NIN 96/08 - Revised Indices of Notices and Interpretation Notes, Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act, Securities Regulation and Securities Rules [NIN - Rescinded]

Published Date:	1996-02-16
Effective Date:	1996-02-15

Effective February 15, 1996, the Commission is rescinding the indices dated effective June 30, 1995 of the Notices and Interpretation Notes, Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act and Securities Regulation and substituting the indices attached to this Notice.

The NIN index contains only the NINs that are in effect and that have been lapsed since the publication of the previous index. The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect. The index of BORs contains only the BORs that are in effect.

NINs, BORs, LPSs and Forms will be amended in due course to correct section references that have changed as a result of the coming into force of the Securities Regulation, B.C. Reg. 478/95 ("New Regulation"), Securities Rules, B.C. Reg. 479/95 (the "Rules") and Registration Transfer Rules, B.C. Reg. 477/95 and the repeal of the Securities Regulation, B.C. Reg. 270/86 (the "Old Regulation") and the Registration Transfer Regulation, B.C. Reg. 286/86 (the "Old RTR"). Until the updated NINs, BORs, LPSs and Forms are published, they should be read to refer, with the necessary changes, to the appropriate sections of the New Regulation and Rules. Refer to the Table of Concordance at p. 478 of the Commissions Special Supplement to the Weekly Summary, published for the week ending November 24, 1995, to update section references from the Old Regulation and the Old RTR.

DATED at Vancouver, British Columbia, on February 14, 1996.

