NIN 2000/08 - Revised Indices of Commission Rules and Other Policy Documents [NIN - Rescinded]
| Published Date: | 2000-02-11 |
|---|---|
| Effective Date: | 2000-01-31 |
- Commission Rules and Other Policy Documents - Uniform Numbering System1
1 This index was previously referred to as the “Index of Documents Under National Numbering System”.
- Notices and Interpretation Notes (“NINs”)
- Blanket Orders and Rulings (“BORs”)
- Local Policy Statements (“LPSs”).
Uniform Numbering System for Commission Rules and Other Policy Documents
The Commission is in the process of changing how Commission documents are numbered in order to be consistent with the numbering system used for national documents since 1996. Most new documents (except for notices and news releases) are numbered using a 5 digit number and are found in the attached index of “Commission Rules and Other Policy Documents - Uniform Numbering System”. That index includes all national rules, national policies, forms relating to national instruments and policies, CSA notices and related documents published for comment or adopted since
January 1, 1996 and all local rules, local policies, forms relating to local rules and policies, interpretation notes and blanket orders published for comment or adopted since July 1, 1999.
The material in the index of “Commission Rules and Other Policy Documents - Uniform Numbering System” is organized first by subject matter and then by type of document. The first number indicates the subject matter of the document. The documents are divided into 9 main subject areas, indicated by the first number. Most of these major subject areas are further divided into subcategories, indicated by the second number. These subject areas and subcategories are set out in the Appendix attached to this Notice.
In addition, the numbering system distinguishes between types of documents, indicated by the third number. The documents are divided into 8 main types:
- 1 Denotes a National Instrument and any related Companion Policy or Form
- 2 Denotes a National Policy
- 3 Denotes a CSA Notice
- 4 Denotes a CSA Request for Comment
- 5 Denotes a local rule, regulation or blanket ruling and any related Companion Policy or Form
- 6 Denotes a local policy
- 7 Denotes a local Notice that provides interpretation (not a notice introducing another document)
- 8 Denotes an implementing rule.
LPSs and BORs adopted prior to July 1, 1999, and revocation orders adopted both before and after that date, can be found in the other indices attached to this notice.
NINs, BORs and LPSs
The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect. Unlike previous indices, LPSs that have been revoked during previous periods, and LPS numbers that are not used, are not included in the current LPS index.
Effective January 1, 1996, the Commodity Contract Act, R.S.B.C. 1979, c. 56 (“CCA”), was repealed. Pursuant to section 36 of the Interpretation Act, BORs under the CCA continue to have effect to the extent that the provisions in the CCA were continued under the Securities Act. However, as staff is recommending that the CCA BORs be revoked or, in the case of CCA BOR#89/4, be replaced, the CCA BORs are not included in the indices that accompany this notice.
NINs, BORs and LPSs will be amended in due course to correct section references that have changed since those documents were drafted. Until the updated NINs, BORs and LPSs are published, they should be read to refer, with the necessary changes, to the appropriate sections of the Securities Act, Securities Regulation, and Securities Rules.
A number of LPSs have been revised, replaced or rescinded in the past several years (e.g., LPS 3-17 was rescinded and LPS 3-44 was replaced by LP 21-601 (BC)). As a result, other LPSs may contain outdated references to rescinded LPSs. In addition to updating the LPSs to reflect changes to the legislation, the LPSs will also be updated in due course to reflect the changes consequential to the implementation of all new and replacement LPSs. Until the updated LPSs are published, LPSs should be read to refer, with the necessary changes, to the new and replacement LPSs.
DATED at Vancouver, British Columbia, on February 10, 2000.
Douglas M. Hyndman
Chair
Ref: NIN#99/26
LPS 3-17
LPS 3-44
LP 21-601 (BC)
This NIN refers to other documents. These documents can be found at the B.C. Securities Commission public website atwww.bcsc.bc.cain the Policy Documents Database.
