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Weekly Reports

Updates for the week ending February 23, 2007

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Policies and Instruments

  • BC Notice 2007/04 - Request for Comment Proposed National Instrument 31-103 Registration Requirements, Companion Policy 31-103CP Registration Requirements, related forms, and proposed BC Instrument 3*-5** Registration Requirements

    The proposed rule, companion policy, and related forms will create streamlined, harmonized, and modernized national registration requirements for all Canadian registrants. It is the foundation for moving to a successful passport system for registration. Comments received by June 20, 2007 will be considered.

  • BC Notice 2007/05 - Revocation of BC Instrument 33-511

    BC Instrument 33-511 Exemptions to extend certain NRD submission dates is being revoked as it is no longer necessary due to the expiry of the submission dates and in light of MI 31-102 National Registration Database

  • BC Notice 2007/06 - Adoption of BC Instrument 15-501 Disclosure of Investigation Information and BC Policy 15-501CP

    This instrument describes the circumstances in which Commission staff, other securities regulators and government agencies, respondents, witnesses and their counsel may disclose compelled investigation information, despite section 148 of the Securities Act. It consolidates several blanket consents and relief that the Commission has granted on an individual basis in the past.

  • CSA Staff Notice 55-314 - Use of the terms "senior officer", "officer" and "insider" in National Instrument 55-101 Insider Reporting Exemptions

    This CSA staff notice provides guidance on the use of the terms "senior officer", "officer" and "insider" in National Instrument 55-101 Insider Reporting Exemptions in jurisdictions that have repealed their definition of senior officer and amended their definition of insider.

  • BC Notice 2007/07 - Notice of Amendments to Multilateral Instrument 33-109 Registration Information, Companion Policy 33-109CP, Multilateral Instrument 31-102 National Registration Database, and Companion Policy 31-102CP

    The CSA is publishing advance notice of amendments to MI 33-109, MI 31-102, and the related Companion Policies. These amendments will include Québec in the instruments and change certain filing deadlines. The amendments are expected to come into force in all CSA jurisdictions on May 15, 2007.

News and Events

  • News Release 2007/13 - Canadian Regulators Seek Comment on Proposed Changes to Registration Regime [CSA]

Decisions, Settlements, Hearings, and Temporary Orders

Cease Trade Orders and Revocations


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Exemptions and MRRS Orders