Douglas M. Hyndman
Chair


SECURITIES ACT

INDEX OF NOTICES AND INTERPRETATION NOTES

Effective February 15, 1996

NIN #	Date of NIN (mm/dd/yy)	Description	Status (mm/dd/yy)
87/45	06/11/87	Technical reports on mining properties accompanying prospectuses submitted for acceptance by the Superintendent of Brokers	in effect
87/52	07/24/87	Flow-through shares	in effect
87/66	10/09/87	Prospectus vetting procedures	in effect
87/67	10/09/87	Leveraged mutual fund purchases	in effect
88/5	03/31/88	Guidelines for applications to the Securities Commission or the Superintendent of Brokers for decisions or orders	lapsed 01/01/96
88/7	06/01/88	Venture capital issuers	in effect
88/10	06/02/88	"Full disclosure" in financial statements	in effect
88/11	06/06/88	The effect of criminal and civil litigation on trading rights and registration	in effect
88/40	11/09/88	Sale of mutual funds by financial institutions - principles of regulation	in effect
88/43	11/18/88	Form 20A - clarification of requirements	lapsed 11/23/95
88/45	12/01/88	National Policy Statement No. 41 - shareholder communication - removal of exemption	in effect
88/48	12/20/88	Full service and discount brokerage activities by financial institutions - principles of regulation	in effect
89/3	01/20/89	Conflict of interest rules statement - clarification of filing requirements	in effect
89/13	03/02/89	Statutory filings	in effect
89/17	04/06/89	Local Policy Statement 3-45 - designation as a reporting issuer and business investor offerings	in effect
89/21	07/21/89	Orders pursuant to section 145 of the Securities Act - removal of trading exemptions	in effect
89/29	10/13/89	Interpretation note - meaning of "the public"	lapsed 12/21/95
89/30	10/13/89	Qualifications of auditors filing reports	in effect
89/32	10/31/89	Required form of offering memorandum	in effect
89/34	11/17/89	Settlements with the British Columbia Securities Commission	in effect
89/35	11/24/89	Disclosure of promotional or investor relations arrangements	in effect
89/36	11/15/89	Disclosure of experience of directors, officers, promoters and control persons	in effect
89/43	12/21/89	Local Policy Statement 3-07	in effect
90/4	02/09/90	National Policy No. 39 - mutual funds distributor's report and auditor's letter	in effect
90/7	03/07/90	Dual employment of individuals employed by financial institutions and securities registrants	in effect
90/13	04/05/90	Rights offerings	in effect
90/16	05/10/90	Principles of regulation re: activities of registrants related to financial institutions	in effect
90/20	06/07/90	Availability of weekly summary and material published under the Securities Act	in effect
90/22	06/14/90	Filing of specified forms	in effect
90/29	08/30/90	Proposals for securities firms	in effect
91/12	07/11/91	Ontario Securities Commission Policy Statement 9.1 - disclosure, valuation, review and approval requirements and recommendations for insider bids, issuer bids, going private transactions and related party transactions	in effect
91/17	09/25/91	Section 203(3)(b) of the Company Act - consent by the Superintendent of Brokers to the waiver of the appointment of an auditor for a subsidiary corporation	in effect
91/18	10/02/91	Auditor's report on comparative financial statements	in effect
91/19	10/10/91	New computer system for insider reports	in effect
91/20	10/31/91	Comparative interim financial statements	in effect
91/21	11/01/91	Accounting for business combinations and corporate reorganizations	in effect
91/22	11/13/91	Guide for use of the multijurisdictional disclosure system by Canadian issuers in the U.S. market	in effect
91/23	12/12/91	Introduction of Interim Local Policy Statement 3-43 - government strip bonds	lapsed 02/08/95
92/2	02/06/92	Communication with the Securities Commission	in effect
92/3	02/12/92	Waivers consequential to Local Policy Statement 3-07	in effect
92/4	03/05/92	Draft National Policy Statement No. 46 - index and commodity warrants and other derivative securities	in effect
92/8	05/07/92	Ontario Securities Commission Policy No. 4.8 - non-resident advisers	in effect
92/15	06/25/92	Securities Amendment Act, 1992	lapsed 11/23/95
