Unofficial Consolidation: OSC Rule 11-501 Electronic Delivery of Documents

Unofficial Consolidation: OSC Rule 11-501 Electronic Delivery of Documents

Unofficial Consolidation

Ontario Securities Commission

Rule 11-501

Unofficial consolidation current to 2018-03-31.

This document is not an official statement of law or policy and should be used for reference purposes only.

Any forms referenced in this document are available separately on the Ontario Securities Commission website.

OSC Rule 11-501
ELECTRONIC DELIVERY OF DOCUMENTS

Contents

Interpretation

Electronic filing

Temporary technical difficulties exemption

Exemption

Effective Date

Appendix A

 

 

Interpretation

1. (1)      In this Rule

"form filer" means a person or company required or permitted by Ontario securities law to file or deliver a required document with the Ontario Securities Commission;

"NRD" has the meaning ascribed to it in National Instrument 31-102 National Registration Database;

"required document" means

    1. a document listed in Appendix A; or
    2. any other document required to be filed with or delivered to the Ontario Securities Commission under Ontario securities law by
      1. a market participant, or
      2. another person or company exempted from a requirement of Ontario securities law by reason of section 147 of the Act or an application otherwise provided for in Ontario securities law;

"SEDAR" has the meaning ascribed to it in National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR);

"SEDI" has the meaning ascribed to it in National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI).

(2)          In this Rule, unless the context otherwise requires, "document" includes "information", "material" and "notice" as those words are used in Ontario securities law.

(3)          In this Rule, a reference to a document that is required or permitted to be delivered includes a document that is required or permitted to be deposited with, or delivered, furnished, sent, provided or submitted to, the Ontario Securities Commission under Ontario securities law.

(4)          The transmission of a document in electronic format to the Ontario Securities Commission under section 2 of this Rule constitutes

    1. if the document is required or permitted to be filed under Ontario securities law, the filing of that document under Ontario securities law; and
    2. if the document is required or permitted to be delivered to the Ontario Securities Commission under Ontario securities law, the delivery of that document.

Electronic filing

2. (1)      Each required document of a person or company must be transmitted to the Ontario Securities Commission electronically by the person or company following the steps set out at https://www.osc.gov.on.ca/filings.

(2)          Subsection 2(1) does not apply to any required document that is

    1. filed or delivered through SEDAR, SEDI or NRD;
    2. filed or delivered under the Ontario Securities Commission Rules of Procedure; or
    3. filed or delivered under Part V, Part VI or Part VII of the Securities Act.

Temporary technical difficulties exemption

3. (1)      If unanticipated technical difficulties prevent the timely transmission of a required document, the form filer may transmit the document by e-mail as soon as practical and in any event no later than 2 business days after the day on which the filing was required.

(2)          A filing under subsection (1) must include the following legend at the top of the first page:

THIS REPORT IS BEING FILED UNDER A TEMPORARY TECHNICAL DIFFICULTIES EXEMPTION

(3)          In addition to filing or delivery under subsection (1), a copy of each completed required document of a form filer must be transmitted under section 2 as soon as practical after the unanticipated technical difficulty has been resolved and in any event no later than 3 business days after resolution of the technical difficulties.

(4)          If a document is filed or delivered as required under this section, the date by which the document is required to be filed or delivered under Ontario securities law is deemed to be the date on which the document is filed electronically under section 2.

Exemption

4.           The Director may grant an exemption from the provisions of this Rule, in whole or in part, subject to such conditions or restrictions as may be imposed in the exemption.

Effective Date

5.           This Rule comes into force on February 19, 2014.

 

Appendix A

Document Reference

Description of Document

 

Securities Act, s. 1(10)

Applications to the Commission under clause 1(10) of the Securities Act

 

Securities Act, s. 1(11)

Applications to the Commission under clause 1(11) of the Securities Act

 

Securities Act, Part VIII

Applications to the Commission for recognition or designation under Part VIII of the Securities Act

 

Securities Act, s. 21.4

Applications to the Commission for the voluntary surrender of a recognition or designation under section 21.4 of the Securities Act

 

Securities Act, s. 75(3) 51-102, s. 7.1(2), 81-106, s. 11.2(4)

Confidential material change reports permitted to be filed under subsection 75(3) of the Securities Act, subsection 7.1(2) of National Instrument 51-102 Continuous Disclosure Obligations, or subsection 11.2(2) of NI 81-106 Investment Fund Continuous Disclosure

