Regulatory Instrument Details

Securities Law & Policy

41-101 General Prospectus Requirements [NI]

41-101
Number
Title
Regulatory Instrument Type
Date Type
Date
41-101
General Prospectus Requirements - Consolidated Version
As Amended - National Instrument - 06/09/2023
National Instrument
As Amended
06/09/2023
41-101
Amendments to NI 41-101
Effective - Amendments to Instrument - 04/16/2024
Amendments to Instrument
Effective
04/16/2024
41-101F1
Information Required in a Prospectus - Consolidated Version
As Amended - Form - 06/09/2023
Form
As Amended
06/09/2023
41-101F2
Information Required in an Investment Fund Prospectus - Consolidated Version
As Amended - Form - 06/09/2023
Form
As Amended
06/09/2023
41-101F3
Information Required in a Scholarship Plan Prospectus Firm Registration - Consolidated Version
As Amended - Form - 06/09/2023
Form
As Amended
06/09/2023
41-101F4
Information Required in an ETF Facts Document - Consolidated Version
As Amended - Form - 01/06/2022
Form
As Amended
01/06/2022
41-101CP
Companion Policy to NI 41-101 - Consolidated Version
As Changed - Companion Policy - 06/09/2023
Companion Policy
As Changed
06/09/2023
41-101CP
Changes to 41-101CP
Effective - Changes to Policy - 04/16/2024
Changes to Policy
Effective
04/16/2024
CSA Notice of Publication Amendments to Implement an Access Model for Prospectuses of Non-Investment Fund Reporting Issuers
Published - CSA Notice - 01/11/2024
CSA Notice
Published
01/11/2024

Proposed Amendments Related to 41-101

Number
Title
Regulatory Instrument Type
Date Type
Date
41-101
Proposed Amendments to NI 41-101 (arising from NI 81-106)
Published - Proposed Amendments to Instrument - 09/27/2022
Proposed Amendments to Instrument
Published
09/27/2022
Request for Comment Proposed Amendments NI 41-101 and Consultation Paper on a Base Shelf Prospectus Filing Model for Investment Funds in Continuous Distribution (includes comment letters received)
Published - CSA Notice - 01/27/2022
CSA Notice
Published
01/27/2022
41-101CP
Proposed Changes to 41-101CP (arising from NI 51-102)
Proposed - Proposed Changes to Policy - 05/20/2021
Proposed Changes to Policy
Proposed
05/20/2021
41-101
Proposed Amendments to NI 41-101 (arising from NI 51-102)
Published - Proposed Amendments to Instrument - 05/20/2021
Proposed Amendments to Instrument
Published
05/20/2021
Related (16) Historic (70)
Number
Title
Regulatory Instrument Type
Status
Date
81-336
Guidance on Crypto Asset Investment Funds that are Reporting Issuers
Published - CSA Notice - 07/06/2023
CSA Notice
Published
07/06/2023
Proposed Amendments to NI 81-106
Published - CSA Notice - 09/27/2022
CSA Notice
Published
09/27/2022
Request for Comment Proposed Amendments to NI 51-102 and Other Amendments and Changes Relating to Annual and Interim Filings of Non-Investment Fund Reporting Issuers and Seeking Feedback on a Proposed Framework (includes comment letters received)
Published - CSA Notice - 05/20/2021
CSA Notice
Published
05/20/2021
41-307
Concerns Regarding An Issuer’s Financial Condition And The Sufficiency Of Proceeds From A Prospectus Offering - Revised Version
Published - CSA Notice - 03/25/2021
CSA Notice
Published
03/25/2021
11-342
Notice of Local Amendments and Changes in Certain Jurisdictions
Published - CSA Notice - 08/06/2020
CSA Notice
Published
08/06/2020
81-507
Extension of Certain Filing, Delivery and Prospectus Renewal Requirements for Investment Funds with Deadlines During the Period from June 2 to September 30, 2020
Effective - Blanket Order - 05/20/2020