APPENDIX A
Uniform Numbering System
Part I - Procedure and Related Matters
Section 1.1 - General
Section 1.2 - Applications
Section 1.3 - Filings with the Securities Regulatory Authority
Section 1.4 - Definitions
Part II - Certain Capital Market Participant
Section 2.1 - Stock Exchanges
Section 2.2 - Other Markets
Part III - Registration Requirements and Related Matters
Section 3.1 - Registration Requirements
Section 3.2 - Registration Exemptions
Section 3.3 - Ongoing Requirements Affecting Registrants
Section 3.4 - Fitness for Registration
Section 3.5 - Non-Resident Registrants
Part IV - Distribution Requirements
Section 4.1 - Prospectus Contents - Non-Financial Matters
Section 4.2 - Prospectus Contents - Financial Matters
Section 4.3 - Prospectus Filing Matters
Section 4.4 - Alternative Forms of Prospectus
Section 4.5 - Prospectus Exempt Distributions
Section 4.6 - Requirements Affecting Distributions by Certain Issuers
Section 4.7 - Advertising and Marketing
Section 4.8 - Distribution Restrictions
Section 5.1 - Disclosure - General
Section 5.2 - Financial Disclosure
Section 5.3 - Timely Disclosure
Section 5.4 - Proxy Solicitation
Section 5.5 - Insider Reporting
Section 5.6 - Restricted Shares
Section 5.7 - Cease Trading Orders
Part VI - Take-Over Bids and Special Transaction
Section 6.1 - Special Transactions
Section 6.2 - Take-Over Bids
Part VII - Securities Transactions Outside the Jurisdictio
Section 7.1 - International Issuers
Section 7.2 - Distributions Outside the Jurisdiction
Part VIII - Mutual Fund
Section 8.1 - Mutual Fund Distributions
Part IX - Derivative
Section 9.1 - Trades in Derivatives
SECURITIES ACT
INDEX OF COMMISSION RULES AND OTHER POLICY DOCUMENTS -
UNIFORM NUMBERING SYSTEM1&2
INDEX OF COMMISSION RULES AND OTHER POLICY DOCUMENTS -
UNIFORM NUMBERING SYSTEM1&2
1 See NIN#2000/8 for a discussion of the numbering system used in this Index.
2 Local Policies, Blanket Orders and Forms issued after July 1, 1999 are included in this list.
Effective January 31, 2000
Number | Date (mm/dd/yy) | Description | Status (mm/dd/yy) |
Part I - Procedure and Related Matters
NP 11-201 | 12/15/99 | Delivery of Documents by Electronic Means | in effect 01/01/2000 (see NIN#99/51) |
11-301 (CSA Staff N) | 07/02/99 | Canadian Securities Administrators Strategic Plan 1999-2001 | in effect |
| 11-401 (CSA RC) | 06/13/97 | Delivery of Documents by Issuers Using Electronic Media Concept Proposal - Request for Comment | lapsed 01/01/2000 |
NP 12-201 | 11/17/99 | Mutual Reliance Review System for Exemptive Relief Applications | in effect 01/01/2000 (see NIN#99/41) |
12-302 (CSA Staff N) | 11/19/99 | National Policy 12-201 Mutual Reliance Review System (“MRRS”) for Exemptive Relief Applications (“ERA”) ERA and Applications for Approvals or Exemptions under National Policy No. 39 “Mutual Funds” (“NP 39”) | in effect |
12-303 (CSA Staff N) | 09/17/99 | Exemptive Relief Applications and Year End | lapsed 01/31/2000 (NIN#2000/8) |
12-401 (CSA RC) | 01/23/98 | National Application System Concept Proposal - Request for Comments | lapsed 01/31/2000 (NIN#2000/8) |
NI 13-101 | 12/17/96 | System for Electronic Document Analysis and Retrieval (SEDAR) SEDAR Filer Manual | in effect 01/01/97 |
13-301 (CSA N) | 05/15/98 | SEDAR - Use of Incorrect Document Formats | in effect |
13-302 (CSA Staff N) | 10/02/98 | Notice of Changes to SEDAR Filer Software | in effect |
13-303 (CSA Staff N) | 12/11/98 | SEDAR Operational Changes | in effect |
13-304 (CSA Staff N) | 02/05/99 | Changes to SEDAR Filing Service Charges | in effect 03/01/99 |
13-305 (CSA Staff N) | 09/03/99 | SEDAR Changes for Mutual Reliance Review Systems for Prospectuses and AIFs | in effect |
NI 14-101 | 02/26/97 (amended 06/24/99) | Definitions | in effect 04/01/97 (amendment 07/01/99) |
BOR 14-501 (BC) | 11/26/99 | Definition of Exchange Issuer | in effect |
Part II - Certain Capital Market Participants
21-301 ML Staff N | 11/26/99 | Canadian Venture Exchange | in effect |
LP 21-601 (BC) | 11/26/99 | Recognition of Exchanges, Self Regulatory Bodies and Jurisdictions | in effect 11/26/99 |
Part III - Registration Requirements and Related Matters
31-301 (CSA N) | 11/21/97 | The Year 2000 Challenge | in effect |
31-302 (CSA Staff N) | 02/19/99 | Securities Industry Contingency Planning | in effect |
| 31-303 (CSA Staff N) | 05/07/99 | System Changes for Market Participants after Completion of Year 2000 Testing | in effect |
31-304 (CSA Staff N) | 09/03/99 | Year 2000: Backup of Records | in effect |
BOR 31-501 (BC) | 11/26/99 | Registration of Brokers and Investment Dealers | in effect |
NI 32-101 | 10/30/97 | Small Securityholder Selling and Purchase Arrangements | in effect 12/01/97 |
NI 33-106 | 10/21/98 | Year 2000 Preparation Reporting | lapsed 07/21/99 |
33-301 (CSA Staff N) | 02/12/99 | National Instrument 33-106 Year 2000 Preparation Reporting | in effect |
