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Rules

Orders

• Delegated Orders
• Exemption Orders
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• Other

SRO Rule Making

• Orders Approving SRO Rule/Rule Changes

Circulars, Bulletins, Policy Statements

Market Guidance – CIS Bye-Laws

Proposed Bye-Laws, Rules, Guidelines & Policies

• Draft Bye-Laws
• Draft Guidelines
• Draft Policy

Registration

• Approved List of Designated Foreign Jurisdictions
• Categories of Registration
• Categories of Securities to be Registered
• Commission-Issued Forms
• List of Registered and/or Authorized Companies and Individuals
• List of Registered Securities

Prudential Requirements and Filings

• Filings
• Documents Filed-Securities Registrations
• MMRF Framework
• Volume Report

AML-CFT-CPF

• Beneficial Ownership
• Reporting/Application Forms & Questionnaires

Public Statements

Updates

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• AML-CFT FAQs
• BO FAQs

Investor Protection

• Filing a Complaint

Submit a Tip or Complaint

Resources for Investors

• Investor Alerts
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• InvestucateTT
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Orders

• Settlement Orders
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Notices

Media & Communications

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Policy, Publications and Research

• Policy and Guidance Papers
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Our History

Who We Are

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Our Leadership

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Careers

• Vacancies

Memorandums of Understanding

Procurement

• Annual Schedule of Planned Procurement Activities

Factsheets

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