Skip to main content

Subject Help

OSC Bibliography

The Law Society of Upper Canada Special Lectures and the Canada Business Law Journal often contains OSC history and documents the development of topics the OSC governs.  Browse through these tabs for handpicked articles and chapters, or select the documents below for a more in depth look.  The library can help you obtain access to full articles.  

Journals (chronological)

O. E. Lennox, “The Operation of the Ontario Securities Commission,” (1949) 1 The Bulletin of Ontario Securities Commission for January 1949, 5.

W. M. Duggan, “The Function of the Ontario Securities Commission,” (1957)  6 Can. Jour. Of Accountancy 55.

James C. Baillie and Victor P. Albioni, “The National Sea Decision – Exploring the Parameters of Administrative Discretion,” (1978) 2 Can Bus LJ, 454.

Rene Sorell, “Offering Memoranda Under the Ontario Securities Act,” (1980) 4 Can Bus LJ 467.

R L. Beck and G. B. Reschenthaler, “Ending Securities Commission Fee Regulation: Rationale and Economic Effects,” (1983) 7 Can Bus LJ 377.

Jack Carr, Arthur Milne and Stuart M. Turnbull, “’Greenline Investors Service’: Shall we keep Brokers and Banks Apart?” (1983-84) 8 Can Bus LJ 257.

Cally Jordan, “The Thrills and Spills of Free-Riding: International Issues Before the Ontario Securities Commission,” (1994) 23 Can Bus LJ 379.

Jeffrey G. Macintosh, “Securities Regulation and the Public Interest: of Politics, Procedures, and Policy Statements, Part I,” (1994) 24 Can Bus LJ 77.

Jeffrey G. Macintosh, “Securities Regulation and the Public Interest: Of Politics, Procedures, and Policy Statements, Part II,” (1994) 24 Can Bus LJ 287.

Drew E. Macintyre, “Financial Innovation and Regulatory Trepidation: Swaps and the OSC,” (1995) 25 Can Bus LJ 163.

C. Armstrong, Blue Skies and Boiler Rooms: Buying and Selling Securities in Canada, 1870-1940 (Toronto, ON: University of Toronto Press, 1997).

Philip Anisman, “to the Ontario Securities Act: An Open Letter to the Ontario Securities Commission,” 1998 31 Can Bus LJ 272.

Anita Anand, “A Comment on “Internet-Based Securities Offerings by Small and Medium Sized Enterprises: Attractions and Challenges,” 2001 35 Can Bus LJ 274.

A. Douglas Harris, “Securities Regulatory Structure in Canada,” (2003) 38 Can Bus LJ 57.

James C. Baillie, “Book Review: Report of the Task Force to Modernize Securities Legislation in Canada,” 2007 45 Can Bus LJ 128.

Cally Jordan, “Political Prisoner: A Securities Regulator for Canada – Again?,” (2009) 47 Can Bus LJ 66.

Christopher C. Nicholls, “The Regulation of Financial Institutions: A Reflective but Selective Retrospective,” (2011) 50 Can Bus LJ 129.

Anita Anand, “Is Crowdfunding Bad for Investors?” (2014) 55 Can Bus LJ 215.

 

Books (chronological)

Claude R. Thomson, “Concepts and Procedures in Hearings before the Ontario Securities Commission,” Special Lectures of the Law Society of Upper Canada 1972: Corporate and Securities Law, (Toronto: Richard de Boo Limited, 1972), p. 95-110.

C. Armstrong, Blue Skies and Boiler Rooms: Buying and Selling Securities in Canada, 1870-1940 (Toronto, ON: University of Toronto Press, 1997).

David Johnson and Kathleen Doyle Rockwell, “Chapter 4: Machinery” in Canadian Securities Regulation 2nd ed. (Toronto & Vancouver: Butterworths, 1998), p. 41-61.

C. Armstrong, Moose Pastures and Mergers: The Ontario Securities commission and the Regulation of Share Markets in Canada, 1940-1980 (Toronto, ON: University of Toronto Press, 2001).

 

 

 

 

 

 

 

 

 

 

 

Journals (chronological)

Peter J. Dey, “Securities Reform in Ontario: The Securities Act, 1975,” (1976) 1 Can Bus LJ 20.

Ann Wilson, Donald Crawshaw and Martin Felsky, “Corporate Law Overview: Recent Jurisprudential and Legislative Developments,” (1983-84) 8 Can Bus LJ 177.