92/18	07/10/92	Required form of personal information	in effect
92/19	07/16/92	Revised Draft Local Policy Statement 3-04 - filing of assessment reports	lapsed 10/05/94
92/21	07/16/92	Proposed junior POP system - request for comment	in effect
92/22	07/16/92	Fiscal agency agreements - request for comment	lapsed 02/15/96
92/24	07/24/92	Amendments to the Securities Act	lapsed 11/23/95
92/29	11/06/92	Accounting for performance shares	in effect
92/30	11/26/92	National Policy Statement No. 39 - mutual funds - draft section 2.09 - certain related parties acting as principals in purchases or sales of portfolio debt securities and proposed revocation of section 4.03 - dealer manager acting as principal	in effect
93/2	01/07/93	Specification of required forms under the Securities Act and Securities Regulation	lapsed 02/15/96
93/5	02/17/93	Section 115(3)(f) of the Securities Regulation - time limit for raising a minimum subscription	lapsed 11/23/95
93/8	04/01/93	Money laundering: new federal regulations	in effect
93/12	06/10/93	Restriction applicable to the solicitation of expressions of interest under BOR#91/7 and BOR#93/1	in effect
93/16	08/19/93	Draft National Policy Statement No. 53 - foreign issuer prospectus and continuous disclosure system	in effect (see CSA Notice #95/4)
93/18	09/09/93	Fiscal agency agreement - restrictions on exemption orders	in effect
93/21	11/25/93	Fiscal agency agreements - application for discretionary exemption orders	lapsed 02/15/96
93/23	12/16/93	Executive compensation	in effect
93/24	12/22/93	Exemption for filing notice of networking arrangements governed by the principles of regulation	in effect
94/2	01/06/94	Filing requirements for annual information forms	in effect
94/4	05/17/94	Decision of the Court of Appeal for British Columbia in the matter of Hamelin v. Seven Mile High Group Inc.	lapsed 02/15/96
94/5	06/08/94	National Policy Statement No. 39 - definition of debt-like securities	in effect
94/6	06/08/94	Proposed Interpretation Note on sections 31(2)(21) and 55(2)(18) of the Securities Act - request for comment	lapsed 12/21/95
94/9	07/26/94	Amendments to sections 154.3 and 154.4 of the Securities Act	lapsed 02/15/96
94/12	09/21/94	Joint release of IOSCO/BIS derivatives papers	lapsed 02/15/96
94/13	10/05/94	Summary of legislative and policy initiatives	lapsed 11/23/95
94/14	10/05/94	Proposed amendments to the Securities Act	lapsed 07/06/95
94/15	10/05/94	Proposed amendments to Securities Regulation	lapsed 11/23/95
94/16	10/05/94	Draft amended Local Policy Statement 3-22 - Registration requirements	lapsed 12/07/95
94/17	10/05/94	Form 12A - prospectus for a junior industrial issuer, interim Local Policy Statement 3-17 - registrant due diligence and related disclosure initiatives	lapsed 02/15/96
94/18	10/05/94	Form 12A - prospectus for a junior industrial issuer	lapsed 02/14/96
94/19	10/12/94	Draft amended National Policy Statement No. 41 - security holder communication	in effect
94/20	10/14/94	Draft National Policy Statement No. 43 - advertisements of securities and related sales practices	in effect
94/21	11/03/94	Expedited review of short form prospectus and renewal AIFs	in effect
94/22	11/01/94	Permission under section 35(1)(c) of the Securities Act	in effect
94/24	11/09/94	Part XIII of the Regulation to the Securities Act (Ontario) - conflict of interest: related and connected issuers	lapsed 06/28/95
94/25	11/23/94	Amendments to the Securities Act	lapsed 11/23/95
94/26	11/23/94	Required form under section 32(g) of the Securities Act	lapsed 02/14/96
94/27	11/23/94	New form of certificate under section 60(3) of the Securities Act	lapsed 12/14/95
94/28	11/23/94	Proposed amendments to the Securities Act	lapsed 07/06/95
94/29	12/22/94	Transitional relief - Interim Local Policy Statement No. 3-17 - registrant due diligence	lapsed 02/28/95
95/4	01/05/95	Amendments to Local Policy Statement 3-02, Blanket Order #95/1 and Form 12A summary prospectus disclosure system	lapsed 02/15/96
95/5	01/04/95	Principles of fair trading	in effect