Blanket Order
Effective
05/20/2020
81-505
Extension of Certain Filing, Delivery and Prospectus Renewal Requirements for Investment Funds
Effective - Blanket Order - 03/23/2020
Blanket Order
Effective
03/23/2020
43-310
Confidential Pre-File Review of Prospectuses (for non-investment fund issuers) - Revised Version
Published - CSA Notice - 03/05/2020
CSA Notice
Published
03/05/2020
Amendments Modernization of Investment Fund Product Regulation – Alternative Mutual Funds
Published - CSA Notice - 10/04/2018
CSA Notice
Published
10/04/2018
Request for Comment Proposed Amendments to NI 81-102 Investment Funds and Related Consequential Amendments (includes comment letters received)
Published - CSA Notice - 12/10/2015
CSA Notice
Published
12/10/2015
51-343
Venture Isuers with Securities Listed on the Bolsa de Santiago, Venture Market
Published - CSA Notice - 04/16/2015
CSA Notice
Published
04/16/2015
51-514
Venture Issuers with Securities Listed on "Bolsa de Santiago, Venture"
Effective - Blanket Order - 03/31/2015
Blanket Order
Effective
03/31/2015
41-307
Concerns regarding an Issuer's Financial Condition and the Sufficiency of Proceeds from a Prospectus Offering
Published - CSA Notice - 03/02/2012
CSA Notice
Published
03/02/2012
41-306
IFRS Transition - Prospectus Issues
Published - CSA Notice - 09/29/2011
CSA Notice
Published
09/29/2011
41-305
Share Structure Issues – Initial Public Offerings
Published - CSA Notice - 09/24/2010
CSA Notice
Published
09/24/2010
43-306
Technical Reports Filed for Prospectus Offerings
Published - CSA Notice - 06/02/2006
CSA Notice
Published
06/02/2006
Number
Title
Regulatory Instrument Type
Status
Date
41-101
Amendments to NI 41-101 (arising from NI 13-103)
Effective - Amendments to Instrument - 06/09/2023
Amendments to Instrument
Effective
06/09/2023
41-101CP
Changes to 41-101CP (arising from NI 13-103)
Effective - Changes to Policy - 06/09/2023
Changes to Policy
Effective
06/09/2023
41-101CP
Changes to 41-101CP
Effective - Changes to Policy - 04/14/2022
Changes to Policy
Effective
04/14/2022
Changes to 41-101CP related to Financial Statement Requirements
Published - CSA Notice - 04/14/2022
CSA Notice
Published
04/14/2022
41-101
Amendment to NI 41-101 arising from NI 81-102
Effective - Amendments to Instrument - 01/06/2022
Amendments to Instrument
Effective
01/06/2022
41-101CP
Changes to 41-101CP (arising from NI 81-102)
Published - Changes to Policy - 01/06/2022
Changes to Policy
Published
01/06/2022
Amendments Reducing Regulatory Burden for Investment Fund Issuers Phase 2, Stage 1
Published - CSA Notice - 10/07/2021
CSA Notice
Published
10/07/2021
Request for Comment Proposed Changes to Companion Policy 41-101 General Prospectus Requirements Related to Financial Statement Requirements (includes comment letters received)
Published - CSA Notice - 08/12/2021
CSA Notice
Published
08/12/2021
41-101
Amendments to NI 41-101 (arising from 81-105)
Effective - Amendments to Instrument - 12/31/2020
Amendments to Instrument
Effective
12/31/2020
41-101CP
Changes to 41-101CP (arising from NI 51-102)
Effective - Changes to Policy - 11/18/2020
Changes to Policy
Effective
11/18/2020
Request for Comment Proposed Amendments and Changes (regarding Reducing Regulatory Burden for investment Fund Issuers)
Published - CSA Notice - 09/12/2019
CSA Notice
Published
09/12/2019
41-101
Amendments to NI 41-101 (arising from NI 81-102)
Effective - Amendments to Instrument - 01/03/2019
Amendments to Instrument
Effective
01/03/2019
41-101