 

Securities Act, s. 75(4) 51-102, s. 7.1(5), 81-106, s. 11.2(4)

The notification required under subsection 75(4) of the Securities Act, subsection 7.1(5) of NI 51-102 Continuous Disclosure Obligations, or subsection 11.2(4) of NI 81-106 Investment Fund Continuous Disclosure

 

Securities Act, Part XXIII.1

Notices and other documents to be sent to the Commission under Part XXIII.1 of the Securities Act

 

Securities Act, s. 144

Applications to the Commission to vary or revoke a recognition or designation granted under Part VIII of the Securities Act

 

11-202

Pre-filings or waiver applications within the meaning of National Policy 11-202 Process for Prospectus Reviews in Multiple Jurisdictions

 

11-203

Pre-filings, as defined in National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions

 

11-203

Applications, as defined in National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions

 

11-205

Applications to become Designated Rating Organization, under the process set out in National Policy 11-205 Process for Designation of Credit Rating Organizations in Multiple Jurisdictions

 

12-202

Applications to vary or revoke a CTO as defined in National Policy 12-202 Revocation of a Compliance-related Cease Trade Order

 

13-101 s. 2.1

Documents to be filed with the Commission by issuers not required to comply with National Instrument 13-101 System for Electronic Document Analysis and Retrieval in accordance with section 2.1 of that Instrument

 

13-101 s. 2.3

Documents to be filed with the Commission in paper format under section 2.3 of National Instrument 13-101 System for Electronic Document Analysis and Retrieval

 

13-502F4

Form 13-502F4 Capital Markets Participation Fee Calculation

 

13-502F5

Form 13-502F5 Adjustment of Fee for Registrant Firms and Unregistered Exempt International Firms

 

13-503F1

Form 13-503F1 Capital Markets Participation Fee Calculation (Firms registered only under the Commodity Futures Act)

 

13-503F2

Form 13-503F2 Adjustment of Fee for Registrant Firms registered only under the Commodity Futures Act

 

13-502F8

Form 13-502F8 Designated Rating OrganizationsParticipation Fee

 

21-101F1

Form 21-101F1 Information Statement Exchange or Quotation and Trade Reporting System

 

21-101F2

Form 21-101F2 Initial Operation Report Alternative Trading System

 

21-101F3

Form 21-101F3 Quarterly Report of Alternative Trading System Activities

21-101F4

Form 21-101F4 Cessation of Operations Report for Alternative Trading System

21-101F5

Form 21-101F5 Initial Operation Report for Information Processor

21-101F6

Form 21-101F6 Cessation of Operations Report for Information Processor

24-101F1

Form 24-101F1 Registered Firm Exception Report of DAP/RAP Trade Reporting and Matching

24-101F2

Form 24-101F2 Clearing Agency - Quarterly Operations Report of Institutional Trade Reporting and Matching

24-101F3

Form 24-101F3 Matching Service Utility - Notice of Operations

24-101F4

Form 24-101F4 Matching Service Utility - Notice of Cessation of Operations

24-101F5

Form 24-101F5 Matching Service Utility - Quarterly Operations Report of Institutional Trade Reporting and Matching

25-101F1

Form 25-101F1 Designated Rating Organization Application and Annual Filing

25-101F2

Form 25-101F2 Submission to Jurisdiction and Appointment of Agent for Service of Process

31-103 s. 11.9

Notice of acquisition pursuant to section 11.9 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

31-103 s. 11.10

Notice of acquisition pursuant to section 11.10 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

31-103 s. 12.2

Notice of repayment or termination of subordination agreement pursuant to section 12.2 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

31-103 s. 12.7

Notice of change, claim or cancellation of insurance policy pursuant to section 12.7 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

31-103F1

Form 31-103F1 Calculation of Excess Working Capital, together with associated financial information as required by sections 12.12, 12.13 and 12.14 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

31-103F2

Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service

31-103F3

Form 31-103F3 Use of Mobility Exemption

31-317

CSA Staff Notice: 31-317 (Revised) Reporting Obligations Related to Terrorist Financing

32-102F1

Form 32-102F1 Submission to Jurisdiction and Appointment of Agent for Service for International Investment Fund Manager