Ian F.G. Baxter, “International Financial Markets and Loans: An Introduction to the Legal Context,” (1985) 10 Can Bus LJ 198.

William D. Moull, “Constitutional Aspects of Bank Regulation Silence on the Green Line,” (1985) 10 Can Bus LJ 71.

L. LaRochelle, M. Brunet and R. Simmonds, “Continuing Securities Reform in Canada: Amendments to Quebec’s Act,” (1985-86) 11 Can Bus LJ 147.

John D. Whyte, “Symposium: A New Look for Federal Powers Over the Economy,” (1987-88), 13 Can Bus LJ 257.

Michael Blair, “Symposium: Europe 1992 and the Harmonization of Standards for the Regulation of Financial Institutions,” (1990) 16 Can Bus LJ 97.

David A. Brown, “Regulating Financial Services: Realigning Federal-Provincial Responsibilities,” (1998) 31 Can Bus LJ 258.

Stéphane Rousseau “Internet-Based Securities Offerings by Small and Medium Sized Enterprises: Attractions and Challenges,” (2001) 35 Can Bus LJ 226.

Anita Anand and Peter Charles Klein. “Inefficiency and Path Dependency in Canada’s Securities Regulatory system: Towards a Reform Agenda,” (2006) 42 Can Bus LJ 41.

A Douglas Harris, “Once More Into the Breach: A Comment on James C. Baillie, ‘The Wise Persons’ Committee Report: Another attempt to Revolutionize Canadian Securities Regulation,’” (2006) 41 Can Bus LJ 461.

Robert M. Scavone, “Stronger than Fictions: Canada Rethinks the Law of Securities Transfers in the Indirect Holding System” (2007) 45 Can Bus LJ 67.

Aaron A. Dhir, “Shadows and Light: Addressing Information Asymmetries through Enhanced Social Disclosure in Canadian Securities Law,” (2009) 47 Can Bus LJ 435.

Jackie VanDerMeulen and Michael J. Trebilcock, “Canada’s Policy Response to Foreign Sovereign Investment: Operationalizing National Security Exceptions,” (2009) 47 Can Bus LJ 392.

Brandon Kain and Byron Shaw, “Mapping the Serbonian Bog: The Territorial Limits of Secondary Market Securities Act Claims under the Canadian Constitution, Part I,” (2012) 53 Can Bus LJ 63.

 

Books (chronological)

Walter Cameron, “Securities Legislation, Administration and Marketing in the Province of Ontario,” Bulletin of Ontario Securities Commission, Sept. 1954, p. 2.

O. E. Lennox, “Securities Legislation and Administration,” Special Lectures of the Law Society of Upper Canada: Company Law (Toronto: Richard de Boo Limited, 1950) p. 81.

Peter J. Dey, “Exemptions under the Securities Act of Ontario,” Special Lectures of the Law Society of Upper Canada 1972: Corporate and Securities Law (Toronto: Richard de Boo Limited, 1972), p. 127-182.

Charles E. O’Connor, “The Securities Act in Operation: Public and Private Distributions of Securities in Ontario,” Special Lectures of the Law Society of Upper Canada 1982: Corporate Law in the 80s, (Don Mills: Richard de Boo Publishers, 1982), p. 103–154.

Philip Anisman, "Authorizing Regulation:  The Securities Amendment Act, 1994," (1995) Administrative Law:  Issues and Practice (Toronto:  Carswell, 1995), p.49-84.

 

 

 

 

 

 

 

 

Journals

F. H. Buckley, “How to do things with Inside Information,” (1978) 2 Can Bus LJ 343

George C. Glover, Jr. and Alan M. Schwartz, “Going Private in Canada,” (1978) 3 Can Bus LJ 3.

Franklin Iacobucci, “Planning and Implementing Defenses to Take-over bids: The Directors Role,” (1981) 5 Can Bus LJ 131.

Joseph P. Chertkow, “Compulsory Acquisition of Shares Under Section 199 of the Canada Business Corporations Act and Re Whitehorse Copper Mines Ltd: An Offer You Can Refuse," (1983) 7 Can Bus LJ 154.

D. M. Harley, “Central Depository System for Securities,” (1983) 7 Can Bus LJ 306.

Vern Krishna, “Determining the Fair Value of Corporate Shares," (1987-88) 13 Can Bus LJ 132.

Clarence T. Hay, “Restricted Shares in Ontario,” (1988) 14 Can Bus LJ 257.

Gordon Coleman, “Poison Pills in Canada,” (1989) 15 Can Bus LJ 1.

