The Manitoba Securities Commission has the authority to enact Rules and Policies. The Rule-Making Procedure Regulation came into force on January 1, 1998.
What follows is a list of rules and policies adopted by the Commission. For rules and policies that are no longer in effect please check our Archived Rules section.
Rule-Making Procedure Regulation [Regulation 246/97]
Sort by: Instrument/Policy Number | Date | Advanced Search 11-101 - Principal Regulator System 11-102 - Passport System 11-202 - Process for Prospectus Reviews in Multiple Jurisdictions 11-203 - Process for Exemptive Relief Applications in Multiple Jurisdictions 11-204 - Process for Registration in Multiple Jurisdictions 14-101 - Definitions 24-101 - Institutional Trade Matching and Settlement 31-101 - National Registration System 31-102 - National Registration Database 31-103 - Registration Requirements and Exemptions 33-102 - Regulation of Certain Registrant Activities 33-105 - Underwriting Conflicts 33-109 - Registration Information 34-201 - Breach of Requirements of Other Jurisdictions 34-202 - Registrants Acting as Corporate Directors 45-102 - Resale of Securities 45-106 - Prospectus and Registration Exemptions 51-102 - Continuous Disclosure Obligations 81-102 - Mutual Funds 81-104 - Commodity Pools 81-105 - Mutual Fund Sales Practices 81-107 - Independent Review Committee for Investment Funds 51-102 - Continuous Disclosure Obligations 12-202 - Revocation of a Compliance-related Cease Trade Order 12-203 - Cease Trade Orders for Continuous Disclosure Defaults 41-201 - Income Trusts and Other Indirect Offerings 51-102 - Continuous Disclosure Obligations 52-109 - Certification of Disclosure in Issuers' Annual and Interim Filings 14-501 - Definitions 21-101 - Marketplace Operation 23-101 - Trading Rules 12-203 - Cease Trade Orders for Continuous Disclosure Defaults 51-102 - Continuous Disclosure Obligations 52-108 - Auditor Oversight 52-110 - Audit Committees 81-106 - Investment Fund Continuous Disclosure 41-502 - Prospectus Delivery Requirement 55-102 - System for Electronic Disclosure by Insiders (SEDI) 11-102 - Passport System 11-202 - Process for Prospectus Reviews in Multiple Jurisdictions 11-203 - Process for Exemptive Relief Applications in Multiple Jurisdictions 12-202 - Revocation of a Compliance-related Cease Trade Order 14-101 - Definitions 41-101 - General Prospectus Requirements 44-101 - Short Form Prospectus Distributions 44-102 - Shelf Distributions 44-103 - Post-Receipt Pricing 45-101 - Rights Offerings 51-102 - Continuous Disclosure Obligations 52-110 - Audit Committees 58-101 - Disclosure of Corporate Governance Practices 81-101 - Mutual Fund Prospectus Disclosure 81-104 - Commodity Pools 62-103 - The Early Warning System and Related Take-Over Bid and Insider Reporting Issues 62-104 - Take-Over Bids and Issuer Bids 62-203 - Take-Over Bids and Issuer Bids 51-102 - Continuous Disclosure Obligations 52-110 - Audit Committees 58-101 - Disclosure of Corporate Governance Practices 71-102 - Continuous Disclosure and Other Exemptions Relating to Foreign Issuers 51-101 - Standards of Disclosure for Oil and Gas Activities 55-101 - Insider Reporting Exemptions 12-202 - Revocation of a Compliance-related Cease Trade Order 41-201 - Income Trusts and Other Indirect Offerings 31-102 - National Registration Database 24-101 - Institutional Trade Matching and Settlement 14-501 - Definitions 21-101 - Marketplace Operation 23-101 - Trading Rules 44-101 - Short Form Prospectus Distributions 51-102 - Continuous Disclosure Obligations 52-107 - Acceptable Accounting Principles, Auditing Standards and Reporting Currency 71-102 - Continuous Disclosure and Other Exemptions Relating to Foreign Issuers 51-601 - Reporting Issuers List 13-101 - System for Electronic Document Analysis and Retrieval 81-101 - Mutual Fund Prospectus Disclosure 81-102 - Mutual Funds 81-104 - Commodity Pools 81-106 - Investment Fund Continuous Disclosure 81-107 - Independent Review Committee for Investment Funds 13-101 - System for Electronic Document Analysis and Retrieval 31-201 - National Registration System 33-105 - Underwriting Conflicts 43-101 - Standards of Disclosure for Mineral Projects 44-101 - Short Form Prospectus Distributions 44-102 - Shelf Distributions 44-103 - Post-Receipt Pricing 51-101 - Standards of Disclosure for Oil and Gas Activities 51-102 - Continuous Disclosure Obligations 51-101 - Standards of Disclosure for Oil and Gas Activities 81-104 - Commodity Pools 45-101 - Rights Offerings 45-102 - Resale of Securities 45-806 - Resale Restrictions Applicable to National Instrument 45-106 62-103 - The Early Warning System and Related Take-Over Bid and Insider Reporting Issues 