • R.R.S., c. S-42.2, Reg. 2 — The Securities Commission (Regulation Procedures) Regulations
  • R.R.S., c. S-42.2, Reg. 1 — The Securities Regulations

Yukon
  • Securities Act
  • 1976/176 – Securities Regulations
SecuritiesSource also features a searchable database in which customers can search generally across all Canadian legislation or within legislation related to securities. This database includes, but is not limited to, every Canadian Securities Act, Canada Business Corporations Act, Investment Canada Act , and Toronto Stock Exchange Act.


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Commentary

SecuritiesSource contains the full commentary portions of the Securities Law and Practice print service published by Carswell (volumes 1-3).  


Newsletter
The Securities Newsletter is published periodically and reports on recent court decisions and other developments in Canadian securities and corporate law. Coverage begins with October 1998. The Editor-in-Chief is Steven London, principal of London Securities and Business Law. Steven provides regulatory and legal advice to public and private investment funds and securities industry registrants, in addition to carrying on an M&A practise focused on small and mid-sized businesses.

Precedents
Text of Canadian Securities Law Precedents, which contains a selection of key securities law precedents covering areas such as Public Offerings, Private Placements, and Take-Over Bids. Editor: Aird & Berlis LLP.


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Case Law/Rulings

SecuritiesSource contains securities-related case law dating back to 1855, including:
  • all case law published in the Canadian Cases on the Law of Securities (CCLS)
  • full-text rulings, orders, and decisions from the ASC and BCSC since 1999
  • full-text rulings, orders, and the decisions from the Ontario Securities Commission since 1994.
  • IIROC Decisions/Rulings since 2008.
  • MFDA Decisions/Rulings since 2004.

Canadian Abridgment Case Digests
SecuritiesSource contains digests of securities-related case law back to 1855, drawn from Carswell's Canadian Abridgment Case Digests print service. This print service is a comprehensive collection of digests of Canadian case law. With the exception of Quebec civil law cases, this collection covers virtually every reported case in Canada, and every case received from Canadian courts, including unreported cases, since 1986.

All court decisions in this collection are reproduced directly from the court files, either precisely as issued by the court or edited by Carswell for transcription and citation errors. All headnotes are written by Carswell. Parallel citations for reported decisions are included where available.



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KeyCite Canada

KeyCite Canada is Westlaw Canada's online citator based on The Canadian Abridgment’s Canadian Case Citations and Canadian Statute Citations. It notes: 
  • the history of Canadian cases,
  • the judicial consideration of any case, Canadian or foreign, in a Canadian judicial decision,
  • the judicial consideration by Canadian courts of Canadian federal, provincial and territorial statutes, as well as international treaties and foreign statutes, and
  • citing references to cases from secondary sources on Westlaw Canada.


KeyCite Canada Coverage
KeyCite Canada for cases covers the direct appellate history of Canadian cases, plus treatments for any case, whether foreign or Canadian, discussed by a Canadian court or tribunal, or a secondary source on Westlaw Canada. Coverage includes

  • Comprehensive histories of Canadian cases and judicial treatment information for Canadian or foreign cases found in:
         - Canadian reported cases from 1986 forward, 
         - Canadian unreported Court of Appeal cases since 1987, 
         - Canadian unreported superior court cases from 1993 forward, and 
         - Other Canadian cases since late 1998,
  • Selective history and judicial treatments back to the 1800s.

KeyCite Canada for legislation covers treatment of statutes or rules, whether foreign or Canadian, and international treaties or conventions discussed by Canadian courts and tribunals or secondary sources on Westlaw Canada. Coverage includes 

  • Comprehensive judicial treatment of statutes, rules, treaties or conventions found in: 
         - Canadian reported cases from 1980 forward, 
         - Canadian unreported Court of Appeal cases since 1987, 
         - Canadian unreported superior court cases from 1993 forward, and 
         - Other Canadian cases since late 1998,
  • Selective judicial treatments back to the 1800s.

Review descriptions of all information in your service.

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Licence Agreement