33-302 (CSA Staff N) | 04/16/99 | National Instrument 33-106 Non-Compliant Registered Firms and Possible Terms and Conditions | in effect |
33-303 (CSA Staff N) | 05/14/99 | Trust Accounts for Mutual Fund Securities | in effect |
33-304 (CSA N) | 08/24/99 | CSA Distribution Structures Committee Position Paper | in effect |
33-305 (CSA Staff N) | 01/07/2000 | Sale of Insurance Products by Dually Employed Salespersons | in effect |
NP 34-201 | 10/14/98 | Breach of Requirements of Other Jurisdictions | in effect 10/16/98 |
MLP 34-202 | 10/14/98 | Registrants Acting as Corporate Directors | in effect 10/16/98 |
35-301 (CSA Staff N) | 07/16/99 | Conditional Exemption from Registration for United States Broker-Dealers and Agent | in effect |
BOR 35-501 (BC) | 11/26/99 | Remote Access Trades on the Canadian Venture Exchange | in effect |
Part IV - Distribution Requirements
41-301 (CSA Staff N) | 01/30/98 | The Year 2000 Disclosure Issues | in effect |
Interim LP 41-601 (BC) | 12/21/99 | Prospectus Filing Requirements | in effect 01/01/2000 (see NIN#99/54) |
NP 43-201 | 11/17/99 | Mutual Reliance Review System for Prospectuses and Annual Information Forms | in effect 01/01/2000 (see NIN#99/42) |
44-401 (CSA N) (RC) | 01/28/2000 | Concept Proposal for an Integrated Disclosure System | in effect |
| NP 47-201 | 12/15/99 | Trading Securities Using the Internet and Other Electronic Means | in effect 01/01/2000 (see NIN#99/52) |
| BOR 48-501 (BC) | 12/22/99 | Distribution Period for Firm Commitment Underwritings | in effect 01/01/2000 |
Part V - Ongoing Requirements for Issuers and Insiders
51-301 (CSA Staff N) | 10/10/97 | Conversion of Corporate Issuers to Trusts | in effect |
51-302 (CSA Staff N) | 01/30/98 | The Year 2000 Disclosure Issues | in effect |
| 51-303 (CSA Staff N) | 02/19/99 | CSA Follow-up of Inadequate Year 2000 Disclosure | in effect |
51-401 (CSA N) (RC) | 01/28/00 | Concept Proposal for an Integrated Disclosure System | in effect |
BOR 51-501 (BC) | 11/26/99 | Transitional Orders relating to Former Alberta and Vancouver Stock Exchange Issuers | in effect |
53-301 (CSA N) | 09/12/97 | The TSE Toronto Stock Exchange Committee on Corporate Disclosure - Final Report; CSA Task Force on Civil Remedies | in effect |
55-301 (CSA N) | 01/24/97 | Filing Insider Reports by Facsimile and Exemption where Minimal Connection to Jurisdiction | in effect |
Part VI - Take-Over Bids and Special Transactions
61-301 (CSA Staff N) | 12/10/99 | Staff Guidance on the Practice of “Mini-Tenders” | in effect |
NP 62-201 | 06/30/97 | Bids Made Only in Certain Jurisdictions | in effect 08/04/97 |
NP 62-202 | 06/30/97 | Take-Over Bids - Defensive Tactics | in effect 08/04/97 |
Part VII - Securities Transactions Outside the Jurisdiction
NI 71-101 | 10/19/98 | The Multijurisdictional Disclosure System | in effect 11/01/98 |
71-101F1 | 10/19/98 | Forms of Submission to Jurisdiction and Appointment of Agent for Service of Process | in effect 11/01/98 |
| CP 71-101 | 10/19/98 | The Multijurisdictional Disclosure System | in effect 11/01/98 |
IR 71-801 | 10/19/98 | Implementing the Multijurisdictional Disclosure System under National Instrument 71-101 | in effect 11/01/98 |
IR 71-802 | 10/19/98 | Distributions Outside of British Columbia Under the United States Multijurisdictional Disclosure System | in effect 11/01/98 |
Part VIII - Mutual Funds
NI 81-105 | 04/17/98 | Mutual Fund Sales Practices | in effect 05/01/98 |
81-105CP | 04/23/98 | Mutual Fund Sales Practices | in effect 05/01/98 |
| 81-301 (CSA N) (RC) | 01/31/97 | Mutual Fund Prospectus Disclosure System Concept Proposal - Request for Comment | in effect (see also NIN#99/15 and Draft NI 81-101) |
81-303 (CSA Staff N) | 04/30/99 | Year 2000 Disclosure for Mutual Funds | in effect |
81-304 (CSA Staff N) | 05/14/99 | Trust Account for Mutual Fund Securities | in effect |
81-305 (CSA Staff N) | 11/19/99 | National Policy 12-201 Mutual Reliance Review System (“MRRS”) for Exemptive Relief Applications (“ERA”) ERA and Applications for Approvals or Exemptions under National Policy No. 39 “Mutual Funds” (“NP 39”) | in effect |
Part IX - Derivatives
BOR 91-501 (BC) | 11/24/99 | Over-the-Counter Derivatives | in effect |
BOR 91-502 (BC) | 11/24/99 | Short Term Foreign Exchange Transactions | in effect |
BOR 91-503 (BC) | 11/24/99 | Contracts Providing for Physical Delivery of Commodities | in effect |
Legend
| BOR - Blanket Order CP - Companion Policy CSA - Canadian Securities Administrators F - Form IR - Implementing Rule LP - Local Policy MLI - Multilateral Instrument MLP - Multilateral Policy | ML Staff N - Multilateral Staff Notice N - Notice NI - National Instrument NP - National Policy RC - Request for Comment |
SECURITIES ACT
INDEX OF NOTICES AND INTERPRETATION NOTES1
1See also the “Index of Commission Rules and Other Policy Documents - Uniform Numbering System” for Interpretation Notes adopted after July 1, 1999.INDEX OF NOTICES AND INTERPRETATION NOTES1