Jeffrey G. MacIntosh, “The Poison Pill: A Noxious Nostrum for Canadian Shareholders,” (1989) 15 Can Bus LJ 276.

John H. Farrar, “Business Judgement and Defensive Tactics in Hostile Takeover Bids,” (1989) 15 Can Bus LJ 15.

Patricia J. Myhal, “Some Observations on the “Usual” Anti-dilution Provisions,” (1990-1991) 17 Can Bus LJ 252.

Peter Dey and Robert Yalden, “Keeping the Playing Field Level: Poison Pills and Directors’ Fiduciary Duties in Canadian Take-over Law,” (1991) 17 Can Bus LJ 283.

Jeffrey G. MacIntosh, “Poison Pills in Canada: A Reply to Dey and Yalden,” (1991) 17 Can Bus LJ 323.

John L. Howard. “Fiduciary Relations in Corporate Law,” (1991) 19 Can Bus LJ 1.

Jeffrey G. Macintosh, “The Canadian Securities Administrators’ Takeover Proposals: Old Wine in Old Bottles?” (1993) 22 Can Bus LJ 231. 

Ronald J. Daniels and Edward J. Waitzer, “Challenges to the Citadel: A Brief Overview of Recent Trends in Canadian Corporate Governance,” (1994) 23 Can Bus LJ 23.

Beth DeMerchant, “Recent Offerings of Equity-Linked Securities: Unlocking the Value of an Investment,” (1994) 24 Can Bus LJ 259.

Gordon DuVal, “The Bought Deal in Canada,” (1995) 26 Can Bus LJ 358.

Iain Ramsay, “The Alternative Consumer Credit Market and Financial Sector: Regulatory Issues and Approaches,” (2001) 35 Can Bus LJ 325.

Ryan Compton, Daniel Sandler and Lindsay Tedds, “Options Backdating: A Canadian Perspective,” (2009) 47 Can Bus LJ 363.

Poonam Puri, “The Future of Stakeholder Interests in Corporate Governance,” (2010) 48 Can Bus LJ 427.

Bryce C. Tingle, J. Ari Pandes, and Michael J. Robinson, “The IPO Market in Canada: What a Comparison with the United States Tells us about a Global Problem,” (2013) 54 Can Bus LJ 321.
 

Books

R. G. Cudney, “Company Procedure and Departmental Regulations,” Special Lectures of the Law Society of Upper Canada: Company Law (Toronto: Richard de Boo Limited, 1950) p. 1.

D. A. McIntosh, “Corporate Finance,” Special Lectures of the Law Society of Upper Canada: Company Law (Toronto: Richard de Boo Limited, 1950) p. 61.

J. C. Baillie, “Corporate Finance,” Special Lectures of the Law Society of Upper Canada 1968: Developments in Company Law (Toronto: Richard de Boo Limited, 1968), p. 109-127.

R. C. Meech, “Prospectus and Registration Requirements,” Special Lectures of the Law Society of Upper Canada 1968: Developments in Company Law (Toronto: Richard de Boo Limited, 1968), p. 211–234.

J. Gordon Coleman, “Take-Over Bids, Insider Bids and going-Private Transactions – Recent Developments” Special Lectures of the Law Society of Upper Canada 1982: Corporate Law in the 80s, 1982, p. 155-214.

H. Garfield Emerson, “Business Finance under the “Closed System” of the Ontario Securities Act: Statutory Scheme and Pitfalls, Special Lectures of the Law Society of Upper Canada 1982: Corporate Law in the 80s (Don Mills: Richard de Boo Publishers, 1982), 29-102.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Journals

Ivan R. Feltham and William R. Rauenbusch, “Directors’ and Officers’ Liabilities in Canada,” (1976) 1 Can Bus LJ 321.

Jeffrey G. Macintosh with Janet Holmes and Steve Thompson, “The Puzzle of Shareholder Fiduciary Duties,” (1991) 19 Can Bus LJ 86

Poonam Puri and Stephanie Ben-Ishai, “Proportionate Liability under the CBCA in the context of Recent Corporate Governance Reform: Canadian Auditors in the Wrong Place at the Wrong Time?” (2003) 39 Can Bus LJ 36.
 

Books

J. L. Stewart, “The Position and Liabilities of Directors,” Special Lectures of the Law Society of Upper Canada: Company Law (Toronto: Richard de Boo Limited, 1950) p. 39.

Journals

Jeffrey Drozdiak, "Bre-X, NI 43-101 and the Effectiveness of Regulating Mineral Project Disclosure in Canada," (2018) 60 Can Bus LJ 343.