95/6	01/12/95	Draft amendments to Form 30 and additional draft amendments to Section 146 of the Securities Regulation	lapsed 11/23/95
95/7	01/12/95	Duties of registrants in the supervision of accounts operating under powers of attorney or trading authorities	in effect
95/8	01/26/95	Task force on operational efficiencies in the administration of Securities Regulation - interim report	lapsed 07/06/95
95/9	02/08/95	Government strip bonds - information statement - Local Policy Statement 3-43 - Blanket Order #91/12	in effect
95/10	02/09/95	Proposed amendments to the Securities Act, Securities Regulation and Vancouver Stock Exchange Act	lapsed 01/11/96
95/11	02/16/95	Proposed amendments to the Securities Act concerning related party transactions involving mutual funds	lapsed 07/06/95
95/12	03/01/95	Executive compensation and indebtedness disclosure - Ontario staff report	in effect
95/13	03/16/95	Amendments to the Securities Regulation relating to filing requirements and fees applicable to certain mutual funds	lapsed 02/15/96
95/14	03/23/95	Amendments to the insider report form (Form 36)	lapsed 02/14/96
95/15	03/23/95	Interpretation note - disclosure of securities under "control or direction"	in effect
95/16	04/20/95	Amendments to Form 30 (information circular)	lapsed 02/14/96
95/17	04/20/95	Form 14A - information required in prospectus of a natural resource issuer	lapsed 02/14/96
95/18	04/20/95	Draft National Policy Statement No. 54 - expedited registration system for advisers	in effect
95/19	04/20/95	Form 61 - quarterly report	lapsed 02/14/96
95/20	04/26/95	Draft Forms 12B and 14B - information required in exchange offering prospectus of an industrial issuer and information required in exchange offering prospectus of a natural resource issuer	lapsed 11/16/95
95/21	05/11/95	Decisions of the B.C. Securities Commission	in effect
95/22	06/01/95	Release of IOSCO/BIS joint report on the framework for supervisory information about the derivatives activities of banks and securities firms	in effect
95/23	06/14/95	Securities Amendment Act (No. 1), 1995	lapsed 02/15/96
95/24	06/22/95	Fee payments under the Securities Act and the Commodity Contract Act	in effect
95/25	06/22/95	Revocation of Blanket Order #87/18	lapsed 02/15/96
95/26	06/28/95	Report of Committee on Underwriting Conflicts of Interest - request for comment	lapsed 01/24/96
95/27	06/29/95	Revised indices of notices and interpretation notes, blanket orders and rulings, local policy statements and forms under the Securities Act and Securities Regulation	lapsed 02/15/96
95/28	07/06/95	Securities Amendment Act (No. 2), 1995	lapsed 11/23/95
95/29	07/06/95	Task Force on Operational Efficiencies in the Administration of Securities Regulation - final report	in effect
95/30	07/20/95	Amendment to Section 132 of the Securities Act	lapsed 02/15/96
95/31	07/27/95	Form 12A and Form 14A summary prospectus disclosure system - amendments to Local Policy Statement 3-02	lapsed 02/15/96
95/32	08/02/95	XXth annual conference of IOSCO, Paris, July 10-13, 1995	lapsed 02/15/96
95/33	09/28/95	Amendments to the Securities Act	lapsed 11/23/95
95/34	09/28/95	British Columbia Securities Commission response to the request for comments from the Ontario Securities Commission task force on small business financing	in effect
95/35	10/19/95	McKenzie Investigation report released	in effect
95/36	11/16/95	Exchange offering prospectus forms	in effect
95/37	11/16/95	Specification of exchange offering prospectus forms	lapsed 02/14/96
95/38	11/23/95	Information sessions on rules, amendments to the Securities Act and repeal and replacement of the Regulation and Registration Transfer Regulation	lapsed 02/15/96
95/39	11/23/95	Rules, amendments to the Securities Act and repeal and replacement of the Regulation and Registration Transfer Regulation	in effect
95/40	11/23/95	Amendments to the Securities Act	in effect
95/41	11/23/95	Rules	in effect
95/42	11/22/95	Repeal and replacement of the Regulation	in effect
95/43	11/23/95	Repeal and replacement of the Registration Transfer Regulation	in effect
95/44	11/23/95	New Forms 1A, 20A(IP) and 20A(NIP)	lapsed 02/14/96