Effective January 31, 2000
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 |
88/7 | 06/01/88 | Venture capital issuers | 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 |
88/45 | 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 |
89/13 | 03/02/89 | Statutory filings | in effect |
89/17 | 04/06/89 | [Draft] 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 |
89/30 | 10/13/89 | Qualifications of auditors filing reports | in effect |
89/35 | 11/24/89 | Disclosure of promotional or investor relations arrangements | in effect |
90/4 | 02/09/90 | National Policy No. 39 - mutual funds distributor's report and auditor's letter | in effect |
90/16 | 05/10/90 | Principles of regulation re: activities of registrants related to financial institutions | 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 |
91/20 | 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 |
92/4 | 03/05/92 | Draft National Policy Statement No. 46 - index and commodity warrants and other derivative securities | in effect |
92/21 | 07/16/92 | Proposed junior POP system - request for comment | in effect |
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 |
93/8 | 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 agreements - restrictions on exemption orders | 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 |
94/5 | 06/08/94 | National Policy Statement No. 39 - definition of debt-like securities | in effect |
94/20 | 10/14/94 | Draft National Policy Statement No. 43 - advertisements of securities and related sales practices | in effect |
95/5 | 01/04/95 | Principles of fair trading | in effect |
95/7 | 01/12/95 | Duties of registrants in the supervision of accounts operating under powers of attorney or trading authorities | in effect |
95/12 | 03/01/95 | Executive compensation and indebtedness disclosure - Ontario staff report | in effect |
95/15 | 03/23/95 | Interpretation note - disclosure of securities under “control or direction” | in effect |
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 |
95/24 | 06/22/95 | Fee payments under the Securities Act and the Commodity Contract Act | in effect |
95/29 | 07/06/95 | Task Force on Operational Efficiencies in the Administration of Securities Regulation - final report | in effect |
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 |
95/52 | 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 |
95/60 | 12/21/95 | Hold period for securities of exchange issuer issued under section 55(2)(18) of the Securities Act | in effect |
96/10 | 04/11/96 | Blanket Order #96/9 registrant information to be furnished to clients | in effect |
96/12 | 05/02/96 | Further relief relating to audit committee review and board of directors approval of interim financial statements | in effect |
96/13 | 05/08/96 | National Instruments and National Policies | in effect |
96/15 | 05/16/96 | Joint submission of the Chairs of the Alberta and British Columbia Securities Commissions on the structure of the proposed Canadian Securities Commission | in effect |
96/16 | 05/23/96 | Request for comment - Dissemination of insider trade report data | in effect |
96/23 | 08/01/96 | Numbering System for the Policy Reformulation Project | in effect |
96/26 | 08/13/96 | Calculation of Hold Periods under the Securities Rules | in effect |
96/28 | 08/22/96 | Report of the IDA Committee on Take-Over Bid Time Limits | in effect |
96/29 | 08/29/96 | Trades in Options to Consultants | in effect |
96/32 | 09/26/96 | Application of sections 2(5), 2(6) and 2(7) of Securities Rules to the multijurisdictional disclosure system | in effect |
96/35 | 10/10/96 | Mutual funds and related party transactions | in effect |
96/36 | 10/10/96 | Real estate securities | in effect |
96/38 | 10/31/96 | Form 61 - Quarterly Report Staff Report on Schedule C - Management Discussion | in effect |
96/41 | 11/21/96 | Specification of Offering Documents Requiring Written Underwriting Procedures and Registration as an Underwriter | in effect |
96/45 | 12/05/96 | Special Warrants Prospectus Filings | in effect |
96/47 | 12/19/96 | Expedited Review of Short Form Prospectuses and Renewal AIFS | replaced by NP 43-201 10/28/99 (see NIN#99/37) |
96/49 | 12/18/96 | Quarterly Report Filings (Form 61) (SEDAR) | in effect |
97/5 | 02/03/97 | Exemptive Relief for Certain Real Estate Securities | in effect |
97/6 | 02/11/97 | Permission under Section 35(1)(c) of the Securities Act | in effect |
97/7 | 02/12/97 | System for Electronic Document Analysis and Retrieval (SEDAR) - Issuers in Default | in effect |
97/9 | 03/03/97 | Trading Securities and Providing Advice Respecting Securities on the Internet | replaced by NP 47-201 12/15/99 (see NIN#99/52) |
97/10 | 03/04/97 | Trust Companies, Insurers and Portfolio Managers in Other Provinces and Territories of Canada, and Foreign Portfolio Managers | in effect |
