Many of the Yukon's securities rules are made on a harmonized basis with the other securities regulators in Canada. If a rule is adopted in all 13 Canadian provinces and territories it's called a National Instrument. If a rule is not adopted in all jurisdictions it's called Multilateral Instrument.
Certain Capital Market Participants [21-101 - 25-201]
NI 21–101 unofficial consolidation of National Instrument as of September 14, 2020.
21–101 CP unofficial consolidation of Companion Policy as of September 14, 2020.
Form 21–101F1 unofficial consolidation as of September 14, 2020.
Form 21–101F2 unofficial consolidation as of September 14, 2020.
Form 21-101F3 unofficial consolidation as of September 14, 2020.
Form 21–101F4 unofficial consolidation as of October 1, 2015.
Form 21–101F5 unofficial consolidation as of September 14, 2020.
Form 21–101F6 unofficial consolidation as of October 1, 2015.
Documents related to NI 21–101
Amendment to 21-101 NI effective September 14, 2020.
Amendment to 21-101 CP effective September 14, 2020.
Amendment to 21-101 NI effective August 31, 2020.
Amendment to 21-101 CP effective August 31, 2020.
Amendment to 21–01 CP effective June 12, 2018.
Amendment to NI 21–101 effective February 1, 2017.
Amendment to NI 21–101 effective October 1, 2015.
Amendment to 21–01 CP effective October 1, 2015.
Amendment to NI 21–101 effective December 31, 2014.
Amendment to 21–101 CP effective December 31, 2014.
Amendment to 21–101 CP effective May 31, 2013.
Amendment to NI 21–101 effective July 1, 2012.
Amendment to 21–101 CP effective July 1, 2012.
Amendment to NI 21–101 effective January 1, 2011.
Amendment to NI 21–101 effective January 28, 2010.
Amendment to 21–101 CP effective January 28, 2010.
Companion Policy 21–101CP effective March 17, 2008.
National Instrument 21–101 Marketplace Operation, effective March 17, 2008.
Form 21–101F1 Information Statement Exchange or Quotation and Trade Reporting System, replacement effective July 1, 2012.
Form 21–101F2 Initial Operation Report Alternative Trading System, replacement effective July 1, 2012.
Form 21–101F3 Quarterly Report of Marketplace Activities, replacement effective December 31, 2012.
Form 21–101F4 Cessation of Operations Report for Alternative Trading System, March 17, 2008.
Form 21–101F5 Initial Operation Report for Information Processor, replacement effective July 1, 2012.
Form 21–101F6 Cessation of Operations Report for Information Processor, March 17, 2008.
NI 23–101 unofficial consolidation as of April 10, 2017.
23–101 CP unofficial consolidation as of April 10, 2017.
Documents related to NI 23–101
Amendment to NI 23–101 effective April 10, 2017.
Amendment to 23–101 CP effective April 10, 2017.
Amendment to NI 23–101 effective July 6, 2016.
Amendment to 23–101 CP effective July 6, 2016.
Amendment to NI 23–101 effective October 1, 2015.
Amendment to 23–101 CP effective October 1, 2015.
Amendment to NI 23–101 effective July 1, 2012.
Amendment to 23–101 CP effective July 1, 2012.
Amendment to NI 23–101 effective January 28, 2010 and February 1, 2011.
Amendment to 23–101 CP effective January 28, 2010 and February 1, 2011.
Companion Policy 23–101 CP effective March 17, 2008.
National Instrument 23–101 Trading Rules effective March 17, 2008.
NI 23–102 unofficial consolidation as of February 1, 2017.
Documents related to NI 23–102
Amendment to NI 23-102 effective February 1, 2017.
Amendment to NI 23–102 effective January 11, 2015.
National Instrument 23–102, Use of Client Brokerage Commissions, effective June 30, 2010.
Companion Policy 23–102 effective June 30, 2010.
NI 23–103 unofficial consolidation as of March 1, 2014.
23–103 CP unofficial consolidation as of May 5, 2015.
Documents related to NI 23–103
Amendment to 23–103 CP effective May 5, 2015.
Amendment to NI 23–103 effective March 1, 2014.