95/45	11/23/95	Repeal of Local Policy Statement 3-30	in effect
95/46	11/30/95	Processing applications for discretionary relief before year end	lapsed 01/01/96
95/47	12/7/95	Local Policy Statement 3-22 (registration requirements)	in effect
95/48	12/7/95	Repeal of Interim Local Policy Statement 3-22, Local Policy Statement 3-38, Local Policy Statement 3-42, Local Policy Statement 4-1 and Local Policy Statement 4-2	in effect
95/49	12/7/95	Specification of offering documents requiring written underwriting procedures and registration as an underwriter	in effect
95/50	12/14/95	Two further information sessions on Securities Rules, amendments to the Securities Act and repeal and replacement of the Securities Regulation and Registration Transfer Regulation	lapsed 02/15/96
95/51	12/14/95	New and revised forms (registration)	lapsed 02/14/96
95/52	12/14/95	Insider reporting - third party options	in effect
95/53	12/14/95	New form of certificate under section 60(3) of the Securities Act	in effect
95/54	12/14/95	Transitional market-making relief for control persons	in effect
95/55	12/21/95	Exchange offering prospectuses - amendments to Local Policy Statement 3-02	in effect
95/56	12/21/95	Interim Local Policy Statement 3-24 - statutory and discretionary exemptions	in effect
95/57	12/21/95	Local Policy Statement 3-44 - recognition of self regulatory body, exchanges and jurisdictions	in effect
95/58	12/21/95	Blanket Order #95/13 - mutual funds and the purchases and sales of certain debt securities from and to the account of responsible persons	in effect
95/59	12/21/95	Application of Section 30 of the Act to trust companies	in effect
95/60	12/21/95	Hold period for securities of exchange issuer issued under Section 55(2)(18) of the Securities Act	in effect
96/1	01/04/96	Information sessions in Kelowna, Kamloops, Prince George and Victoria	lapsed 02/15/96
96/2	01/11/96	Rule Making Procedure Regulation	in effect
96/3	01/11/96	Toronto Stock Exchange Committee on Corporate Disclosure - interim report	in effect
96/4	01/11/96	IDA Committee on Take-Over Bid Time Limits - request for submissions	in effect
96/5	01/23/96	Clarification of transitional market-making relief for control persons	in effect
96/6	01/24/96	Supplementary report of the committee on underwriting conflicts of interest to the CSA chairs	in effect
96/7	02/14/96	Specification of required forms under the Securities Act, Securities Regulation and Securities Rules	in effect
96/8	02/14/96	Revised indices of notices and interpretation notes, blanket orders and rulings, local policy statements and forms under the Securities Act, Securities Regulation and Securities Rules	in effect