97/11 | 03/04/97 | Meaning of “Fully Managed” Accounts | in effect |
97/13 | 04/03/97 | Revised Securities Act as part of the Revised Statutes of British Columbia, 1996 | in effect |
97/15 | 05/13/97 | Proposed National Instrument 41-101 Prospectus Disclosure Requirements And Rescission of National Policy Statements Nos. 12, 13, 32, and 35 | in effect |
97/16 | 05/20/97 | Report of CSA Investment Funds Implementation Group | in effect |
97/17 | 06/18/97 | Settlements with the British Columbia Securities Commission | in effect |
97/18 | 06/18/97 | Proposed Provisions for Shareholder Proposals under the British Columbia Company Act | in effect |
97/23 | 06/25/97 | Use of Non-U.S. Foreign Accounting Principles and Non-U.S. Foreign Auditing Standards | in effect |
97/25 | 06/26/97 | Proposed National Instrument 81-104 and Companion Policy 81-104CP Commodity Pools | in effect |
97/30 | 06/30/97 | Dealers and their Salespersons | in effect |
97/31 | 07/16/97 | Proposed National Instrument 52-101 and Companion Policy 52-101CP and Proposed Rescission of National Policy Statement No. 48 Future Oriented Financial Information | in effect |
97/35 | 07/30/97 | Changes to SEDAR Filer Software | in effect |
97/36 | 08/27/97 | Market Fragmentation Request for Comments and Disclosure Forum | in effect |
97/39 | 10/14/97 | Registration to Act as an Adviser to the Trade in Securities or Exchange Contracts | in effect |
97/40 | 10/16/97 | Conditional Exemption From Registration For United States Broker-Dealers and Agents | in effect |
97/41 | 10/23/97 | Communication with the Securities Commission - New Commission Telephone and Facsimile Numbers | in effect |
97/42 | 10/30/97 | Proposed Changes to the Definition of Material Fact and Material Change and Proposed Introduction of a “Loser-Pays” Cost Rule under Securities Legislation | in effect |
97/46 | 11/20/97 | Notice of Proposed National Instrument 45-101 Rights Offerings, Companion Policy 45-101CP, Form 45-101F and Rescission of Certain Policies | in effect |
97/48 | 11/27/97 | Distribution of Securities to Persons Outside British Columbia | in effect |
97/49 | 11/27/97 | Proposed National Instrument 33-102, 33-103, 33-104, related Companion Policies and National Policy 33-201, all Governing Activities of Dealers that Carry on Business in Retail Branches of Financial Institutions | in effect |
97/52 | 12/17/97 | Non-Payment of SEDAR Annual Filing Service Charges | in effect |
97/53 | 12/17/97 | Amendments to the Company Act relating to Compromises and Arrangements | in effect |
97/54 | 12/24/97 | Filing Forms 20 Reports By Facsimile | in effect |
98/4 | 01/27/98 | The Year 2000 Challenge - Disclosure Issues for Exchange Issuers | in effect |
98/6 | 02/04/98 | Proposed Multi-Jurisdictional Instrument 33-105 and Companion Policy 33-105CP Underwriting Conflicts | in effect |
98/8 | 02/04/98 | Specification of Form 43C as Form of Offering Memorandum for Mortgages and Request for Comment on Draft Form of Information Statement | in effect |
98/9 | 02/11/98 | Proposed National Instrument 33-101 and Proposed Rescission of British Columbia Securities Commission Local Policy Statement 3-33 Administration of Self-Directed RRSPs, RESPs and RRIFs by Dealers | in effect |
98/11 | 02/19/98 | Proposed National Instrument 44-101 and Companion Policy 44-101CP Prompt Offering Qualification System | lapsed 07/22/99 (NIN#99/28) |
98/13 | 02/25/98 | Notice of Proposed National Instrument 54-102 Supplemental Mailing List And Interim Financial Statement Exemption | lapsed 07/16/98 (NIN#98/40) |
98/14 | 02/26/98 | Notice of Public Forum To Discuss “NETS” and Market Fragmentation | lapsed 06/30/99 (NIN#99/24) |
98/15 | 03/04/98 | Designated Jurisdictions of Issuers Eligible to Participate in the POP System | lapsed 01/01/2000 (see NIN#99/42) |
98/20 | 04/23/98 | Government Strip Bonds - Information Statement, Local Policy Statement 3-43, Blanket Order #91/12 | in effect |
98/22 | 05/06/98 | Proposal for a National Escrow Regime Applicable to Initial Public Distributions | in effect |
98/23 | 05/15/98 | Disclosure Obligations and Insider Trading Prohibitions in the Context of Material Facts and Material Changes | in effect |
98/24 | 05/27/98 | Proposed National Instrument 52-102 Use of Currencies | in effect |
98/25 | 05/27/98 | Proposed National Instrument 52-103 Change of Auditor | in effect |
98/26 | 05/27/98 | Proposal for a Statutory Civil Remedy for Investors in the Secondary Market | in effect |
98/27 | 06/11/98 | Venture Capital Pool Offerings Amendments to Local Policy Statement 3-02 | lapsed 01/01/2000 (see NIN#99/54) |
98/28 | 06/18/98 | Amendments to the SecuritiesAct | in effect |
98/29 | 06/18/98 | Mutual Reliance Review System Request for Comments on Proposed Memorandum of Understanding | lapsed 10/28/99 (NIN#99/37) |