Amendments to NI 41-101 (arising from NI 44-101)
Effective - Amendments to Instrument - 06/12/2018
Amendments to Instrument
Effective
06/12/2018
41-401F4
Information Required in an ETF Facts Document
Effective - Form - 03/08/2017
Form
Effective
03/08/2017
41-101CP
Changes to 41-101CP
Effective - Changes to Policy - 03/08/2017
Changes to Policy
Effective
03/08/2017
41-101
Amendments to NI 41-101
Effective - Amendments to Instrument - 03/08/2017
Amendments to Instrument
Effective
03/08/2017
Amendments to NI 41-101 and Related Consequential Amendments
Published - CSA Notice - 12/08/2016
CSA Notice
Published
12/08/2016
41-101CP
Changes to 41-101CP (arising from NI 45-106)
Effective - Changes to Policy - 12/08/2015
Changes to Policy
Effective
12/08/2015
41-101
Amendments to NI 41-101 (arising from NI 45-106)
Effective - Amendments to Instrument - 12/08/2015
Amendments to Instrument
Effective
12/08/2015
41-101
Amendments to NI 41-101 (arising from the recognition of Aequitas NEO Exchange Inc. as an Exchange)
Effective - Amendments to Instrument - 11/17/2015
Amendments to Instrument
Effective
11/17/2015
41-101
Amendments to NI 41-101
Effective - Amendments to Instrument - 06/30/2015
Amendments to Instrument
Effective
06/30/2015
41-101CP
Changes to 41-101CP
Effective - Changes to Policy - 06/30/2015
Changes to Policy
Effective
06/30/2015
Request for Comment Proposed Amendments to NI 41-101 (includes comment letters received)
Published - CSA Notice - 06/18/2015
CSA Notice
Published
06/18/2015
41-101
Amendments to NI 41-101 (arising from amendments to NI 45-106 relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)
Effective - Amendments to Instrument - 05/05/2015
Amendments to Instrument
Effective
05/05/2015
Amendments to National Instrument 41-101 General Prospectus, National Instrument 51-102 Continuous Disclosure Obligations and National Instrument 52-110 Audit Committees
Published - CSA Notice - 04/09/2015
CSA Notice
Published
04/09/2015
41-101
Amendments to NI 41-101 (arising from NI 52-108)
Effective - Amendments to Instrument - 09/30/2014
Amendments to Instrument
Effective
09/30/2014
41-101
Amendments to NI 41-101 (arising from NI 81-102)
Effective - Amendments to Instrument - 09/22/2014
Amendments to Instrument
Effective
09/22/2014
Request for Comment - Proposed Amendments to NI 51-102, NI 41-101 and NI 52-110
Published - CSA Notice - 05/22/2014
CSA Notice
Published
05/22/2014
41-101
Amendments to NI 41-101 (arising from NI 81-106)
Effective - Amendments to Instrument - 01/01/2014
Amendments to Instrument
Effective
01/01/2014
41-101CP
Changes to 41-101CP
Effective - Changes to Policy - 08/13/2013
Changes to Policy
Effective
08/13/2013
41-101
Amendments to NI 41-101
Effective - Amendments to Instrument - 08/13/2013
Amendments to Instrument
Effective
08/13/2013
41-101CP
Changes to 41-101CP
Effective - Changes to Policy - 05/31/2013
Changes to Policy
Effective
05/31/2013
41-101
Amendments to NI 41-101
Effective - Amendments to Instrument - 05/31/2013
Amendments to Instrument
Effective
05/31/2013
41-101
Amendments to NI 41-101 (arising from NI 25-101)
Effective - Amendments to Instrument - 05/31/2013
Amendments to Instrument
Effective
05/31/2013
Amendments to NI 41-101 General Prospectus Requirements, NI 44-101 Short Form Prospectus Distributions, NI 44-102 Shelf Distributions and NI 44-103 Post-Receipt Pricing
Published - CSA Notice - 05/30/2013
CSA Notice
Published
05/30/2013
41-101
Amendments to NI 41-101
Effective - Amendments to Instrument - 05/14/2013