Stanley M. Beck, “Of Secretaries, Analysts and Printers: Some Reflections on Insider Trading,” (1983-84) 8 Can Bus LJ 385.

Edward Rosenbaum, Ralph L. Simmonds, John H. Simpson and Dainius P. Vaidila, “Corporate and Investment Attitudes Towards Insider Trading in Canada,” (1983-84) 8 Can Bus LJ 485.

Neil Campbell , “Compulsory Disclosure of “Soft” Information,” (1993) 22 Can Bus LJ 321.

Mark Gillen, “Capital Market Efficiency Assumptions: An Analytical Framework with an Application to Disclosure Laws,” (1994) 23 Can Bus LJ 346.

 

Books

Harry S. Bray, “Financial Disclosure and Accounting Practice,” Special Lectures of the Law Society of Upper Canada 1968: Developments in Company Law (Toronto: Richard de Boo Limited, 1968), p. 251–267.

 

 

 

Journals

Victor P. Albioni, “Due Diligence and the Role of the Securities Lawyer,” (1982) 6 Can Bus LJ 241.

Paul Davidson, “Dispute Settlement in Commercial Law Matters,” (1983) 7 Can Bus LJ 197.

Steven Sharpe and James Reid, “Aspects of Class Action Securities Litigation in the United States,” (1997) 28 Can Bus LJ 348.

Eric T. Spink, “The Securities Transfer Act – Fitting New Concepts in Canadian Law,” (2007) 45 Can Bus LJ 167.

Victoria Rodrigues and Florind Polo, The OSC No-Contest Settlement Program:  An Evaluation and Recommendation for Reform.  (2015) 28 Cdn J Admin Law 217.

 

Books

Ivan R. Feltham, “Lifting the Corporate Veil,” Special Lectures of the Law Society of Upper Canada 1968: Developments in Company Law (Toronto: Richard de Boo Limited, 1968), p. 305-332.

Paul G. Findlay, “Recent Developments in Securities Law,” Special Lectures of the Law Society of Upper Canada 2004: Corporate and Commercial Law (Toronto: Irwin Law Inc., 2004), p. 293-325.

Kent E. Thomson and Shara N. Wright, “When the Going Gets Tough: Emerging Trends in Securities Litigation, Special Lectures of the Law Society of Upper Canada 2004: Corporate and Commercial Law (Toronto: Irwin Law Inc., 2004), p. 273-292.

Journals

Alexandra S. Raphael, “Securities Act Regulation of the Mutual Fund Products Provided to Corporate Savings Plans,” 1993 21 Can Bus LJ 218.
 

Books

Stephen I. Erlichman, “Current Legal Developments in the Mutual Fund Industry: Abuses and Governance,” Special Lectures of the Law Society of Upper Canada 2004: Corporate and Commercial Law (Toronto: Irwin Law Inc., 2004), p. 385-402.

 

Mark Q. Connelly, “Fixed versus Negotiated Commission Rates on the Toronto Stock Exchange,” (1978) 2 Can Bus LJ 244.

1935: Royal Commission on Price Spreads calls for a national securities presence.
Great Library:  HB 235 C36 C369 I 1935
Robarts Library (U of T):  HB 235 C2 A62 1935

1964: The Porter Commission recommends uniform securities regulation either through a national agency with federal legislation, or through a uniform statute creating a single agency.
Dana Porter.  Report of the Royal Commission on Banking and Finance. 1964. KF 975 ZA2 C65

1967: The Ontario Securities Commission proposes that the federal and provincial governments jointly delegate their authority to a federally created Canadian Securities Commission.   
"CANSEC Proposal" (1967) OSCB 61. T:\OSCGEN\Library\OSC Bulletins\1967

1979: Anisman recommends establishment of a Canadian securities commission and prepares a draft federal statute which provides for federal legislative jurisdiction excluding intra-provincial matters.
Philip Anisman. Proposals for a Securities Market Law for Canada. 1979. eDoc

1981:  Philip Anisman, "The Proposals for a Securities Market Law for Canada:  Purpose and Process," (Sept. 1981)  Osgoode Hall Law Journal 329.   KF 1439 P768 1981

1994: Federal government proposal to create a Canadian Securities Commission pursuant to federal legislation, excluding intraprovincial matters and provinces not opting in.

2002: Government of Quebec. "Securities: effective and appropriate provincial regulation," 2002. eDoc

2002: Maher Kooli and Jean-Marc Suret "How cost effective are Canada's IPO markets?", 2002.