98/30 | 06/18/98 | Proposed National Policy 43-201 Mutual Reliance Review System for Prospectuses and Initial AIFs | lapsed 11/17/99 (NIN#99/42) |
98/31 | 06/18/98 | Proposed National Instrument 31-101 and Companion Policy 31-101CP Mutual Reliance Review System for Registration | in effect |
98/32 | 06/30/98 | Blanket Order #98/5 Mutual Funds and the Purchase and Sale of Mortgages From and To the Account of Responsible Persons and Revocation Order #98/6 | in effect |
98/36 | 07/02/98 | Proposed National Instrument 43-101 and Companion Policy 43-101CP Standards of Disclosure for Mineral Exploration and Development and Mining Properties | in effect |
98/37 | 07/02/98 | Mutual Reliance Review System for Applications - Extension of Testing | lapsed 11/17/99 (see NIN#99/41) |
98/38 | 07/09/98 | Regulatory Review of Continuous Disclosure Filings | in effect |
98/39 | 07/09/98 | Proposed Rule Amendments to Require Membership in a Self-Regulatory Organization for Mutual Fund Dealers and Securities Dealers | in effect |
98/40 | 07/16/98 | Republication for Comment of Proposed National Instrument 54-101 and Related Documents Communication With Beneficial Owners of Securities of a Reporting Issuer | in effect |
98/41 | 07/22/98 | Selective Review of Prospectus Filings | in effect |
98/42 | 07/22/98 | Regulatory Initiatives Relating to the Year 2000 | in effect |
98/43 | 07/22/98 | Industry Responsibility Regarding the Year 2000 | in effect |
98/46 | 07/30/98 | Materials Required to be Filed under Proposed National Policy 43-201 - Mutual Reliance Review System for Prospectuses and Initial AIFs | lapsed 11/17/99 (see NIN#99/42) |
98/49 | 08/13/98 | Notice of Amendments to Mortgage Brokers Act | in effect |
98/51 | 08/20/98 | Consequential Amendments To the SecuritiesRules Relating to Insider Reports and Take Over Bids Request for Comments | in effect |
98/52 | 08/27/98 | Revised Shorter Hold Period with AIF and New Exemption for Certain Distributions Outside British Columbia | in effect |
98/53 | 09/03/98 | Proposed National Instruments 62-101, 62-102 and 62-103 Early Warning System and Related Matters | lapsed 12/15/99 (NIN#99/48) |
98/54 | 09/03/98 | Permanent Registration System | in effect |
98/55 | 09/03/98 | International Associates of the Vancouver Stock Exchange | in effect |
98/56 | 09/09/98 | Trading by Registrants under Certain Prospectus and Registration Exemptions | in effect |
98/60 | 10/01/98 | Proposed National Instrument 44-102, Companion Policy 44-102CP and Rule 44-802 Shelf Distributions | in effect |
98/61 | 10/01/98 | Proposed National Instrument 44-103, Companion Policy 44-103CP and Rule 44-803 Post-Receipt Pricing | in effect |
98/62 | 10/14/98 | Revised Exemption for Certain Distributions outside British Columbia | in effect |
98/64 | 10/14/98 | National Policy 34-201 and Multilateral Policy 34-202 Governing Conduct of Registrants and Rescission of National Policy Statements Nos. 17 and 18 | lapsed 01/31/2000 (NIN#2000/8) |
98/65 | 10/21/98 | Adoption of National Instrument 33-106 Year 2000 Preparation Reporting | lapsed 01/31/2000 (NIN#2000/8) |
98/66 | 10/21/98 | Adoption of Rule Restricting Exemption to Mortgages on Land in British Columbia | lapsed 01/31/2000 (NIN#2000/8) |
98/67 | 10/21/98 | Adoption of National Instrument 71-101, Companion Policy 71-101CP Rule 71-801, Rule 71-802 and BOR#98/14 The Multijurisdictional Disclosure System and Revocation of National Policy Statement No. 45 and Certain Blanket Orders | lapsed 01/31/2000 (NIN#2000/8) |
98/68 | 11/19/98 | Proposed National Policy 12-201 Mutual Reliance Review System for Exemptive Relief Applications | lapsed 11/17/99 (NIN#99/41) |
98/69 | 12/03/98 | Calls To Persons At Their Places Of Residence (“Cold Calling”) | lapsed 01/26/2000 (NIN#2000/5) |
98/70 | 12/16/98 | Rescission of Certain Uniform Act Policies | lapsed 01/31/2000 (NIN#2000/8) |
98/71 | 12/29/98 | Proposed National Policy 11-201 Delivery of Documents by Electronic Means | lapsed 12/15/99 (NIN#99/51) |
98/72 | 12/29/98 | Trading in Securities Using the Internet and Other Electronic Means | lapsed 12/15/99 (NIN#99/52) |
99/1 | 01/07/99 | CSA Staff Report on the Year 2000 Disclosure Review Program | in effect |
99/5 | 02/25/99 | Proposed Amendments to National Instrument 13-101 “System for Electronic Document Analysis and Retrieval” (“SEDAR”) and the SEDAR Filer Manual | lapsed 08/26/99 (NIN#99/33) |
99/6 | 02/25/99 | Publication by Other CSA members of Lists of Non-Complying Registered Firms under National Instrument 33-106 | lapsed 07/21/99 |
99/7 | 03/01/99 | Permission to Make Written Listing Representations | in effect |
99/8 | 03/04/99 | Concept Paper on A Framework for Market Regulation in Canada | in effect |
99/9 | 03/18/99 | Republication for Comment of Proposed National Instrument 81-102 and Companion Policy 81-102CP | lapsed 11/09/99 (NIN#99/39) |
99/10 | 03/25/99 | Rescission of Certain National Policy Statements | lapsed 01/31/2000 (NIN#2000/8) |
