General Exemption Orders
Securities Division
4th Floor, 2365 Albert Street
Regina, SK, S4P 4K1
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
General Exemption Orders
- Exemption Order 11-501 - Exemption from the Requirement to send financial statement and related disclosure to securityholders during a disruption in postal service (Reporting Issuer)
- Exemption Order 11-502 - Exemption from the requirement to send financial statements and related disclosure to securityholders during a disruption in postal service (Investment Funds)
- Exemption Order 13-802 - Voluntary SEDAR Filing of Certain Distribution Materials
- Exemption Order 13-930 Exemptions from certain filing requirements in connection with the launch of the System for Electronic Data Analysis and Retrieval +
- Exemption Order 13-932 - Exemptions from certain filing requirements in connection with the launch of the System for Electronic Data Analysis and Retrieval+
- Exemption Order 13-933 - Temporary exemption from the requirement to transmit a report of exempt distribution through SEDAR+ in connection with distributions of eligible foreign securities to permitted clients
- Exemption Order 21-901 - Market Facilitation Activities by Issuers in Their Own Securities
- Exemption Order 23-901 - Exemption from Certain Requirements in Part 6 of National Instrument 23-101 Trading Rules
- Exemption Order 24-501 - In the Matter of Relief from Certain Reporting Requirements under National Instrument 24-101 Institutional Trade Matching and Settlement
- Exemption Order 24-930 - In the Matter of Temporary Exemption from certain filing requirements of National Instrument 24-101 Institutional Trade Matching and Settlement
- Exemption Order 25-502 - Temporary Exemption from Certain Reporting Requirements for Regulated Entities
- Exemption Order 31-501 - Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants
- Exemption Order 31-502 - Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
- Exemption Order 31-503 - Relief in respect of Client Focused Reforms Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
- Exemption Order 31-504 - Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants, No.2
- Exemption Order 31-924 - Transitional Relief from Complying with Consequential Amendments to NI 13-101, NI 31-102 and NI 55-102.
- Exemption Order 31-930 - Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus
- Exemption Order 31-932 - Exemption from the Dealer Registration Requirement and the Adviser Registration Requirement in Respect of Trades and Advice for U.S. Resident Clients
- Exemption Order 31-934 - Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
- Exemption Order 33-501 - Transitional Relief Related to the Elimination of the Deferred Sales Charge Option in Respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
- Exemption Order 43-501 - Filing Fees for Shelf Prospectus Supplements including Pricing Supplements under National Instrument 44-102 Shelf Distributions
- Exemption Order 43-901 - Trade Unions Which Sponsor Labor Sponsored Venture Capital Corporations
- Exemption Order 44-501 - Exemption from Certain Prospectus Requirements for Well-known Seasoned Issuers
- Exemption Order 44-901 - Order Exempting Issuers whose Securities are Listed on the Alpha Venture Plus Marketplace Operated by Alpha Exchange Inc. from Certain Requirements of Securities Legislation.
- Exemption Order 44-902 - Order Exempting Issuers whose Securities are Listed on the Alpha Main Marketplace Operated by Alpha Exchange Inc. from Certain Requirements of Securities Legislation.
- Exemption Order 44-905 - Exemption Order in the Matter of Neo Exchange Inc.
