CSA Staff Notice 11-312 (Revised)
National Numbering System
January 29, 2015
1
The Canadian Securities Administrators (CSA) follows a system in which securities regulatory
instruments are assigned numbers that indicate the type and subject matter of the instrument.
The numbering system was designed so as to:
(i) convey as much information as possible about the particular instrument so that a user
knows what type of instrument it is, whether the instrument is national, multilateral or
local and what subject matter it relates to;
(ii) permit all National
2
Instruments/Multilateral Instruments, National
Policies/Multilateral Policies and CSA Notices to have the same numbers in all
jurisdictions (as is currently the case); and
(iii) be flexible enough to permit Local Rules, Policies, Notices and implementing
instruments of all jurisdictions to be numbered in accordance with the numbering system
without affecting the numbering of National Instruments/Multilateral Instruments,
National Policies/Multilateral Policies and CSA Notices.
Under the numbering system, each instrument is assigned a five digit number, with a hyphen
appearing between the second and third digit. There are four components to the number assigned
to a document:
•
The first digit represents the broad subject area.
•
The second digit represents a sub-category of the broad subject area.
•
The third digit represents the type of the document.
•
The last two digits represent the number of the document within its document type in its
sub-category (in sequential order starting at 01).
More specifically, these four components may be described as follows:
•
The first digit relates to the subject matter category into which the instrument has been
classified. The nine subject matter categories are:
1.
Procedures and Related Matters
1
This Notice adds sub-categories in the Derivatives category 9 and is a revised version of CSA Staff Notice 11-312,
as published on February 6, 2009 and revised on February 19, 2010.
2
A National Instrument or Policy is an instrument or policy that has been adopted by all CSA jurisdictions, whereas
a Multilateral Instrument or Policy is an instrument or policy that has not been adopted by one or more CSA
jurisdictions
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2.
Certain Capital Market Participants (Self-Regulatory Organizations, Exchanges
and Market Operations)
3.
Registration Requirements and Related Matters (Dealers, Advisers and other
Registrants)
4.
Distribution Requirements (Prospectus Requirements and Prospectus Exemptions)
5.
Ongoing Requirements for Issuers and Insiders (Continuous Disclosure)
6.
Take-over Bids and Special Transactions
7.
Securities Transactions Outside the Jurisdiction
8.
Investment Funds
9.
Derivatives
For example, in the context of 54-101, the number “5” indicates that the instrument
relates to Ongoing Requirements for Issuers and Insiders.
•
The second digit relates to the sub-category of the subject matter category into which the
instrument has been classified (see the “sub-category” column of the table below).
Using the 54-101 example, within the Ongoing Requirements for Issuers and Insiders
category, a sub-category for instruments dealing with Proxy Solicitation is denoted by the
number “4”. Accordingly, all instruments dealing with this matter commence with the
numbers “54”.
•
The third digit classifies the document as one of nine types of documents:
1.
National Instrument/Multilateral Instrument and any related Companion Policy or
Form(s)
2.
National Policy/Multilateral Policy
3.
CSA Notice
4.
CSA Concept Proposal or Discussion Paper
5.
Local Rule, Regulation or Blanket Order or Ruling and any related Companion Policy
or Form(s), except an Implementing Instrument described below.
6.
Local Policy
7.
Local Notice
8.
Implementing Instrument
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9.
Miscellaneous
Using the same example, the third digit in 54-101 indicates that the type of instrument is
a National Instrument or Multilateral Instrument (or a related Companion Policy or
Form).
•
The fourth and fifth digits represent a number assigned to instruments of the same type
in consecutive order from 01 to 99 within a particular sub-category.
3
For this purpose, an Implementing Instrument is a local rule making consequential changes relating to the
implementation of a National Instrument/Multilateral Instrument.
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Again, using the example 54-101, the number “01” indicates that the instrument is the
first document of its type in the sub-category “Proxy Solicitation”.
A Companion Policy or Form that is related to an Instrument or Local Rule will have the same
number as the Instrument or Local Rule to which it relates, followed by “CP” in the case of a
Companion Policy or “F” in the case of a Form. If there is more than one Form related to a
particular instrument, the Forms will be numbered consecutively (F1, F2, F3, etc.).
