33-510 - Exemptions to further extend certain NRD submission dates [BCI - Rescinded]

British Columbia Securities Commission

BC Instrument 33-510

The Executive Director, having considered it to be in the public interest, orders that effective immediately the attached BC Instrument 33-510 entitled "Exemptions to further extend certain NRD submission dates" is made.

July 14, 2003

L.E. Evans, C.A.
Director, Capital Markets Regulation

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(This part is for administrative purposes only and is not part of the Order)

Authority under which Order is made:

Section 171 of the Securities Act
Part 6 of Multilateral Instrument 31-102 National Registration Database
Part 7 of Multilateral Instrument 33-109 Registration Information

BC Instrument 33-510

Exemptions to further extend certain NRD submission dates

Order under section 171 of the Securities Act
section 6.1 of Multilateral Instrument 31-102 National Registration Database (MI 31-102)
and section 7.1 of Multilateral Instrument 33-109 Registration Information (MI 33-109)

1. BC Instrument 33-509 Exemptions to extend certain NRD submission dates is revoked.
2. A transition firm is exempt from the requirements in sections 7.4 of MI 31-102 to submit a completed Form 33-109F3 in NRD format within 30 business days of the NRD access date, if it submits the completed Form 33-109F3 in NRD format by November 15, 2003.
3. A transition firm is exempt from the requirements in sections 7.6 of MI 31-102 to submit a completed Form 33-109F4 in NRD format within 30 business days of the NRD access date, if it submits the completed Form 33-109F4 in NRD format by November 15, 2003.
4. An individual is exempt from the requirement in section 7.9(1)(a) of MI 31-102 to submit a completed Form 33-109F4 in NRD format within 30 business days of the NRD access date, if the individual submits the completed Form 33-109F4 in NRD format by November 15, 2003.
5. A registered firm is exempt from the requirements in sections 8.2(c) and 8.3 of MI 33-109 to submit a completed Form 33-109F3 in NRD format within 30 business days of the NRD access date, if it submits the completed Form 33-109F3 in NRD format by November 15, 2003.
6. A registered firm is exempt from the requirements in sections 8.2(a) and 8.4 of MI 33-109 to submit a completed Form 33-109F4 in NRD format within 30 business days of the NRD access date, if it submits the completed Form 33-109F4 in NRD format by November 15, 2003.
7. if a completed Form 33-109F5 is submitted by a registered individual under section 8.5 of MI 33-109 to notify the regulator about changes to the information found in a previously filed Form 4, the individual is exempt from the requirement to submit a completed Form 33-109F4 under section 7.7 of MI 31-102 and section 8.5 of MI 33-109 provided that the change does not relate to information to be reported under items 1 Name, 14 Criminal Disclosure, 15 Civil Disclosure, and 16 Financial Disclosure of Form 33-109F4.
8. if a completed Form 33-109F5 is submitted on behalf of a non-registered individual under section 8.7 of MI 33-109 to notify the regulator about changes to the information found in a previously filed Form 4, the non-registered individual’s firm is exempt from the requirement to submit a completed Form 33-109F4 under section 7.8 of MI 31-102 and section 8.7 of MI 33-109 provided that the change does not relate to information to be reported under items 1 Name, 14 Criminal Disclosure, 15 Civil Disclosure, and 16 Financial Disclosure of Form 33-109F4.
9. if a registered individual’s location of employment changes, the individual is exempt from the requirement to submit a completed Form 33-109F5 under section 8.5 of MI 33-109 and from the requirement to submit a completed Form 33-109F4 under section 7.7 of MI 31-102 and section 8.5 of MI 33-109 provided that the individual makes a change of location of employment submission in NRD within five business days of the change.
10. if a non-registered individual’s location of employment changes, the individual’s firm is exempt from the requirement to submit a completed Form 33-109F5 under section 8.7 of MI 33-109 and from the requirement to submit a completed Form 33-109F4 under section 7.8 of MI 31-102 and section 8.7 of MI 33-109 provided that the individual’s firm makes a change of location of employment submission in NRD within five business days of the change.