55-102 - System for Electronic Disclosure by Insiders (SEDI) 52-110 - Audit Committees 58-101 - Disclosure of Corporate Governance Practices 58-201 - Corporate Governance Guidelines 52-110 - Audit Committees 13-101 - System for Electronic Document Analysis and Retrieval 51-102 - Continuous Disclosure Obligations 52-107 - Acceptable Accounting Principles, Auditing Standards and Reporting Currency 71-102 - Continuous Disclosure and Other Exemptions Relating to Foreign Issuers 81-101 - Mutual Fund Prospectus Disclosure 81-102 - Mutual Funds 81-104 - Commodity Pools 81-106 - Investment Fund Continuous Disclosure 81-806 - Implementing National Instrument 81-106 55-101 - Insider Reporting Exemptions 31-201 - National Registration System 54-101 - Communication with Beneficial Owners of Securities of a Reporting Issuer 41-201 - Income Trusts and Other Indirect Offerings 71-101 - The Multijurisdictional Disclosure System 71-801 - Implementing National Instrument 71-101 51-102 - Continuous Disclosure Obligations 51-802 - Implementing National Instruments 51-102 and 71-102 52-107 - Acceptable Accounting Principles, Auditing Standards and Reporting Currency 52-108 - Auditor Oversight 52-110 - Audit Committees 71-102 - Continuous Disclosure and Other Exemptions Relating to Foreign Issuers 55-103 - Insider Reporting for Certain Derivative Transactions (Equity Monetization) 21-101 - Marketplace Operation 23-101 - Trading Rules 81-101 - Mutual Fund Prospectus Disclosure 81-102 - Mutual Funds 51-801 - Implementing National Instrument 51-101 13-101 - System for Electronic Document Analysis and Retrieval 44-101 - Short Form Prospectus Distributions 45-101 - Rights Offerings 51-101 - Standards of Disclosure for Oil and Gas Activities 45-102 - Resale of Securities 55-802- Public Availability of Information Filed Under National Instrument 55-102 34-201 - Breach of Requirements of Other Jurisdictions 55-102 - System for Electronic Disclosure by Insiders (SEDI) 11-201 - Delivery by Electronic Means 31-102 - National Registration Database 81-104 - Commodity Pools 14-101 - Definitions 51-201 - Disclosure Standards 54-101 - Communication with Beneficial Owners of Securities of a Reporting Issuer 46-201 - Escrow for Initial Public Offerings 62-201 - Bids Made Only in Certain Jurisdictions 62-202 - Take-Over Bids - Defensive Tactics 21-101 - Marketplace Operation 23-101 - Trading Rules 81-602 - Use of After-Tax Credit Performance Data by LSIFs 55-102 - System for Electronic Disclosure by Insiders (SEDI) 46-201 - Escrow for Initial Public Offerings 45-101 - Rights Offerings 35-101 - Conditional Exemption from Registration for U.S. Broker-Dealers and Agents 31-506 - MFDA Membership - Mutual Fund Dealers 55-101 - Insider Reporting Exemptions 81-101 - Mutual Fund Prospectus Disclosure 81-102 - Mutual Funds 81-101 - Mutual Fund Prospectus Disclosure 44-103 - Post-Receipt Pricing 44-102 - Shelf Distributions 44-103 - Post-Receipt Pricing 14-501 - Definitions 81-105 - Mutual Fund Sales Practices 62-103 - The Early Warning System and Related Take-Over Bid and Insider Reporting Issues 13-101 - System for Electronic Document Analysis and Retrieval 14-101 - Definitions 81-101 - Mutual Fund Prospectus Disclosure 81-102 - Mutual Funds 11-201 - Delivery by Electronic Means 47-201 - Trading Securities Using the Internet and Other Electronic Means Local Policy 3.22 - Registration Requirements concerning Application Forms to Establish a Self-Directed RESP Local Policy 3.01 - Blanket Exemption Orders Local Policy 3.02 - Dual Registration of Mutual Fund and Life Insurance Salesmen Local Policy 3.21 - Recognition of Stock Exchanges and Jurisdictions for the Purpose of The Securities Act National Policy No. 42 - Advertising of Securities on Radio or Television Local Policy 3.18 - Disclosure of Executive Compensation Local Policy 3.17 - Strip Bonds Local Policy 3.16 - Public Availability of Material Filed Under The Securities Act Local Policy 3.14 - Clearing of Issues By Exemption Orders Local Policy 3.11 - Dormant Companies National Policy No. 29 - Mutual Funds Investing in Mortgages Local Policy 3.09 - Registration of Transfers After Issue of a Cease Trade Order Local Policy 3.09 - Form A - Affidavit Local Policy 3.09 - Form B - Affidavit Local Policy 3.09 - Form D - Affidavit Local Policy 3.08 - Insider Reporting Exemptions Local Policy 3.07 - Primary Distribution Statistics Local Policy 3.03 - Securities Salesmen "Pre-License Course Requirements" Local Policy 3.04 - Mutual Fund Distributors Supporting Staff and Know Your Purchaser Local Policy 3.06 - Range of Trading Permitted Registrants Holding Restricted Registrations
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