32-102F2

Form 32-102F2 Notice of Regulatory Action

33-109F5

Form 33-109F5 Change of Registration Information

33-109F6

Form 33-109F6 Firm Registration

33-506F5

Form 33-506F5 Change of Registration Information (Commodity Futures Act)

33-506F6

Form 33-506F6 Firm Registration (Commodity Futures Act)

35-101F1

Form 35-101F1 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer

35-101F2

Form 35-101F2 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer

43-101F1

Form 43-101F1 Technical Report

45-106F1

Form 45-106F1 Report of Exempt Distribution

45-106F2

Form 45-106F2 Offering Memorandum for Non-Qualifying Issuers or any amendment to a previously filed Form 45-106F2

45-106F3

Form 45-106F3 Offering Memorandum for Qualifying Issuers or any amendment to a previously filed Form 45-106F3

45-106 s. 2.9(17.1)

Filing of marketing materials pursuant to subsection 2.9(17.1) of National Instrument 45-106 Prospectus Exemptions

45-106F16

Form 45-106F16 Notice of Use of Proceeds

45-106 s. 2.9(17.13)

Delivery of a notice of change in financial year end pursuant to subsection 2.9(17.13) of National Instrument 45-106 Prospectus Exemptions

45-106 s. 2.9(17.5)

Delivery of annual financial statements pursuant to subsection 2.9 (17.5) of National Instrument 45-106 Prospectus Exemptions

45-106F15

Form 45-106F15 Rights Offering Circular for Reporting Issuers

45-106 s. 2.1.2

Notice and materials sent pursuant to section 2.1.2 of National Instrument 45-106 Prospectus Exemptions

45-106 s. 2.42(2)(a)

Notice to the Commission given pursuant to paragraph 2.42(2)(a) of National Instrument 45-106 Prospectus Exemptions

45-106 s. 4.1(4)

Letters filed with the Commission pursuant to subsection 4.1(4) of National Instrument 45-106 Prospectus Exemptions

45-108 s. 12(1)(a)

A term sheet made available to a purchaser pursuant to clause 12(1)(a) of Multilateral Instrument 45-108 Crowdfunding

45-108 s. 12(1)(c)

Materials summarizing the information in a crowdfunding offering document made available to a purchaser pursuant to clause 12(1)(c) of Multilateral Instrument 45- 108 Crowdfunding

45-108F1

Form 45-108F1 Crowdfunding Offering Document

45-501 s. 5.4

Delivery of an offering memorandum or any amendment to a previously delivered offering memorandum in accordance with section 5.4 of OSC Rule 45-501 Ontario Prospectus and Registration Exemptions

71-101F1

Form 71-101F1 Forms of Submission to Jurisdiction and Appointment of Agent for Service of Process

72-503F

Form 72-503F Report of Distributions Outside Canada

81-102 s. 5.8(3)

Notice to the Commission by a manager under subsection 5.8(3) of National Instrument 81-102 Mutual Funds

81-102 s. 6.7(3)

Delivery of custodian compliance reports under subsection 6.7(3) of National Instrument 81-102 Mutual Funds

81-102 s. 12.1(2), 12.1(3)

Compliance reports under subsection 12.1(2) or 12.1(3) of National Instrument 81-102 Mutual Funds

81-106 s. 2.11(c)

Notice to the Commission that a mutual fund is relying on the exemption not to file its financial statements in section 2.11 of National Instrument 81-106 Investment Fund Continuous Disclosure

91-507, Part 4

OTC Derivative Trade Reporting (not already reported to repository) pursuant to Part 4 of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting

Business Corporations Act, s. 1(6)

Applications to the Commission under subsection 1(6) of the Business Corporations Act

Business Corporations Act, s. 46(4)

Applications to the Commission under subsection 46(4) of the Business Corporations Act

Business Corporations Act, s. 113

Applications to the Commission under section 113 of the Business Corporations Act

Business Corporations Act, s. 158(1.1)

Applications to the Commission under subsection 158(1.1) of the Business Corporations Act

Business Corporations Act, s. 190(6)

Applications to the Commission under subsection 190(6) of the Business Corporations Act

Ont. Reg. 289/00 made under the Business Corporations Act, s. 4(b)

Applications to the Commission for consents under subsection 4(b) of Ont. Reg. 289/00 made under the Business Corporations Act

Loan and Trust Corporations Act, s. 213(3)(b)

Applications to the Commission for approvals under subsection 213(3)(b) of the Loan and Trust Corporations Act