Amendment to 23–103 CP effective March 1, 2014.
Companion Policy 23–103 Electronic Trading effective March 1, 2013.
National Instrument 23–103 Electronic Trading effective March 1, 2013.
NI 24–101 unofficial consolidation as of May 27, 2024.
24–101 CP unofficial consolidation as of May 27, 2024.
Form 24–101 F2 unofficial consolidation as of May 27, 2024.
Form 24–101 F3 unofficial consolidation as of May 27, 2024.
Form 24–101 F4 unofficial consolidation as of May 27, 2024.
Form 24–101 F5 unofficial consolidation as of May 27, 2024.
Documents related to NI 24–101
Amendment to NI 24-101 effective May 27, 2024.
Amendment to 24-101 CP effective May 27, 2024.
Amendment to NI 24–101 effective September 5, 2017.
Amendment to 24–101 CP effective September 5, 2017.
Amendment to NI 24–101 effective January 11, 2015.
Amendment to NI 24–101 effective September 22, 2014.
Amendment to NI 24–101 effective July 1, 2010.
Amendment to 24–101 CP effective July 1, 2010.
Amendment to NI 24–101 effective September 28, 2009.
Amendment to 24–101 CP effective September 28, 2009.
Companion Policy 24–101CP effective March 17, 2008.
National Instrument 24–101, Institutional Trade Matching and Settlement effective March 17, 2008.
Form 24–101F1 Registrant Exception Report of DAP/RAP Trade Reporting and Matching, effective March 17, 2008 - revoked May 27, 2024.
Form 24–101F2 Clearing Agency Quarterly Operations Report of Institutional Trade Reporting and Matching, effective March 17, 2008.
Form 24–101F3 Matching Service Utility Notice of Operations, effective March 17, 2008.
Form 24–101F4 Matching Service Utility Notice of Cessation of Operations, effective March 17, 2008.
Form 24–101F5 Matching Service Utility Quarterly Operations Report of Institutional Trade Reporting and Matching, effective March 17, 2008.
NI 24-102 unofficial consolidation as of June 19, 2020.
24–102 CP unofficial consolidation as of June 19, 2020.
Form 24-102 F1 unofficial consolidation as of June 19, 2020.
Form 24-102 F2 unofficial consolidation as of June 19, 2020.
Documents related to NI 24–102
Amendment to NI 24-102 effective June 19, 2020.
Amendment to 24-102 CP effective June 19, 2020.
Amendment to 24–102 CP effective June 3, 2016.
Companion Policy 24–102CP Clearing Agency Requirements, effective February 17, 2016.
National Instrument 24-102, Clearing Agency Requirements, effective February 17, 2016.
Form 24–102F1 Clearing Agency Submission of Jurisdiction and Appointment of Agent for Service of Process, effective February 17, 2016.
Form 24–102F2 Cessation of Operations Report for Clearing Agency, effective February 17, 2016.
NI-25-101 unofficial consolidation as of May 5, 2015.
Documents related to NI 25–101
Amendment to NI 25–101 effective May 5, 2015.
National Instrument 25–101 Designated Rating Organizations, effective April 20, 2012.
Form 25–101F1, Designated Rating Organization Application and Annual Filing, April 20, 2012.
Form 25–101F2, Submission to Jurisdiction and Appointment of Agent for Service April 20, 2012.
MI 25-102 unofficial consolidation as of September 27, 2023.
25-102 CP unofficial consolidation as of September 27, 2023.
Documents related to MI 25-102
Amendments to MI 25-102 effective September 27, 2023.
Amendments to 25-102 CP effective September 27, 2023.
Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators, effective July 13, 2021.
Companion Policy 25-102 CP Designated Benchmarks and Benchmark Administrators, effective July 13, 2021.
Form 25-102 F1 Designated Benchmark Administrator Annual Form, effective July 13, 2021.
25–201 Guidance for Proxy Advisory Firms effective April 30, 2015 [National Policy].
Form 25-102 F2 Designated Benchmark Annual Form, effective July 13, 2021.
Form 25-102 F3 Submission to Jurisdiction and Appointment of Agent for Service of Process, effective July 13, 2021.