2003:  Canadian Securities Administrators. Blueprint for Uniform Securities Laws for Canada. 2003. KF 1439 A2 B58 2003

2003:   Wise Person's Committee recommends a Canadian Securities Commission, preferably in a federal-provincial scheme.
Wise Persons Committee. It’s Time. Department of Finance. 2003. KF 1439 W812 2003

2004: Jean-Marc Suret et al, "Competition among securities markets: Can the Canadian market survive?" October 2004

2005: Jean-Marc Suret and Cecile Carpentier, "Canadian Securities Regulation: Issues and Challenges", 2005.

2006: Thomas A.I. Allen. Canada Steps Up: Task Force to Modernize Securities Legislation in Canada. 2006. KF 1439 T67 2006 

2006:  The Crawford Panel recommends a common securities regulator administering a common securities act on behalf of participating governments.
Purdy Crawford. A Blueprint for a new model : a discussion paper by the Crawford Panel on a single Canadian securities regulator. eDoc 

2006: A Speech by the Honourable Jim Flaherty on June 19, 2006 to the Halifax Chamber of Commerce.

2007:  Update report of the Crawford Panel on a single securities regulator.
Purdy Crawford. One year on: seeing the way forward. eDoc.

2007: CBA. The Impact of multiple regulators on the cost of raising capital for small and medium-sized businesses. 2007.  eDoc

2008: The FSAP Assessment notes that Canada would be better served with a common regulator.

2009: Hockin Report urges the provinces to join a national securities regulator.
Tom Hockin. Expert Panel on Securities Regulation: Creating an Advantage in Global Capital Markets. 2009. eDoc

Submissions to the Hockin Panel include:

  • British Columbia Securities Commission, “Submission of the British Columbia Securities Commission," July 15, 2008
  • Canadian Coalition for Good Governance, “Submission to the Expert Panel on Securities Regulation,” July 30, 2008.
  • Canadian Council of Chief Executives, “Creating an Advantage in Global Capital Markets,” July 2008.
  • Canadian Bankers Association, “Enhancing Canadian Competitiveness by Reforming the Way Securities are Regulated in Canada,” July 15, 2008.
  • Certified General Accountants, “The Certified General Accountants Association of Canada’s Submission to the Expert Panel of Securities Regulation in Canada,” July 17, 2008.
  • FEI Canada, “FEI Canada Submission to Expert Panel on Securities Regulation in Canada,” July 15, 2008.
  • Investment Industry Association of Canada, “Submission to the Expert Panel on Securities Regulation”, July 2008.
  • Ontario Bar Association, “Submission to the Expert Panel on Securities Regulation”, July 14, 2008.
  • Pension Investment Association of Canada, “Submission to the Expert Panel on Securities Regulation in Canada”, July 15, 2008.
  • Scotiabank, “Scotiabank’s Submission to the Tom Hockin Expert Panel on Securities Regulation in Canada”, July 15, 2008.
  • Social Investment Organization, “RE: Consultation of the Expert Panel on Securities Regulation”, July 14, 2008.
  • TAMRIS, “Submission to the Expert Panel on Securities Regulation”, July 10, 2008.

2010: Pierre Lorite. Securities Regulation in Canada at a Crossroads. 2010. eDoc

2010: SECOR. Economic Issues associated with the Establishment of a Single Securities Commission. 2010. eDoc

2012: John B. Laskin and Darryl C. Patterson. "Moving Forward after the Securities Act Reference (SCC):  The Future of Securities Regulation in Canada," (2012) 1 Commercial Litigation and Arbitration Review 1, p. 5-11. 

2012: Matti Lemmens, "National Securities Regulator : Towards a Cooperative Approach?" (2012) 17 Corporate Liabilityp. 994-999.

2012: "Symposium on the Supreme Court of Canada’s Advisory Opinion in the Securities Regulation Reference Case," (2012)  52 CBLJ 2, p. 174-196.

2012: Stephane Rousseau, “Endgame: The Impact of the Supreme Court's Decision on the Project to Create a. National Securities Regulator” (2012) 52 CBLJ 186.

2012: Ramandeep K. Grewal and Edward J. Waitzer, "National Securities Regulation -- Centralization and Its Discontents," (2012) 27 BFLR 529.

2013: Elizabeth Edinger, "Reference re Securities Act:  If wishes were horses, then beggars would ride,"  (2013) 54 CBLJ 1.

 

 

Loading ...

Commissioner History