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Formal correspondence document type and filing status
The following table provides a list of formal correspondence document types, the document description, and the associated filing status that is set by the system when the formal correspondence is submitted.
| Formal Correspondence Document Type | Description | Filing Status |
| Decision Document (Preliminary) | Receipt for the preliminary prospectus issued by the PR, which triggers a deemed receipt in each other passport jurisdiction where the prospectus is filed, and evidences the receipt of the OSC in a dual prospectus, if the OSC has made the same decision as the PR (s 3.2 and 3.3 NP 11-202). | Issued Decision Document (Preliminary) |
| Preliminary Receipt | Receipt for a preliminary prospectus when it is only filed in the local jurisdiction. | Issued Preliminary Receipt |
| Decision Document (Amendment to Preliminary) | Receipt for the amendment to the preliminary prospectus issued by the PR, which triggers a deemed receipt in each other passport jurisdiction where the prospectus is filed, and evidences the receipt of the OSC in a dual prospectus, if the OSC has made the same decision as the PR (s 3.2 and 3.3 NP 11-202). | Issued Decision Document (Amendment to Prelim.) |
| Receipt for Amendment to Preliminary Prospectus | Receipt for an amendment to the preliminary prospectus when it is only filed in the local jurisdiction. | Issued Receipt for Amendment to Preliminary Prospectus |
| First Comment Letter | The first comment letter provided to the filer. | Sent First Comment Letter |
| First Response Letter | The filer’s first response letter. | Received First Response Letter |
| Second Comment Letter | The second comment letter provided to the filer. | Sent Second Comment Letter |
| Second Response Letter | The filer’s second response letter. | Received Second Response Letter |
| Subsequent Comment Letter | The comment letter provided to the filer after the second comment letter. | Sent Subsequent Comment Letter |
| Comment Letter for Amendment to Prospectus | The comment letter for the amended prospectus from the PR | Sent Comment Letter for Amendment to Prospectus |
| Subsequent Response Letter | The filer’s subsequent response letter. | Received Subsequent Response Letter |
| Other Correspondence | Any other substantive correspondence the PR chooses to post, that is between the PR and filer in relation to the filing. | Sent Other Correspondence |
| Decision Document/ Order for Application – English | The final signed and dated decision document/order (English). | Issued Decision Document/ Order for Application – English |
| Decision Document/ Order for Application – French | The final signed and dated decision document/order (French). | Issued Decision Document/ Order for Application – French |
| Decision Document (Final) | Receipt for the final prospectus issued by the PR, which triggers a deemed receipt in each other passport jurisdiction where the prospectus is filed, and evidences the receipt of the OSC in a dual prospectus, if the OSC has made the same decision as the PR (s 3.2 and 3.3 NP 11-202). | Issued Decision Document (Final) |
| Final Receipt | Receipt for a final prospectus when it is only filed in the local jurisdiction. | Issued Final Receipt |
| Decision Document (First Amendment to Final) | Receipt for the first amendment to the final prospectus issued by the PR, which triggers a deemed receipt in each other passport jurisdiction where the prospectus is filed, and evidences the receipt of the OSC in a dual prospectus, if the OSC has made the same decision as the PR (s 3.2 and 3.3 NP 11-202). | Issued Decision Document (1st Amendment to Final) |
| Decision Document (Second Amendment to Final) | Receipt for the second amendment to the final prospectus issued by the PR, which triggers a deemed receipt in each other passport jurisdiction where the prospectus is filed, and evidences the receipt of the OSC in a dual prospectus, if the OSC has made the same decision as the PR (s 3.2 and 3.3 NP 11-202). | Issued Decision Document (2nd Amendment to Final) |
| Decision Document (Third Amendment to Final) | Receipt for the third amendment to the final prospectus issued by the PR, which triggers a deemed receipt in each other passport jurisdiction where the prospectus is filed, and evidences the receipt of the OSC in a dual prospectus, if the OSC has made the same decision as the PR (s 3.2 and 3.3 NP 11-202). | Issued Decision Document (3rd Amendment to Final) |
| Decision Document (Subsequent Amendment to Final) | Receipt for the subsequent amendment to the final prospectus issued by the PR, which triggers a deemed receipt in each other passport jurisdiction where the prospectus is filed, and evidences the receipt of the OSC in a dual prospectus, if the OSC has made the same decision as the PR (s 3.2 and 3.3 NP 11-202). | Issued Decision Document (Subseq. Amend. to Final) |
| Receipt for Amendment to Final Prospectus | Receipt for an amendment to the final prospectus when it is only filed in the local jurisdiction. | Issued Receipt for Amendment to Final Prospectus |
| Acknowledgement to Evidence Exemption by a Receipt | Written acknowledgement from the regulator that an exemption may be evidenced by a receipt as contemplated under subparagraph 8.2(2)(a)(ii) of NI 44-101 and parallel provisions in other prospectus rules. | Sent Acknowledgement to Evidence Exemption by a Receipt |
| Notice of Refusal to Evidence the Exemption | Notice as contemplated under paragraph 8.2(2)(b) in NI 44-101 and parallel provisions in other prospectus rules from the PR that the exemption sought may not be evidenced by receipt. | Sent Notice of Refusal to Evidence the Exemption |
| Acceptance of Prospectus Supplement | The PR’s notice of acceptance of a prospectus supplement. | Sent Acceptance of Prospectus Supplement |
| Notice of Acceptance for Filing | The notice of acceptance for the filing. | Sent Notice of Acceptance for Filing |
| Draft Order(s)/Decision Document(s) – English | A draft order (English) filed with the application materials as contemplated in section 5.2(1)(c) of NP 11-203 and with the comment letter or response letter as applicable. | Sent Draft Order |
| Draft Order Draft Order(s)/Decision Document(s) – French | A draft order (French) filed with the application materials as contemplated in section 5.2(1)(c) of NP 11-203 and with the comment letter or response letter as applicable. | Sent Draft Order |
| Conditional Approval Letter | The TSX-V’s letter indicating conditional approval of the listing.
