Which documents can I reference as a previous filing in my Report of Exempt Distribution?
The following table provides a list of the exempt market offerings filing types, associated sub-types and document types you are able to reference as a previous filing in your report of exempt distribution.
|
Filer Category |
Filing Type |
Filing Sub-type |
Document |
|
Investment Fund |
Offering Memorandum (2.9 of NI 45-106) |
Offering Memorandum (2.9 of NI 45-106) |
Offering memorandum (2.9 of NI 45-106) – English |
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Offering memorandum (2.9 of NI 45-106) – French |
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Undertaking |
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Amended Offering Memorandum (2.9 of NI 45-106) |
Offering memorandum (2.9 of NI 45-106) (amended) – English |
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Offering memorandum (2.9 of NI 45-106) (amended) – French |
|
Investment Fund |
Marketing Materials (2.9 of NI 45-106) |
Marketing Materials (2.9 of NI 45-106) |
Marketing materials related to offering memorandum – English |
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Marketing materials related to offering memorandum – French |
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Amended Marketing Materials (2.9 of NI 45-106) |
Marketing materials related to offering memorandum (amended) – English |
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Marketing materials related to offering memorandum (amended) – French |
|
Company |
Offering Memorandum (2.9 of NI 45-106) |
Offering Memorandum (2.9 of NI 45-106) |
Voluntary Pre-filing of Draft Offering Memoranda (NB Local Staff Notice 45-701) |
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Voluntary Pre-filing of Draft Offering Memoranda (SK Local Staff Notice 45-706) |
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Offering memorandum (2.9 of NI 45-106) – English |
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Offering memorandum (2.9 of NI 45-106) – French |
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Technical report (NI 43-101) – English |
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Technical report (NI 43-101) – French |
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Amended & restated technical report (NI 43-101) – English |
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Amended & restated technical report (NI 43-101) – French |
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Undertaking |
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Amended Offering Memorandum (2.9 of NI 45-106) |
Offering memorandum (2.9 of NI 45-106) (amended) – English |
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Offering memorandum (2.9 of NI 45-106) (amended) – French |
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Technical report (NI 43-101) – English |
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Technical report (NI 43-101) – French |
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Amended & restated technical report (NI 43-101) – English |
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Amended & restated technical report (NI 43-101) – French |
|
Company |
Marketing Materials (2.9 of NI 45-106) |
Marketing Materials (2.9 of NI 45-106) |
Marketing materials related to offering memorandum – English |
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Marketing materials related to offering memorandum – French |
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Amended Marketing Materials (2.9 of NI 45-106) |
Marketing materials related to offering memorandum (amended) – English |
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Marketing materials related to offering memorandum (amended) – French |
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Real Estate Offering Document |
Real estate offering document – English |
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Real estate offering document – French |
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Amended Real Estate Offering Document |
Real estate offering document (amended) – English |
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Real estate offering document (amended) – French |
|
Investment Fund |
Offering Memorandum (Other than 2.9 of NI 45-106)
*See Note below table |
Offering Memorandum (Other than 2.9 of NI 45-106) |
Offering memorandum (other than 2.9 of NI 45-106) – English |
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Offering memorandum (other than 2.9 of NI 45-106) – French |
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Offering memorandum (other than 2.9 of NI 45-106) (amended) – English |
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Offering memorandum (other than 2.9 of NI 45-106) (amended) – French |
|
Company |
Offering Memorandum (Other than 2.9 of NI 45-106)
*See Note below table |
Offering Memorandum (Other than 2.9 of NI 45-106) |
Offering memorandum (other than 2.9 of NI 45-106) – English |
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Offering memorandum (other than 2.9 of NI 45-106) – French |
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Offering memorandum (other than 2.9 of NI 45-106) (amended) – English |
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Offering memorandum (other than 2.9 of NI 45-106) (amended) – French |
|
Company |
NB LR 45-509 – Community Economic Development Corporations and Associations (CEDC) |
Offering Document |
CEDC offering document of Form 45-509F1 |
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Amended Offering Document |
CEDC offering document of Form 45-509F1 (amended) |
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Promotional Material |
CEDC promotional material |
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Amended Promotional Material |
CEDC promotional material (amended) |
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Certificate of Registration |
CEDC certificate of registration |
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Letter of Non-Objection |
CEDC letter of non-objection |
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Notice of Surrendering or Revocation |
CEDC notice of surrender or revocation of registration |
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Notice of Specified Events |
CEDC notice of specified events – Form 45-509F2 |
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Notice of Specified Events Specified Events |
CEDC notice of specified events – Form 45-509F2 (amended) |
|
Investment Fund |
NB LR 45-509 – Community Economic Development Corporations and Associations (CEDC) |
Offering Document |
CEDC offering document of Form 45-509F1 |
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Amended Offering Document |
CEDC offering document of Form 45-509F1 (amended) |
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Promotional Material |
CEDC promotional material |
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Amended Promotional Material |
CEDC promotional material (amended) |
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Certificate of Registration |
CEDC certificate of registration |
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Letter of Non-Objection |
CEDC letter of non-objection |
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Notice of Surrendering or Revocation |
CEDC notice of surrender or revocation of registration |
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Notice of Specified Events |
CEDC notice of specified events – Form 45-509F2 |
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Notice of Specified Events |
CEDC notice of specified events – Form 45-509F2 (amended) |
|
Company |
Report of Trade |
Report of Trade |
Report of trade |
|
Company |
Start-Up Crowdfunding – Offering Document |
Start-Up Crowdfunding – Offering Document |
Offering document – English |
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Offering document – French |
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Amended Start-Up Crowdfunding – Offering Document |
Offering document (amended) – English |
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Offering document (amended) – French |
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Company |
Crowdfunding – Offering Document (MI 45-108) |
Crowdfunding Offering Document (MI 45-108) |
Crowdfunding offering document (MI 45-108) – English |
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Crowdfunding offering document (MI 45-108) – French |
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Other distribution materials (MI 45-108) – English |
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Other distribution materials (MI 45-108) – French |
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Amended Crowdfunding – Offering Document (MI 45-108) |
Crowdfunding offering document (MI 45-108) (amended) – English |
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Crowdfunding offering document (MI 45-108) (amended) – French |
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Other distribution materials (MI 45-108) (amended) – English |
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Other distribution materials (MI 45-108) (amended) – French |
|
Investment Fund |
News Releases |
News Releases |
News release – English |
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News release – French |
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Company |
News Releases |
News Releases |
News release – English |
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News release – French |
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Offering material – English |
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Offering material – French |
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Company |
Listed Issuer Financing Exemption – Offering Document |
Listed Issuer Financing Exemption – Offering Document |
Offering document – English |
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Offering document – French |
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News release – English |
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News release – French |
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Amended Listed Issuer Financing Exemption – Offering Document |
Offering document (amended) – English |
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Offering document (amended) – French |
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News release – English |
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News release – French |
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Company |
Start-up crowdfunding – offering document (NI 45-110) |
Start-up crowdfunding – offering document (NI 45-110) |
Offering document – English |
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Offering document – French |
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Amended start-up crowdfunding – offering document (NI 45-110) |
Offering document (amended) – English |
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Offering document (amended) – French |
Note: If the offering memorandum filed was an ‘Offering memorandum (Other than 2.9 of NI 45-106)’, a workaround is required as documents submitted under this filing type are currently not searchable.
Workaround instructions:
- Select the document type ‘Other’ and attach a PDF document that indicates the filing number for the ‘Offering memorandum (Other than 2.9 of NI 45-106)’. The filing number can also be entered in the ‘Description’ field.
Last updated on: March 28, 2024