SECURITIES ACT

INDEX OF BLANKET ORDERS AND RULINGS

Effective February 15, 1996

BOR #	Date of BOR (mm/dd/yy)	Description	Status (mm/dd/yy)
87/29	06/11/87	A policy of the Toronto Stock Exchange on small shareholder selling and purchase arrangements	in effect
87/30	06/11/87	A policy of the Montreal Exchange on small shareholder selling and purchase arrangements	in effect 05/26/87
88/2	08/12/88	The definition of "exchange issuer"	in effect 09/01/88
88/3	08/12/88	Transitional rules respecting securities traded prior to September 1, 1988 under an exemption from section 42 of the Securities Act	in effect 09/01/88
88/11	11/28/88	Conflict of interest rules statement and confirmation and reporting of transactions by registrants	in effect
89/1	01/26/89	Registration of persons trading in IOCC options	in effect
89/2	03/17/89	Requirement to send interim financial statements to shareholders of a reporting issuer	in effect 03/01/88
89/8	10/13/89	Reporting companies under the British Columbia Company Act and the definition of "reporting issuer"	in effect 11/01/89
89/10	10/31/89	Required form of offering memorandum	in effect 11/01/89
90/1	01/29/90	Trades of government warrants	in effect
90/2	02/27/90	Trades in shares issued in accordance with the Employee Investment Act	in effect
90/4	10/11/90	Trades in deposit-type or self-directed registered educational savings plans	in effect
91/2	05/03/91	Rules for shelf prospectus offerings and for pricing offerings after the prospectus is receipted	in effect 05/10/91
91/5	06/06/91	Resale of rights acquired under a rights offering	in effect 07/01/91
91/6	06/06/91	Recognition of certain countries and political divisions of countries issuing bonds, debentures or other evidence of indebtedness	in effect 07/01/91
91/7	06/25/91	Multijurisdictional disclosure system	in effect 07/01/91 (see NIN#93/12)
91/8	08/01/91	Registration of persons trading in TCO commodity options	in effect 05/17/91
91/10	08/08/91	First renewal prospectuses filed by mutual funds under National Policy Statement No. 36	in effect
91/12	12/12/91	Government strip bonds	in effect (see NIN#95/9)
92/1	04/23/92	Fees payable by members of the press for a subscription to the Weekly Summary and for search of a file	in effect
92/2	08/06/92	Limitations on a registrant underwriting securities of a related party or connected party of the registrant	in effect
92/3	11/18/92	Revocation of BOR#91/11 and recognized options traded through recognized clearing agencies (recognized options rationalization order)	in effect 08/11/92
93/1	02/17/93	Prompt offering qualification system	in effect 02/19/93 (see NIN#93/12)
93/3	06/16/93	The multijurisdictional disclosure system	in effect
93/4	12/22/93	Networking arrangements governed by the principles of regulation	in effect
94/1	11/23/94	Prompt offering qualification system - memorandum of understanding for expedited review of short form prospectuses and renewal AIFs	in effect 11/23/94 (see NIN#94/22)
95/1	01/05/95	Form 12A summary prospectus disclosure system	revoked (see BOR#95/4 for effective date)
95/3	07/27/95	Form 12A and 14A summary prospectus disclosure system	revoked (see BOR#95/11 for effective date)
95/4	07/27/95	Form 12A and Form 14A summary prospectus disclosure system - revocation order	in effect 08/01/95
95/5	10/26/95	Filing insider reports by facsimile	in effect 11/01/95
95/6	12/7/95	Continuing relief from certain registration requirements	in effect 01/01/96
95/7	12/14/95	Distributions by a control person through a disclosed market-making account	in effect 01/01/96 (expires 06/30/96)
95/8	12/15/95	Transitional relief	in effect 01/01/96
95/9	12/14/95	Continuing relief for financial statements of certain foreign issuers	in effect 01/01/96
95/10	12/21/95	The summary prospectus disclosure system	in effect 01/01/96 (see NIN#95/55)
95/11	12/21/95	Revocation of BOR#95/3	in effect 01/01/96 (see NIN#95/55)
95/12	12/21/95	Trust companies, insurers and portfolio managers in the other provinces and territories of Canada	in effect 01/01/96
95/13	12/21/95	Mutual funds and the purchases and sales of certain debt securities from and to the account of responsible persons	in effect
95/14	12/21/95	Application of section 30 of the Act to trust companies	in effect 01/01/96 (expires 12/31/96)
95/15	12/21/95	Acting as an adviser with respect to certain securities	in effect 01/01/96
95/16	12/21/95	Trades of negotiable promissory notes or commercial paper to individuals	in effect 01/01/96
95/17	12/21/95	Legending of certificates	in effect 01/01/96
95/19	12/21/95	The hold period for securities issued by an exchange issuer under section 55(2)(18) of the Act	in effect 01/01/96 (see NIN#95/60)
95/20	12/21/95	Transitional relief from recognized resale requirements	in effect 01/01/96
95/21	12/28/95	Trades in securities of non reporting issuers	in effect 01/01/96
95/22	12/28/95	Transitional relief from recognized resale requirements relating to securities of issuers that filed an application for listing with the Vancouver Stock Exchange	in effect 01/01/96
96/1	01/11/96	Trades by control persons of securities acquired under section 55(2)(8) of the Act	in effect 01/01/96