- Exemption Order 45-502 - Exemption from certain requirements in Form 45-106F1 Report of Exempt Distribution
- Exemption Order 45-538 - Self-Certified Investor Prospectus Exemption
- Exemption Order 45-539 - Small Business Financing
- Exemption Order 45-902 - Exemptions for Certain Trades by and to Labor-sponsored Venture Capital Corporations
- Exemption Order 45-906 - Rulings granted under Saskatchewan Policy Statement 45-601 - "Community Ventures - Section 83 Rulings" and Resale Restrictions in those Rulings
- Exemption Order 45-912 - Exemption for Co-operatives and Credit Unions
- Exemption Order 45-913 - Exemptions for Capital Accumulation Plans
- Exemption Order 45-916 - Exemption for Solicitations of Expressions of Interest
- Exemption Order 45-918 - (Revocation Order 45-918) Registration Exemption for Trades in Connection with Certain Prospectus Exempt Distributions
- Exemption Order 45-918 - Registration Exemption for Trades in Connection with Certain Prospectus Exemptions
- Exemption Order 45-919 - Exemption from restriction on paying commissions and finders fees in offering memorandum exemption in National Instrument 45-106 Prospectus and Registration Exemptions
- Exemption Order 45-922 - Exemption from Certain Audit and Financial Statement-Related Requirements in the Offering Memorandum Exemption
- Exemption Order 45-926 - Exemption from Prospectus Requirement for Certain Trades to Existing Security Holders
- Exemption Order 45-930 - Exemption from prospectus requirement for certain distributions through an investment dealer
- Exemption Order 45-931 - Exemption from Filing Requirements for Exempt Distributions Involving Certain Fully Managed Accounts
- Exemption Order 45-932 - Authorizing Co-operatives to use National Instrument 45-110 Start-Up Crowdfunding Registration and Prospectus Exemption
- Exemption Order 48-901 - Listing Representations
- Exemption Order 51-501 - Temporary Exemption from Certain Corporate Finance Requirements
- Exemption Order 51-502 - Temporary Exemptions from Certain Requirements to File or Send Securityholder Materials
- Exemption Order 51-503 - Temporary Exemption from Certain Corporate Finance Requirements with Deadlines during the period from June 2, 2020 to August 31, 2020
- Exemption Order 51-901 - Exemption Orders made Pursuant to Parts XI, II and XIII of the Act
- Exemption Order 51-902 - Exemption from Certain Financial Requirements
- Exemption Order 51-904 - Curing Issuers' Defaults of Reporting Obligations
- Exemption Order 51-905 - Varying the Terms of Previously Granted Orders
- Exemption Order 51-906 - Exemption from Certain Continuous Disclosure Requirements under NI 51-102 Continuous Disclosure Obligations
- Exemption Order 51-909 - Waiver of Continuous Disclosure Requirements for Issuers That Have Made Offerings Under the Qualified Investor Exemption
- Exemption Order 51-910 - Order Exempting Issuers from Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
- Exemption Order 51-911 - Exemption for Venture Issuers with Securities Listed on Bolsa de Santiago, Venture Marketplace
- Exemption Order 51-912 - Exemptions from Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
- Exemption Order 51-930 - Exemption from the Director Election Form of Proxy Requirement
- Exemption Order 52-502 - Exemption from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure
- Exemption Order 52-904 - Certain Issuers Ceasing to be Reporting Issuers in Reorganizations and Take-over Bids
- Exemption Order 52-905 - Relief from Certification Requirements in Multilateral Instrument 52-109
- Exemption Order 72-901 - Trades to Purchasers Outside of Saskatchewan
- Exemption Order 81-501 - Exemption from Prescribed Text of Mutual Fund Audit Reports
- Exemption Order 81-502 - Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds
- Exemption Order 81-503 - Temporary Exemption from Borrowing Limit to Accommodate Redemption Requests of Mutual Funds Investing in Fixed Income Securities
- Exemption Order 81-504 - Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds with Deadlines during the period from June 2, 2020 to September 30, 2020
- Exemption Order 81-505 Temporary Exemption from National Instrument 81-104 Alternative Mutual Funds
- Exemption Order 81-506 - Reducing Regulatory Burden for Investment Fund Issuers Part 1
- Exemption Order 81-507 - Reducing Regulatory Burden for Investment Fund Issuers Part 2
- Exemption Order 81-508 – Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers
- Exemption Order 81-902 - Certain MFDA Members- Commingling of Funds
- Exemption Order 91-904 - Trades in Government Warrants
- Exemption Order 91-905 - Certain Interests in Government Securities
- Exemption Order 91-906 - Strip Bonds
- Exemption Order 91-908 - Over-the-Counter Derivatives
- Exemption Order 93-930 - Re Temporary Exemptions for Derivatives Firms from Certain Obligations when Transacting with Certain Investment Funds and for Senior Derivatives Managers from Certain Reporting Obligations
- Exemption Order 94-501 - Exempting Certain Counterparties from Mandatory Clearing of Derivatives
- Exemption Order 94-502 - Exempting Regulated Clearing Agencies from the frequency of the requirement to deliver Form 94-102F3 Customer Collateral Report: Regulated Clearing Agency
- Exemption Order 96-501 - Exemption from certain derivatives reporting requirements
- Exemption Order 96-507 - Exemption from Certain Derivatives Reporting Requirements under Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting for Certain Financially Settled Electricity Based Derivatives
- Exemption Order 96-508 - Exemption from Certain Requirements to publicly disseminate data under Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting
- Exemption Order 96-930 - Exemption from Derivatives Reporting Requirements in Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting/or Certain Derivatives Data Relating to U.S. Dollar London Interbank Offered Rate
- Exemption Order 96-931 Exemption from derivatives reporting requirements in Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting for certain derivatives data relating to Canadian dollar offered rate
- Exemption Order 96-932 - Temporary Exemptions From Certain Derivatives Data Reporting Requirements
- Withdrawn Archive