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What's ahead? 

This is your one-stop listing of upcoming regulatory matters: comment period deadlines, implementation dates for
rule changes, meetings and educational events.

 Background colours (other than educational events) show who is affected by the event.

 All dealers IIROC members AdvisorsRestricted dealers FINRA Members Investment Fund Managers 
 Educational Events MFDA members IssuersCommodities dealers  International Dealers Dealers and Issuers

2012-02-23CSA Issuers and dealersComments due Proposed amendments to two national instruments, two national policies and three companion policies regarding the prospectus pre-marketing and marketing regime for issuers other than mutual funds

CSA Notice and Request for Comments

Phases of a Prospectus Offering (Appendix A)

Proposed amendments to:

NI 41-101 General Prospectus Requirements

Companion Policy NI 41-101CP

National Policy 41-201 Income Trusts and Other Indirect Offerings

NI 44-101 Short Form Prospectus Distributions

Companion Policy NI 44-101CP

Companion Policy NI 44-102CP to NI 44-102 Shelf Distributions

National Policy 47-201 Trading Securities Using the Internet and Other Electronic Means

2012-02-29 CSA Dealers and issuers in the exempt market Comments due CSA Consultation Note on Review of the Minimum Amount and Accredited Investor Exemptions

Request for Comments

Consultation Note 45-401

2012-03-01 Federal Dept. of Finance All financial institutions Comments due Proposed changes to Canada's anti-money laundering and anti-terrorist financing regime Consultation Paper 
2012-03-09IIROC IIROC Dealer Members Comments due Proposed revisions to guidance on marketplace disclosure on confirmations IIROC Rules Notice 12-0011 
2012-03-09AMF Quebec residents and registrants Comments due Consultation paper on compensation of consumers of financial products and services Consultation paper
2012-03-13New Brunswick Securities Comm Dealers registered in New Brunswick Comments due Proposed revisions to National Instrument 33-103: Underwriting Conflicts; National Instrument 81-104: Commodity Pools and National Instrument 81-105: Mutual Fund Sales Practices (French language version only) to harmonize rules with the CSA versionsRequest for comments 
2012-03-19 IIROC IIROC Dealer Members Comments due Proposed amendments to Dealer Member Rules to permit partial offset swaps [Rules 100.4F(a) and (d)] and corresponding housekeeping amendments to unhedge swap positions [Rules 100.2(j) and (k)]Request for Comments  
2012-03-21IIROC IIROC Dealer Members Comments due Proposed amendment to Schedule 12 of Form 1 and related notes and instructions regarding the concentration margin calculation for futures and deposits Request for Comments 
2012-03-28 IIROCIIROC Dealer Members Comments due Proposed amendment to Rule 10.10(f)(vi) to amend the capital calculation for Dealer Member inventory account positions in a box spread option offset strategyRequest for Comments 
2012-04-05 IIROC IIROC Members Comments due 

Plain language rewrite project proposed rules:

Rule 1100 - Interpretation
Rule 1200 - Definitions
Rule 1300 - Powers of the Corporation
Rule 1400 - Standards of conduct

IIROC Rules Notice 12-0005 
2012-04-10 9 CSA Members (excluding Ont, PQ, NB and Nfld)Investment Fund Managers Comments due Request for comments on proposed Multilateral Instrument 31-202 Regstration Requirement for Investment Fund Managers and proposed amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registration Obligations

Notice and Request for Comments 

Summary of comments on previous publication on the topic

Proposed MI 31-202

Proposed amendments to NI 31-103CP

2012-04-10CSA Participants in the OTC Derivatives Market Comments due CSA Consultation Paper 91-404- Derivatives: Segregation and Portability in OTC Derivatives Clearing  Consultation Paper 
2012-04-30 U.S. Dept of the Treasury All dealers Comments due Regulations under the Foreign Accounts Tax Compliance Act (FATCA) that  lay out a step-by-step process for U.S. account identification, information reporting, and withholding requirements for foreign financial institutions" 

U.S. Internal Revenue Service Release 

U.S. Department of the Treasury Notice

Proposed regulations

2012-04-30CSA Mutual fund issuers, dealers (including investment dealers) and managers Expected implementation date Amendments to National Instruments 81-102, 81-102CP, 81-101F1, 81-1-1F2, 41-101, 41-101F2 and 81-106 to complete the first phase of the probject to modernize mutual fund regulation  

CSA Notice

Links to Summary of comments on and changes to previous proposal and final amendments

2012-05-03 IIROCIIROC Dealer Members Comments due Plain language rewrite project proposed rules 5100 through 5800: Dealer Member Margin Rules  

Request for Comments

Proposed Rules

 
2012-09-04 IIROC IIROC Dealer MembersImplementation date Amendment to Rule 200,1(h) requirining yield-to-maturity to be included on confirmations of transactions in fixed income securities.  It also requires confirmation disclosure when fixed income securities are callable or variable rate. 

IIROC Rules Notice 11-0256

Amendments to Rule 200.1(h) 
 

Recent Additions

Added February 17, 2012

IIROC Request for Comments: Proposed amendments to Dealer Member Rules to permit partial offset swaps [Rules 100.4F(a) and (d)] and corresponding housekeeping amendments to unhedge swap positions [Rules 100.2(j) and (k)]

Comments are due by: March 19, 2012

Added February 14, 2012 (Happy Valentine's Day!)

U.S. IRS and Department of the Treasury Request for Comments: Proposed Regulations under the Foreign Account Tax Compliance Act including identification, information reporting, and withholding requirements for foreign financial institutions

Comments are due by: April 30, 2012

Added February 12, 2012

CSA Request for Comments: CSA Consultation Paper 91-404 Derivatives: Segregation and Portability in OTC Derivatives Clearing

Comments are due by: April 10, 2012

CSA (excluding Ontario, Quebec, New Brunswick and Newfoundland) Request for Comments:  Request for comments on proposed Multilateral Instrument 31-202 Regstration Requirement for Investment Fund Managers and proposed amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registration Obligations

Comments are due by: April 10, 2012

CSA implementation date: Amendments to National Instruments 81-102, 81-102CP, 81-101F1, 81-1-1F2, 41-101, 41-101F2 and 81-106 to complete the first phase of the probject to modernize mutual fund regulation 

Expected implementation date: April 30, 2012

Added February 4, 2012

AMF Request for Comments Extended: Consultation paper on compensation of consumers of financial products and services

Comments are due by: March 1, 2012

IIROC Request for Comments: Proposed amendment to Schedule 12 of Form 1 and related notes and instructions regarding the concentration margin calculation for futures and deposits

Comments are due by: March 21, 2012

IIROC Request for Comments: Proposed amendment to Rule 10.10(f)(vi) to amend the capital calculation for Dealer Member inventory account positions in a box spread option offset strategy

Comments are due by: March 28, 2012

IIROC Request for Comments: Plain language rewrite project proposed rules 5100 through 5800: Dealer Member Margin Rules 

Comments are due by: May 3, 2012

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