What applications, pre-filings and waiver applications should be filed on SEDAR+ in Phase 1?
Phase 1 of SEDAR+ generally includes all applications, pre-filings and waiver applications filed by, or on behalf of issuers. In future phases of SEDAR+, we expect that SEDAR+ will be capable of accepting the transmission of applications or other documents delivered to securities regulatory authorities or regulators by insiders, registrants, derivatives market participants and regulated entities.
A filer should not rely on the legislation available for selection on SEDAR+ to determine what types of applications, pre-filings and waivers can be filed on SEDAR+ in Phase 1. Certain legislation included in SEDAR+ will only apply in future phases.
Filers should refer to the Appendix of National Instrument 13-103 System for Electronic Data Analysis and Retrieval+ (SEDAR+) (NI 13-103) and to the Companion Policy to NI 13-103 under the heading ‘Phasing of applications, pre-filings and documents under decisions’ to determine what types of applications, pre-filings and waivers can be filed on SEDAR+ in Phase 1.