99/12 | 04/14/99 | Non-Compliant Registered Firms under National Instrument 33-106 | lapsed 07/21/99 |
99/13 | 04/22/99 | Updated List of Non-Compliant Registered Firms under National Instrument 33-106 | in effect |
99/14 | 04/28/99 | Short Form Offerings for Qualifying Issuers | in effect |
99/15 | 04/28/99 | Republication for Comment of Proposed National Instrument 81-101, Form 81-101F1, Form 81-101F2 and Companion Policy 81-101CP Mutual Fund Prospectus Disclosure | lapsed 11/09/99 (NIN#99/38) |
99/16 | 05/05/99 | Report on Comparison of Segregated Funds and Mutual Funds | lapsed 12/15/99 (NIN#99/53) |
99/17 | 06/02/99 | Securities Amendment Act, 1999 | lapsed 07/08/99 (NIN#99/27) |
99/18 | 06/02/99 | Revamping the Exempt Market - Proposals of Staff of the Ontario Securities Commission | in effect |
99/19 | 06/24/99 | Rescission of Local Policy Statements 3-01, 3-03, 3-21, 3-25, 3-31 and 3-41 | lapsed 01/31/2000 (NIN#2000/8) |
99/20 | 06/24/99 | Streamlining Initiative to Reduce Regulatory Burdens - Request for Input | in effect |
99/21 | 06/24/99 | Short Form Offerings of Listed Securities and Units by Qualifying Issuers | in effect |
99/22 | 06/24/99 | Revised Local Policy Statement 3-12 (Rules for Proceedings) | lapsed 01/31/2000 (NIN#2000/8) |
99/23 | 06/24/99 | Adoption of Amendment to National Instrument 14-101 - Definitions | lapsed 01/31/2000 (NIN#2000/8) |
99/24 | 06/30/99 | Proposed National Instrument 21-101, Forms 21-101F1, 21-101F2, 21-101F3 and 21-101F4, Companion Policy 21-101CP, National Instrument 23-101, Companion Policy 23-101CP and Discussion Paper Entitled “Consolidation Plan for a Consolidated Canadian Market” Marketplace Operation and Trading Rules | in effect |
99/25 | 06/30/99 | Respecification of Required Forms under the Securities Act, Securities Regulation and Securities Rules | in effect |
99/26 | 06/30/99 | Revised Indices of Policies and Other Instruments under the Securities Act | lapsed 01/31/2000 (NIN#2000/8) |
99/27 | 07/08/99 | Amendments to the Securities Act | in effect |
99/28 | 07/22/99 | Republication for Comment of Proposed National Instrument 44-101 and Related Documents | lapsed 12/15/99 (NIN#99/49) |
99/29 | 08/18/99 | Proposed National Instrument 55-101 and Companion Policy 55-101CP Exemption From Certain Insider Reporting Requirements | in effect |
99/30 | 08/18/99 | Republication for Comment of Proposed Rule on Syndicated Mortgages | in effect |
99/31 | 08/19/99 | General Prospectus Requirements - OSC Proposed Rule 41-501 and Form 41-501F1 | in effect |
99/32 | 08/24/99 | CSA Year 2000 Contingency Planning Seminar | lapsed 09/28/99 |
99/33 | 08/26/99 | Adoption of Amendments to National Instrument 13-101 “System for Electronic Document Analysis and Retrieval” (“SEDAR”) and the SEDAR Filer Manual | lapsed 09/15/99 (NIN#99/35) |
99/34 | 09/15/99 | Multijurisdictional Disclosure System | in effect |
99/35 | 09/15/99 | Publication of the Consolidated SEDAR Rule and Version 6.0 of the SEDAR Filer Manual | in effect |
99/36 | 10/13/99 | CICA Assurance Standards Board “Auditor Assistance to Underwriters and Others” - Exposure Draft, September 1999 | in effect |
99/37 | 10/28/99 | Mutual Reliance Review System Memorandum of Understanding | in effect |
99/38 | 11/9/99 | Advance Notice of National Instrument 81-101 and Related Documents Mutual Fund Prospectus Disclosure | lapsed 01/26/2000 (NIN#2000/1) |
99/39 | 11/9/99 | Advance Notice of National Instrument 81-102 and Related Documents Mutual Funds | lapsed 01/26/2000 (NIN#2000/2) |
99/40 | 11/10/99 | The Canadian Venture Exchange - Recognition and Related Instruments | rescinded 12/02/99 (NIN#99/45) |
99/41 | 11/17/99 | Adoption of National Policy 12-201 Mutual Reliance Review System for Exemptive Applications | in effect |
99/42 | 11/17/99 | Adoption of National Policy 43-201 Mutual Reliance Review System for Prospectuses and Annual Information Forms and Rescission of National Policy 1 | in effect |
99/43 | 11/17/99 | Proposed Rescission of National Policy 30 Processing of “Seasoned Prospectuses” | in effect |
99/44 | 11/24/99 | Over-the-Counter Derivatives | in effect |
99/45 | 12/02/99 | The Canadian Venture Exchange - Recognition and Related Instruments | in effect |
99/46 | 12/02/99 | Publication for Comment of Proposed Mutlilateral Instrument 33-107 Proficiency Requirements for Registrants Holding Themselves Out as Providing Financial Planning Advice | in effect |
99/47 | 12/09/99 | Rescission of Local Policy Statement 3-17
Registrant Due Diligence | lapsed 01/31/2000 (NIN#2000/8) |
99/48 | 12/15/99 | Advance Notice of National Instrument 62-101, National Instrument 62-102 and National Instrument 62-103 Early Warning System and Related Matters | in effect |
99/49 | 12/15/99 | Republication for Comment of Proposed National Instrument 44-101 and Related Documents Short Form Prospectus Distributions | in effect |