Category, Sub-Category and Document Type Numbers
Category
Sub-Category
(1st digit)
(2
nd
1 - Procedure and Related
1 - General
Matters
2 - Applications
3 - Filings with Securities
Regulatory Authority
4 - Definitions
5 - Hearings and Enforcement
2 - Certain Capital Market
1 - Stock Exchanges
Participants
2 - Other Markets
3 - Trading Rules
4 - Clearing and Settlement
5 - Other Participants
3 - Registration and Related
1 - Registration Requirements
Matters
2 - Registration Exemptions
3 - Ongoing Requirements
Affecting Registrants
4 - Fitness for Registration
5 - Non-Resident Registrants
4 - Distribution Requirements
1 - Prospectus Contents - Non-
Financial Matters
2 - Prospectus Contents -
Financial Matters
3 - Prospectus Filing Matters
4 - Alternative Forms of
Prospectus
5 - Prospectus Exempt
Distributions
6 - Requirements Affecting
Distributions by Certain Issuers
7 - Advertising and Marketing
8 - Distribution Restrictions
Document Type
digit)
(3
rd
digit)
1 - National or Multilateral
Instrument (Rule) and any
related Companion Policy
and Form
2 - National or Multilateral
Policy
3 - CSA Notice or CSA
Staff Notice
4 - CSA Concept Proposal
or Discussion Paper
5 - Local Rule, Regulation
or Blanket Order or Ruling
and any related Companion
Policy or Form
6 - Local Policy
7 - Local Notice
8 - Implementing
Instrument (Local Rule that
gives effect to a National or
Multilateral Instrument)
9 - Miscellaneous item
(e.g., a Form that does not
relate to another Instrument
or Policy)
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5 - Ongoing Requirements for
1 - Disclosure - General
Issuers and Insiders
2 - Financial Disclosure
3 - Timely Disclosure
4 - Proxy Solicitation
5 - Insider Reporting
6 - Restricted Shares
7 - Cease Trading Orders
8 - Corporate Governance
6 - Take-Over Bids and Special
1 - Special Transactions
Transactions
2 - Take-over Bids
7 - Securities Transactions
1 - International Issuers
Outside the Jurisdictions
2 - Distributions Outside the
Jurisdiction
8 - Investment Funds
1 - Investment Fund
Distributions
9 - Derivatives
4
1 - General
2 - Trading
3 - Registration and Regulation
of OTC Derivatives Market
Participants
4 - Clearing and Cleared
Derivatives
5 - Uncleared Derivatives
6 - Data Reporting
Questions
Please refer your questions to any of the following people:
Kari Horn
Sylvia Pateras
Alberta Securities Commission
Autorité des marchés financiers
Tel: 403-297-4698
Tel: 514-395-0337, extension 2536
kari.horn@asc.ca
sylvia.pateras@lautorite.qc.ca
Paloma Ellard
Lindy Bremner
Ontario Securities Commission
British Columbia Securities Commission
Tel: 416-593- 8906
Tel: 604-899- 6678
pellard@osc.gov.on.ca
LBremner@bcsc.bc.ca
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Please note that in Québec, derivatives regulations will be made under the Derivatives Act (Québec) and not the
Securities Act (Québec).
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Gordon Smith
Dean Murrison
British Columbia Securities Commission
Financial and Consumer Affairs Authority of
Tel: 604-899-6656
Saskatchewan
GSmith@bcsc.bc.ca
Tel: 306-787-5879
dean.murrison@gov.sk.ca
Susan Powell
Shirley Lee
Financial and Consumer Services
Nova Scotia Securities Commission
Commission (New Brunswick)
Tel: 902-424-5441
Tel: 506-643-7697
Shirley.Lee@novascotia.ca
susan.powell@fcnb.ca
Chris Besko
Rhonda Horte
The Manitoba Securities Commission
Office of the Yukon Superintendent of
Tel: 204-945-2561
Securities
Chris.Besko@gov.mb.ca
Tel: 867-667-5466
rhonda.horte@gov.yk.ca
Gary MacDougall
Department of Justice
Government of the Northwest Territories
Tel: 867-873-7490
gary_macdougall@gov.nt.ca
You are being directed to the most recent version of the statute which may not be the version considered at the time of the judgment.