Self-Serve Portal

Regulated Industries

The Financial and Consumer Services Commission of New Brunswick is responsible for the regulation and enforcement of securities, insurance, pensions, credit unions, trust and loan companies, co-operatives, mortgage brokers, pay day lenders, real estate and a wider range of other consumer legislation. We regulate 44,000 industry participants who make their living working with New Brunswickers’ money. These industry participants handle more than $50 billion of New Brunswick consumers’ money.

Questions about your industry’s regulations and legislation? Proposed rule changes? Looking for bulletins and notices? If you operate a business in, or work in, one of these regulated industries, here’s where you’ll find answers.

45-501 - Prospectus and Registration Exemptions

Category: 4 - Distribution Requirements

Status:

Current Instruments:

No	Document	Type	Publication Date
45-501	Local Rule	Local Rule	11/12/2024

Related Documents:

No	Document	Type	Publication Date
45-106	CSA Notice of Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages	CSA Notice	06/08/2020
45-328	CSA Staff Notice 45-328 Update on Amendments relating to Syndicated Mortgages	CSA Notice	25/02/2021

History:

No	Document	Type	Publication Date
45-501	Local Rule	Local Rule	01/01/2020
45-501	Notice of Repeal and Adoption of New Local Rule 45-501	Local Notice	19/12/2019
45-501	Ministerial Consent	Ministerial Consent	26/11/2019
45-501	CSA Second Notice and Request for Comment - Proposed Amendments to NI 45-106, NI 31-103 as well as changes to their related Companion Policies relating to Syndicated Mortgages	CSA Notice	15/03/2019
45-501	Implementing Instrument 45-802 (Repealing Emergency Rule)	Implementing Instrument	14/09/2005
45-501	Local Rule	Local Rule	06/09/2005
45-501	Ministerial Consent	Ministerial Consent	06/09/2005
45-501	NBSC Notice and Request for Comment	Local Notice	17/03/2005
45-501	Local Rule (Emergency Rule) (Repealed)	Local Rule	22/07/2004
45-501	FCNB Notice and Request for Comment - Proposed Amendments to LR 45-501	Local Notice	06/08/2020
45-501	Ministerial Consent	Ministerial Consent	12/01/2021
45-501	Amendments to Local Rule 45-501	Amendments to Instrument	01/03/2021