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Weekly Reports

Updates for the week ending April 15, 2011

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Policies and Instruments

  • BCN 2011/07 - Advance Notice of Amendments to National Instrument 31-103 Registration Requirements and Exemptions, related forms and Companion Policy 31-103CP and Amendments to National Instrument 33-109 Registration Information, related forms and Companion Policy 33-109CP

    This notice announces the expected adoption of amendments to National Instrument 31-103 Registration Requirements and Exemptions, related forms and Companion Policy 31-103CP and amendments to National Instrument 33-109 Registration Information, related forms and Companion Policy 33-109CP.  The changes reflect the results of industry consultation and our experience working with the national registration rule since its adoption in September 2009. They aim to enhance investor protection and improve the day-to-day operation of the national registration rule for both industry and regulators.
     
    Provided we receive all necessary approvals, including ministerial approval, the amendments will come into force on July 11, 2011.

  • BCN 2011/08 - Notice of Publication for Comment – Alpha Exchange Inc.

    This notice references that the Ontario Securities Commission has published for comment Alpha Exchange Inc.’s application for recognition as a stock exchange and that the Autorité des Marches Financiers du Québec has published Alpha Exchange Inc.’s application for an exemption from recognition as an exchange.  

News and Events

Decisions, Settlements, Hearings, and Temporary Orders

(Enforcement)

Cease Trade Orders and Revocations

(Failure to File)

Exemption Orders