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Weekly Reports

Updates for the week ending October 26, 2001

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Policies & Instruments

 

  • BC Notice 2001/73 - Exemption from cold calling restrictions for Registered Dealers
    • 33-506 - Exemption from cold calling restrictions for Registered Dealers
     

This BCN announces that:

1.  All dealers registered with the Commission and the registered employees of those dealers are exempt from section 49(2) of the Securities Act; and
2.  BC Instrument 33-501 is revoked.

This instrument comes into effect on October 26, 2001.

  • BC Notice 2001/74 - Advance notice of National Instrument 33-105 Underwriting Conflicts

    This advance notice describes the underwriting conflicts rule (which creates an appropriate framework for managing conflicts and potential conflicts of interest in underwriting activities), summarizes comments received by the Canadian Securities Administrators (CSA) after the proposed underwriting conflicts rule was last published, sets out the text of proposed consequential amendments to the Securities Rules, and refers readers to the Ontario Securities Commission’s website (www.osc.gov.on.ca) for the full text of the underwriting conflicts rule and the companion policy.  If government approval is obtained, the Commission and all other members of the CSA expect to adopt the underwriting conflicts rule and the companion policy effective January 3, 2002

  • BC Notice 2001/75  - BC Instrument 55-502 Extension of Filing and Reporting Deadlines for the System for Electronic Disclosure by Insiders (SEDI)
    • 55-502 - Extension of Filing and Reporting Deadlines for the System for Electronic Disclosure by Insiders (SEDI)
    • CSA Notice 55-303 - System For Electronic Disclosure By Insiders (Sedi)- National Instrument 55-102

    This BCN advises that the Commission has made BCI 55-502. The BCI changes the effective date of certain provisions of National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI). SEDI Issuers now have from October 29, 2001 to November 19, 2001 to file their issuer profile supplements; insider and issuer event reports must be filed electronically on SEDI beginning December 17, 2001; and the move to reduce the time for filing insider reports to ten days after the trade has been postponed until SEDI is fully operational on December 17, 2001.

 

News & Events

 

 

Decisions, Settlements, Hearings, and Temporary Orders

 

 

Cease Trade Orders & Revocations


Search for cease trade orders and revocations using Market Regulation Services National CTO database

 

 

Exemptions and MRRS Orders


Some discretionary and MRRS orders are located in the Temporary Orders section of Decisions & Orders