Amendments to Instrument
Effective
05/14/2013
41-101CP
Changes to 41-101CP
Effective - Changes to Policy - 05/14/2013
Changes to Policy
Effective
05/14/2013
Amendments to NI 41-101 General Prospectus Requirements, NI 44-101 Short Form Prospectus Distributions, NI 44-102 Shelf Distributions, NI 81-101 Mutual Fund Prospectus Disclosure and Consequential Amendments
Published - CSA Notice - 02/28/2013
CSA Notice
Published
02/28/2013
CSA Notice of Amendments to NI 41-101 General Prospectus Requirements, Form 41-101F2, Form 41-101F3 and 41-101CP
Published - CSA Notice - 01/10/2013
CSA Notice
Published
01/10/2013
41-101
Amendments to NI 41-101 (arising from NI 81-102)
Effective - Amendments to Instrument - 04/30/2012
Amendments to Instrument
Effective
04/30/2012
41-101
Amendments to NI 41-101 (arising from NI 25-101)
Effective - Amendments to Instrument - 04/20/2012
Amendments to Instrument
Effective
04/20/2012
CSA Notice and Request for Comment of proposed amendments to NI 41-101, NI 41-101CP, NP 41-201, NI 44-101, NI 44-101CP, NI 44-102CP and NP 47-201
Published - CSA Notice - 11/25/2011
CSA Notice
Published
11/25/2011
CSA Notice and Request for Comments Changes to Proposed Amendments to NI 41-101 General Prospectus Requirements and Form 41-101F2 Information Required in an Investment Fund Prospectus Proposed Form 41-101101F3
Published - CSA Notice - 11/25/2011
CSA Notice
Published
11/25/2011
CSA Notice and Request for Comment Proposed Amendments to NI 41-101, NI 44-101, NI 44-102 and NI 81-101 and related policies (includes comment letters received)
Published - CSA Notice - 07/15/2011
CSA Notice
Published
07/15/2011
41-101
Amendments to NI 41-101
Effective - Amendments to Instrument - 05/01/2011
Amendments to Instrument
Effective
05/01/2011
41-101
Amendments to NI 41-101
Effective - Amendments to Instrument - 01/01/2011
Amendments to Instrument
Effective
01/01/2011
41-101CP
Changes to 41-101CP
Effective - Changes to Policy - 01/01/2011
Changes to Policy
Effective
01/01/2011
41-101
Amendments to NI 41-101 (arising from NI 51-101)
Effective - Amendments to Instrument - 12/30/2010
Amendments to Instrument
Effective
12/30/2010
Notice of Amendments to NI 41-101 General Prospectus Requirements and Companion Policy
Published - CSA Notice - 10/01/2010
CSA Notice
Published
10/01/2010
41-101
Amendments to NI 41-101 (arising from NI 23-102)
Effective - Amendments to Instrument - 06/30/2010
Amendments to Instrument
Effective
06/30/2010
Amendments to 81-101F2 and 41-101F2
Published - CSA Notice - 04/09/2010
CSA Notice
Published
04/09/2010
Request for Comment Modernization of Scholarship Plan Regulation Phase 1 – A New Prospectus Form for Scholarship Plans
Published - CSA Notice - 03/24/2010
CSA Notice
Published
03/24/2010
Proposed Amendments to NI 81-101 Mutual Fund Prospectus Disclosure and 81-101F2 Contents of Annual Information Form and to NI 41-101 General Prospectus Requirements and 41-101F2 Information Required
Published - CSA Notice - 10/09/2009
CSA Notice
Published
10/09/2009
Notice of Proposed Amendments to NI 41-101 General Prospectus Requirements and Related Rules
Published - CSA Notice - 09/25/2009
CSA Notice
Published
09/25/2009
41-101F2
Amendments to 41-101F2 (arising from NI 81-106)
Effective - Amendments to Instrument - 09/08/2008
Amendments to Instrument
Effective
09/08/2008
Notice of Ministerial Approval of Certain Sections of NI 41-101
Published - ASC Notice - 04/11/2008
ASC Notice
Published
04/11/2008
03/29/1990
Revoked - Policy 4.12 - Investment Contract Policy
