41-101 – General Prospectus Requirements (National Instrument)
Securities Division
4th Floor, 2365 Albert Street
Regina, SK, S4P 4K1
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
41-101 – General Prospectus Requirements (National Instrument)
- National Instrument 41-101 General Prospectus Requirements41_101_ni_june_30_2015.pdf
Effective Date: March 17, 2008. Consolidated to June 30, 2015.
- CSA Notice and Amendments to National Instrument 41-10141_101_ni_amendments_and_csa_notice_june_19_2025.pdf
The purpose of the amendments and changes are to codify previously granted relief related to changes at some recognized exchanges and to align our requirements with changes made to the Canada Business Corporations Act (CBCA). The amendments and changes address the following:
- the creation of a senior tier at the Canadian Securities Exchange (CSE), which is intended to be a non-venture tier;
- to ensure that requirements for non-venture issuers will also apply to those reporting issuers that are listed on the CSE Senior Tier;
- the name change of the PLUS markets to AQSE Growth Market;
- the name change of Aequitas Neo Exchange Inc. (NEO) to Cboe Canada Inc.; and,
- amendments to the Canada Business Corporations Act dealing with “majority voting”.
The amendments are expected to be adopted by each member of the CSA, where applicable, and provided all necessary regulatory and ministerial approvals are obtained, the amendments will come into force on September 19, 2025.
- Amendments to National Instrument41_101_ni_amendments_february_26_2025.pdf
This amendment modernizes the prospectus filing model for investment funds, with a particular focus on investment funds in continuous distribution. The CSA’s modernization will better reflect the shift from the delivery of the prospectus to the delivery of the Fund Facts and ETF Facts to investors and reduce unnecessary regulatory burden imposed by the current prospectus filing requirements under securities legislation on investment funds without affecting the currency or accuracy of the information available to investors to make an informed investment decision. The fund facts document and the ETF facts document will continue to be filed annually and will continue to be delivered to investors under the current delivery requirements.
Effective Date: March 3, 2025. In Saskatchewan: March 3, 2025.
- Amendments to National Instrument41_101_ni_amendments_2024_04_22.pdf
Effective Date: April 16, 2024. In Saskatchewan: April 22, 2024.
- Amendments to National Instrument41_101_ni_amendments_2023_03_23.pdf
Effective Date: June 9, 2023. In Saskatchewan: June 20, 2023.
- Amendments to National Instrument1_2022_sr_filed_31_103_ni_et_al_ar_02_08_22.pdf
Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.
- Amendments to National Instrument2_2022_sr_filed_13_101_ni_et_al_ar_02_08_22.pdf
Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.
- Amendments to National Instrument 41-10141_101_ni_amendments_9_october_7_2021.pdf
Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.
- Amendments to National Instrument 41-10141_101_ni_amendments_8_october_7_2021.pdf
Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.
- Amendments to National Instrument 41-10141_101_ni_amendments_4_october_7_2021.pdf
Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.
- Amendments to National Instrument 41-10141_101_ni_amendments_2_october_7_2021.pdf
Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.
- The Securities Commission (Adoption of National Instruments) (NI 81-105, NI 41-101 and NI 81-101) Amendment Regulations, 202041_101_ni_january_6_2021.pdf
Effective Date: December 31, 2020. In Saskatchewan: January 6, 2021.
Note: Phased in transition period for certain sections.
- Amendments to National Instrument 41-10141_101_ni_september_17_2020.pdf
Effective Date: December 31, 2020. In Saskatchewan: January 6, 2021.
Note: Phased in transition period for certain sections.
- Amendments to National Instrument 41-10141_101_ni_january_3_2019.pdf
Effective Date: January 3, 2019.
- Amendments to National Instrument 41-10141_101_ni_december_8_2016.pdf
Effective Date: March 8, 2017. In Saskatchewan: March 15, 2017.
Provisions 5(a) and 6-14 of this instrument in effect: September 1, 2017.
Provisions 5(b) of this instrument in effect: December 10, 2018. - Amendments to National Instrument 41-10141_101_ni_november_17_2015.pdf
Effective Date: November 17, 2015. In Saskatchewan November 27, 2015.
- Amendments to National Instrument 41-10141_101_ni_september_24_2015.pdf
Effective Date: December 8, 2015. In Saskatchewan December 17, 2015.
- Companion Policy 41-101CP41_101_cp_june_30_2015.pdf
Effective Date: March 17, 2008. Consolidated to June 30, 2013.
Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements.
- Changes to Companion Policy 41-101CP41_101_cp_amendments_november_28_2024.pdf
Implementation of the Amendments will modernize the prospectus filing model for investment funds, with a particular focus on investment funds in continuous distribution. The CSA’s modernization will better reflect the shift from the delivery of the prospectus to the delivery of the Fund Facts and ETF Facts to investors and reduce unnecessary regulatory burden imposed by the current prospectus filing requirements under securities legislation on investment funds without affecting the currency or accuracy of the information available to investors to make an informed investment decision. The fund facts document and the ETF facts document will continue to be filed annually and will continue to be delivered to investors under the current delivery requirements.
Effective Date: March 3, 2025. If this Instrument is filed with the Registrar of Regulations after March 3, 2025, this Instrument comes into force on the day on which it is filed with the Registrar of Regulations.
- 41_101_cp_april_14_2022.pdf
Changes to Companion Policy 41-101CP
Effective Date: April 14, 2022. - 41_101_cp_changes_january_27_2022.pdf
Changes to Companion Policy 41-101CP
Effective Date: Subject to the effective date of amendments to National Instrument 41-101 General Prospectus Requirements
- Changes to Companion Policy 41-101CP41_101_cp_changes_2_october_7_2021.pdf
Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.
- Changes to Companion Policy 41-101CP41_101_cp_changes_1_october_7_2021.pdf
Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.
- Changes to Companion Policy 41-101CP41_101_cp_august_20_2020.pdf
Effective Date: Subject to the effective date of National Instrument 51-102 Continuous Disclosure Obligations - November 18, 2020.
- Changes to Companion Policy 41-101CP41_101_cp_december_8_2016.pdf
Effective Date: March 15, 2017.
- Changes to Companion Policy 41-101CP41_101_cp_september_24_2015.pdf
Effective Date: December 8, 2015. In Saskatchewan December 17, 2015.
- Form 41-101F1 Information Required in a Prospectus41_101_f1_june_30_2015.pdf
Effective Date: March 17, 2008. Consolidated to June 30, 2015.
- Form 41-101F2 Information Required in an Investment Fund Prospectus41_101_f2_september_22_2014.pdf
Effective Date: March 17, 2008. Consolidated to September 22, 2014.
- Form 41-101F3 Information Required in a Scholarship Plan Prospectus41_101_f3_september_22_2014.pdf
Effective Date: March 17, 2008. Consolidated to September 22, 2014.
- Sample Plan Summary41_101c_may_14_2013.pdf
Effective Date: May 14, 2013.