SECURITIES ACT

INDEX OF LOCAL POLICY STATEMENTS

Effective February 15, 1996

Policy #	Date of Policy (mm/dd/yy)	Description	Status (mm/dd/yy)
3-01	02/01/87	Factors to be considered in arriving at a decision that a natural resource property has sufficient merit to justify an expenditure thereon of risk capital derived from public subscription	in effect (see NIN#89/43)
3-02	12/21/90	Prospectus filing requirements	in effect 02/04/91 (see NIN#95/55)
3-03	02/01/87	Requirements re filing of preliminary prospectuses and prospectuses (national issues)	in effect
3-04		Replaced	replaced by LPS#3-17
3-05	02/01/87	Rights offerings to shareholders	in effect (see NIN#90/13)
3-06	02/01/87	Prospectus guidelines for the mortgage investment issuer	in effect
3-07	12/21/89	Policy guidelines respecting trading shares, performance shares and other consideration	in effect 03/01/90
3-08		Rescinded	rescinded by LPS#3-07
3-09		Rescinded	rescinded by LPS#3-07
3-10		Rescinded	rescinded by LPS#3-07
3-11		Rescinded	rescinded by NIN#89/28
3-12	01/26/90	Rules for proceedings	in effect 02/01/90
3-13	02/01/87	Policy guidelines for a venture capital issuer planning to make a distribution	in effect (see NIN#88/7 and NIN#89/43)
3-14	09/09/93	Application for insider reporting exemptions	in effect 09/09/93
3-15	07/07/89	Exempt purchaser status	in effect 07/15/89
3-16	08/14/90	Registration for securities and insurance	in effect
3-17	01/06/95 (Interim)	Registrant due diligence	in effect
3-18		Reserved
3-19	02/01/87	Vancouver Stock Exchange listings	in effect
3-20		Reserved
3-21	02/01/87	Share and unit offerings of unlisted issuers and options and warrants available to registrants participating in such offerings	in effect (see NIN#89/43)
3-22	12/07/95	Registration requirements	in effect 01/01/96
3-23		Reserved
3-24	12/21/95 (interim)	Statutory and discretionary exemptions	in effect 01/01/96
3-25	02/01/87	Re: natural resource issuer - "best efforts" prospectus and amendments to prospectus arising from market conditions	in effect
3-26	02/01/87	Statement of material facts submitted to the Superintendent of Brokers and the Vancouver Stock Exchange for vetting	rescinded by amendment to LPS#3-02 (see BOR#95/8)
3-27		Reserved
3-28		Reserved
3-29		Reserved
3-30	02/01/87	Underwriter's conflict of interest	rescinded by NIN#95/45
3-31	02/01/87	Incentive options to directors and employees - unlisted issuers	in effect
3-32		Reserved
3-33	02/01/87	R.R.S.P.'s administered by brokers on behalf of authorized trustees	in effect
3-34	02/01/87	Application for non-reporting status	in effect
3-35	10/13/89	Reactivation of dormant issuers	in effect 11/01/89
3-36		Reserved
3-37	02/01/87	Restricted shares (uncommon equities) distributions and disclosure	in effect
3-38	02/01/87	Registration of non-residents - Securities Act	rescinded by NIN#95/48; replaced by LPS#3-22
3-39	02/01/87	Guidelines for advertising issues of securities and for promotional activities during the course of a distribution	in effect
3-40		Replaced	replaced by NP47 and BOR #93/1
3-41	02/01/87	Lawyer's conflict of interest	in effect
3-42	02/01/87	Registered representatives continued fitness for registration	rescinded by NIN#95/48; replaced by LPS#3-22
3-43	12/12/91 (interim)	Government Strip Bonds	in effect (see NIN#95/9)
3-44	12/21/95	Recognition of self regulatory body, exchanges and jurisdictions	in effect 01/01/96
3-45	04/06/89 (draft)	Designation as a reporting issuer and business investor offerings	in effect 04/07/89 (see NIN#89/17)