| Sent Conditional Approval Letter |
| Confirmation of Listing | The TSX-V’s letter indicating confirmation of the listing. | Sent Confirmation of Listing |
| Acknowledgement of Receipt of an Application, Pre-filing or Waiver Application | An acknowledgement of receipt by the PR of an application, pre-filing or waiver application as contemplated under section 5.7 NP 11-203. | Sent Acknowledgement of Receipt of an Application, Pre-filing or Waiver Application |
| Denial Letter | A letter issued by the PR, where the PR has denied granting the exemption. | Issued Denial Letter |
| Notice to the Public | A notice to the public that an application or prospectus has been withdrawn or otherwise not proceeded with, if corresponding materials are public. | Sent Notice to the Public |
| Decision Document (Final and Amendment to Final) | Receipt for the final and amendment to the final prospectus issued by the PR, which triggers a deemed receipt in each other passport jurisdiction where the prospectus is filed, and evidences the receipt of the OSC in a dual prospectus, if the OSC has made the same decision as the PR (s 3.2 and 3.3 NP 11-202). | Issued Decision Document (Final and Amendment to Final) |
| Decision Document (Preliminary and Amendment to Preliminary) | Receipt for the preliminary and amendment to the preliminary prospectus issued by the PR, which triggers a deemed receipt in each other passport jurisdiction where the prospectus is filed, and evidences the receipt of the OSC in a dual prospectus, if the OSC has made the same decision as the PR (s 3.2 and 3.3 NP 11-202). | Issued Decision Document (Preliminary and Amendment to Preliminary) |
| Receipt for Final and Amendment to Final Prospectus | Receipt for a final and amendment to the final prospectus when it is only filed in the local jurisdiction. | Issued Receipt for Final and Amendment to Final Prospectus |
| Receipt for Preliminary and Amendment to Preliminary Prospectus | Receipt for a preliminary and amendment to the preliminary prospectus when it is only filed in the local jurisdiction | Issued Receipt for Preliminary and Amendment to Preliminary Prospectus |
| Refusal Letter | A letter from the regulator indicating that it was incorrect to transmit the filing through SEDAR+. | Sent Refusal Letter |
Some filing statuses are set manually by the regulator (e.g., Clear for Final) and are not triggered by the submission of a formal correspondence document submission. The following table lists filing statuses that are set manually by the regulator along with a description of each.