Revoked - Blanket Order - 03/17/2008
Blanket Order
Revoked
03/17/2008
05/05/1983
Revoked - A National Policy relating to a summary statement in a prospectus of statutory rights of action, withdrawal, rescission and damages
Revoked - Blanket Order - 03/17/2008
Blanket Order
Revoked
03/17/2008
41-101
General Prospectus Requirements
Effective - National Instrument - 03/17/2008
National Instrument
Effective
03/17/2008
41-101F1
Information Required in a Prospectus
Effective - Form - 03/17/2008
Form
Effective
03/17/2008
41-101F2
Information Required in an Investment Fund Prospectus
Effective - Form - 03/17/2008
Form
Effective
03/17/2008
41-101CP
Companion Policy to NI 41-101
Effective - Companion Policy - 03/17/2008
Companion Policy
Effective
03/17/2008
44-301
Withdrawn - Frequently Asked Questions Regarding the New Prospectus Rules
Withdrawn - CSA Notice - 03/17/2008
CSA Notice
Withdrawn
03/17/2008
Notice regarding NI 41-101 General Prospectus Requirements and NI 81-101 Mutual Fund Prospectus Disclosure
Published - ASC Notice - 01/17/2008
ASC Notice
Published
01/17/2008
Notice regarding NI 41-101 General Prospectus Requirements, related forms and consequential amendments
Published - CSA Notice - 12/21/2007
CSA Notice
Published
12/21/2007
Notice and Request for Comment on proposed NI 41-101 General Prospectus Requirements (including comment letters received)
Published - CSA Notice - 12/21/2006
CSA Notice
Published
12/21/2006
41-101
Prospectus Disclosure Requirements
Effective - National Instrument - 12/31/2000
National Instrument
Effective
12/31/2000
Notice of Implementation of NI 41-101 Prospectus Disclosure Requirements
Published - ASC Notice - 10/13/2000
ASC Notice
Published
10/13/2000
Notice of NI 41-101
Published - ASC Notice - 10/13/2000
ASC Notice
Published
10/13/2000
Notice and Request for Comment on proposed NI 41-101 Prospectus Disclosure Requirements
Published - CSA Notice - 05/16/1997
CSA Notice
Published
05/16/1997

News Releases Related to 41-101

Title
Date
Canadian securities regulators reduce regulatory burden related to the interpretation of the primary business requirements
Apr 14, 2022
Canadian securities regulators seek comment on the proposed modernization of the prospectus filings model for investment funds
Jan 27, 2022
Canadian securities regulators seek comments on proposal to harmonize the interpretation of the Primary Business Requirements
Aug 12, 2021
Canadian securities regulators adopt ban on trailing commissions for order-execution-only dealers
Sep 17, 2020
Canadian securities regulators seek comment on proposed amendments to business acquisition report requirements
Sep 05, 2019
Canadian Securities Regulators Adopt “Pre-Marketing” and “Marketing” Amendments to Prospectus Rules
May 30, 2013
Canadian Securities Regulators Adopt Amendments to Prospectus Rules
Feb 28, 2013
Canadian Securities Regulators Adopt Amendments to Improve Scholarship Plan Disclosure for Investors
Jan 10, 2013
Canadian Securities Regulators Propose Amendments to “Pre-Marketing” and “Marketing” Prospectus Rules
Nov 25, 2011
Canadian Securities Regulators Take Steps to Improve Scholarship Plan Disclosure for Investors
Mar 24, 2010
Canadian Securities Regulators Approve Requirements On Use of Client Brokerage Commissions
Oct 06, 2009
Canadian Regulators Adopt Harmonized Prospectus Rule
Mar 13, 2008
Canadian Regulators Seek Comment on Passport System
Mar 28, 2007
Canadian Regulators Propose Harmonized Prospectus Rule for Market Participants
Dec 21, 2006