SECURITIES ACT

INDEX OF FORMS

Effective February 15, 1996

Form #	Title	Securities Act, Regulation or Rule Section or Form
1	Summons to attend before an investigator under section 128 of the Act	Reg 10(1)
1A	Demand for production of records and things and classes of records and things under section 128 of the Act	Reg 10(2)
2	Affidavit of service	Reg 11
3	Application for registration as dealer, advisor or underwriter	Act 20(2)
4	Uniform application for registration/approval	Act 20(2)
4A	(Abbreviated application for registration/approval - mutual fund salesman of financial institution)	Act 20(2)
4B	Personal information for directors, officers, promoters & control persons	Act 73.1
5	Uniform application for renewal of licence or registration	Act 20(2)
6	Reserved
7	Application for amendment of registration as dealer, advisor or underwriter	Act 20(2), 28(1) & (2)
7X	Addendum to form 7	Act 28(1) & (2)
7A	Application for transfer/change of status	Act 20(2) & 28(3)
8	Summons for an examination under section 24(c) of the Act	Rule 18
9	Joint regulatory financial questionnaire and report	Rule 1 & 70(1)
9A	Report of risk adjusted capital	Rule 70(2)
10	Reserved
11	Application for exempt purchaser status	Rule 88
12	Information required in prospectus of industrial issuer	Act 42(2) (see NIN#93/23)
12A	Information required in prospectus of junior industrial issuer	Act 42(2) (see NIN#95/31)
12B	Information required in exchange offering prospectus of an industrial issuer	Act 42(2) (see NIN#95/55)
13	Information required in prospectus of finance issuer	Act 42(2) (see NIN#93/23)
14	Information required in prospectus of natural resource issuer	Act 42(2) (see NIN#93/23)
14A	Information required in prospectus of a natural resource issuer	Act 42(2) (see NIN#95/31)
14B	Information required in exchange offering prospectus of a natural resource issuer	Act 42(2) (see NIN#95/55)
15	Information required in prospectus of mutual fund	Act 42(2) (see NIN#93/23)
16	Escrow agreement (relating to performance shares)	Rule 120(2)(g)
17	Revoked (03/01/90)
18	Revoked (09/01/88)
19	Reserved
20	Report of exempt distribution	Rule 139
20A (IP)	Acknowledgment of individual purchaser	Rule 135
20A (NIP)	Acknowledgment of a purchaser that is not an individual purchaser	Rule 135
21,21A & 22	Revoked (09/01/88)
23	Notice of intention to sell and declaration pursuant to section 117(c) and (d) of the Securities Regulation [effective 01/01/96: "pursuant to section 128(d) of the Securities Rules"] (NB: also applies to sales under section 55(2)(1), (3), (4), (6) or (16)(ii) of the Act)	Rule 136
24	Revoked (01/01/96) but see BOR#95/8
25	Put option contract	Act 58(b)(iii)
26	Call option contract	Act 58(b)(iii)
27	Material change report under section 67(1) of the Act	Act 67(1) & Rule 151
28	Annual filing of reporting issuer	Rule 184(2) (see NIN#93/23)
29	Finance company questionnaire and financial report	Rule 150(2)
30	Information circular	Act 31(2)(9)(iv), 55(2)(8)(iv), & 101(2)(a) & (b) (see NIN#93/23)
31	Notice of intention to make an issuer bid	Act 81(f)
32	Take over bid circular	Act 90(7)
33	Issuer bid circular	Act 90(7)
34	Directors' circular	Act 91(8)
35	Director's or officer's circular	Act 91(8)
36	Insider report	Act 70(2) & (4) & Rule 137(1) (15 & NIN#95/52)
37	Reserved
38	Revoked (01/01/96)
39	Report of a mutual fund manager required under section 109 of the Act	Act 109
40	Endorsement of warrant	Act 139(1)
41	Statement of executive compensation	Form 30, Item 6 (see NIN#93/23)
42	Reserved
43	Offering memorandum	Rule 133(1)(c)
43A	Offering memorandum - immigrant investor program	Rule 133(1)(c)
44-49	Reserved
50	Short form of [effective 01/01/96: "simplified"] prospectus of a mutual fund	Act 42(3)
51	Annual information form of a mutual fund	Rule 100(2)(b)
52	Financial statements of a mutual fund	Rule 113 & 145(2)(c)
53	Trust agreement	Rule 23
54	Technical report on mineral properties excluding oil and gas	Rule 109
55	Technical report on oil and gas properties	Rule 109
56-57	Reserved
58	Information statement required for not-for-profit organizations	Act 32(g)(iii)
59	Reserved
60	Subordination agreement	Rule 25
61	Quarterly report	Rule 152
62	Report of working capital	Rule 19(3), 19(5), 20(1), 20(2), 41(1)(c) & 70(3)
63	Statement of financial condition	Rule 50(1)(g)(i) & 70(4)
64	Risk disclosure document (exchange contracts)	Rule 35
65	Managed accounts disclosure statement (exchange contracts)	Rule 35
66-68	Reserved
69	Conflict of interest rules statement	Rule 77(1)
70	Statement and undertaking pursuant to section 167.3(4) of the Securities Regulation [effective 01/01/96: "pursuant to section 77(4) of the Securities Rules"]	Rule 77(4)

SECURITIES ACT

INDEX OF REFERENCES TO A REQUIRED FORM WHERE NO FORM IS SPECIFIED

Effective February 15, 1996

Securities Act or Regulation Section or Form	Form or Requirement	Title
Act 101(1)	No form specified but must comply with items 1 and 2 of Form 30	Form of proxy
Rule 45(1)	No form specified	Offering document requiring underwriters to have written prudent business procedures
Rule 87	No form specified	Offering document requiring registration as an underwriter