| Filing Status | Description |
| Received by Agency | The recipient agency has successfully downloaded the filing. Note: This status applies to only the documents which the recipient agency has selected to download. |
| Not Clear for Amendment to Preliminary | The PR is not satisfied with the responses to its comments on the amended preliminary prospectus and cannot issue a preliminary receipt or decision document for an amended prospectus. |
| Clear for Amendment to Preliminary | The PR is satisfied with the responses to its comments but has not yet issued a preliminary receipt or decision document for an amended prospectus. |
| Under Review | The filing is under review. |
| Opt Out | The NPR has opted out of the dual or coordinated review filing. |
| Received Other Correspondence | The filer’s other correspondence has been received. |
| Clear for Final | The PR is clear to receive final prospectus materials. |
| Not Clear for Final | The PR still has outstanding issues with the prospectus filing and retracts the Clear for Final status. |
| Opt Back In – Clear for Final | The NPR has opted back in to the dual review and is clear to receive final prospectus materials. |
| Reconfirmation of Clear for Final Requested | The PR has requested the NPR to confirm it is “Clear for Final”. |
| Reconfirmed Clear for Final | The NPR has reconfirmed that it is “Clear for Final”. |
| Agree with Principal Regulator Decision | The NPR has indicated that it agrees with the PR’s decision for an application. |
| Opt Out – First Amendment to Final | The NPR has opted out of the dual review for the first amendment to the final prospectus. |
| Not Clear for First Amendment to Final | The PR still has outstanding issues with the prospectus filing and retracts the Clear for First Amendment to Final status. |
| Clear for First Amendment to Final | The PR is clear to issue the receipt for the first amendment to the final prospectus. |
| Opt Back In – Clear for First Amendment to Final | The NPR has opted back into the dual review for the first amendment to the final prospectus. |
| Reconfirm. Clear for Final Requested-1st Amend. Final | The PR has requested the NPR to confirm it is “Clear for Amendment to Final” for the first amendment to the final prospectus. |
| Reconfirmed Clear for First Amendment to Final | The NPR has reconfirmed that it is “Clear for first amendment to the final prospectus”. |
| Opt Out – Second Amendment to Final | The NPR has opted out of the dual review for the second amendment to the final prospectus. |
| Not Clear for Second Amendment to Final | The PR still has outstanding issues with the prospectus filing and retracts the status “Clear for Second Amendment to Final”. |
| Clear for Second Amendment to Final | The PR is clear to issue the receipt for second amendment to the final prospectus. |
| Opt Back In-Clear for Second Amendment to Final | The NPR has opted back into the dual review for the second amendment to the final prospectus. |
| Reconfirm. Clear for Final Requested-2nd Amend. Final | The PR has requested the NPR to confirm it is “Clear for Second Amendment to Final” for the second amendment to the final prospectus. |
| Reconfirmed Clear for Second Amendment to Final | The NPR has reconfirmed that it is “Clear for second amendment to the final prospectus”. |
| Opt Out – Third Amendment to Final | The NPR has opted out of the dual review for the third amendment to the final prospectus. |
| Not Clear for Third Amendment to Final | The PR still has outstanding issues with the prospectus filing and retracts the status “Clear for Third Amendment to Final”. |
| Clear for Third Amendment to Final | The PR is clear to issue the receipt for third amendment to the final prospectus. |
| Opt Back In – Clear for Third Amendment to Final | The NPR has opted back into the dual review for the third amendment to the final prospectus. |
| Reconfirm. Clear for Final Requested-3rd Amend. Final | The PR has requested the NPR confirm it is “Clear for Third Amendment to Final” for the third amendment to the final prospectus. |
| Reconfirmed Clear for Third Amendment to Final | The NPR has reconfirmed that it is “Clear for third amendment to the final prospectus”. |
| Opt Out – Subsequent Amendment to Final | The NPR has opted out of the dual review for the subsequent amendment to the final prospectus. |
| Not Clear for Subsequent Amendment to Final | The PR still has outstanding issues with the prospectus filing and retracts the status Clear for Subsequent Amendment to Final. |
| Clear for Subsequent Amendment to Final | The PR is clear to issue the receipt for the subsequent amendment to the final prospectus. |
| Opt Back In – Clear for Subsequent Amendment to Final | The NPR has opted back into the dual review for the subsequent amendment to the final prospectus. |
| Reconfirm. Clear Final Requested-Subseq. Amend. Final | The PR has requested the NPR confirm it is “Clear for Subsequent Amendment to Final” for the subsequent amendment to the final prospectus. |
| Reconfirmed Clear for Subsequent Amendment to Final | The NPR has reconfirmed that it is “Clear for Subsequent Amendment to Final” prospectus. |
| Sent Acknowledgement to Evidence Exemption by a Receipt | The PR has sent an acknowledgement to evidence exemption by a receipt. |
| No Comments – AIF | The PR has no comment on the AIF. |
| Withdrawn | The issuer has withdrawn the filing. |
| Review of Submission Completed | The PR has completed their review of a specific submission contained in the prospectus filing. Market Centre Status* |
| Approved | The TSX-V has approved the filing. Market Centre Status* |
| Conditionally Approved | The TSX-V has conditionally approved the filing. Market Centre Status* |
| No Objection | The TSX-V has no objection with the content of the filing. Market Centre Status* |
| Opt in | A NPR has opted into a Dual or Coordinated review of an Application, Pre-filing or Waiver Application filing. |
| Closed by Regulator | The PR has closed the file. |
| Removed from Agency | The regulator has been removed as a recipient agency from the filing. |