99/50 | 12/15/99 | SEDAR Filings and Year 2000 Contingency Plans | in effect |
99/51 | 12/15/99 | National Policy 11-201 Delivery of Documents by Electronic Means | in effect |
99/52 | 12/15/99 | National Policy 47-201 Trading Securities Using the Internet and Other Electronic Means | in effect |
99/53 | 12/15/99 | Report on Changes in the Regulation of Segregated Funds and Mutual Funds | in effect |
99/54 | 12/21/99 | Adoption of Interim Local Policy 41-601 (BC) Prospectus Filing Requirements and Rescission of Local Policy Statement 3-02 | in effect |
99/55 | 12/21/99 | Blanket Order 51-501 (BC) Transitional Orders Relating to Former Alberta and Vancouver Stock Exchange Issuers | in effect |
99/56 | 12/30/99 | Revocation of BOR#94/1 and BOR#98/10 | in effect |
2000/1 | 01/26/2000 | Adoption of National Instrument 81-101 Mutual Fund Prospectus Disclosure and Related Documents Rescission of National Policy No. 36 | in effect |
2000/2 | 01/26/2000 | Adoption of National Instrument 81-102 Mutual Funds and Related Documents Rescission of National Policy 34 and National Policy Statement No. 39 | in effect |
2000/3 | 01/26/2000 | Consequential Amendments to Securities Rules relating to New National Instruments governing Mutual Funds and their Disclosure | in effect |
2000/4 | 01/26/2000 | Publication for Comment of Proposed Amendments to National Instrument and Forms Governing Mutual Funds and Consequential Amendments to the Securities Rules and the Securities Regulation Relating to Securities Lending and Other Matters | in effect |
2000/5 | 01/26/2000 | Cold Calling by Members of Self Regulatory Bodies | in effect |
SECURITIES ACT
INDEX OF BLANKET ORDERS AND RULINGS1
1 See also the “Index of Commission Rules and Other Policy Documents - Uniform Numbering System” for Blanket Orders adopted after July 1, 1999 (except Revocation Orders).
Effective January 31, 2000
BOR# | Date of BOR (mm/dd/yy) | Description | Status (mm/dd/yy) |
88/2 | 08/12/88 | The definition of “exchange issuer” | revoked 11/26/99 (BOR#99/5) and replaced by BOR#14-501 (BC) 11/26/99 (see NIN#99/45) |
| 88/3 | 08/12/88 | Transitional rules respecting securities traded prior to September 1, 1988 under a 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 (CCA BOR# 89/6) | 01/26/89 | Registration of persons trading in IOCC options | in effect |
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 |
91/8 (CCA BOR# 91/2) | 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 |
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 |
93/1 | 02/17/93 | Prompt offering qualification system | in effect 02/19/93 (see NIN#93/12) |
93/4 | 12/22/93 | Networking arrangements governed by the principles of regulation | in effect |
94/1 | 11/23/94 | Prompt offering qualification system and memorandum of understanding for expedited review of short form prospectuses and renewal AIFs | revoked 12/30/99 (BOR#96/6) (See NIN#99/56) |
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 |
95/8 | 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 LPS 3-02) |
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 |
95/20 | 12/21/95 | Transitional relief from recognized resale requirements | in effect |
95/21 | 12/28/95 | Trades in securities of non reporting issuers | in effect |
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 |
96/3 | 03/14/96 | The requirement to send interim financial statements and quarterly reports to security holders of a reporting issuer | in effect |
96/7 | 03/27/96 | Trades in securities acquired under section 117 of the Securities Regulation, B.C. 270/86 | in effect |
96/8 | 03/27/96 | Number of purchasers under sections 89(a) and (g) and 128(a) and (h) of the Securities Rules, B.C. 479/95 | in effect |
96/10 | 05/02/96 | Further relief respecting audit committee review and board of directors approval of interim financial statements | in effect 04/30/96 |
96/15 | 08/29/96 | Trades in Options to Consultants | in effect |
96/16 | 09/26/96 | Further continuing relief for financial statements of certain issuers and the prompt offering qualification system | in effect |
96/17 | 10/10/96 | Mutual funds and the purchases and sales of certain debt securities from and to the account of responsible persons | in effect |
96/20 | 11/21/96 | Continuing Relief Relating to the Application of Section 30 of the Act to Trust Companies | in effect |
97/1 | 02/03/96 | Real Estate Securities | in effect |
97/3 | 02/03/97 | Resale Relief for Eligible Real Estate Securities | in effect |
97/4 | 03/04/97 | Trust Companies, Insurers and Portfolio Managers in Other Provinces and Territories of Canada and Foreign Portfolio Managers | in effect |
97/6 | 06/25/97 | Further Continuing Relief for Financial Statements of Certain Foreign Issuers | in effect |
97/7 | 06/25/97 | Take Over Bids and Going Private Transactions | in effect |
97/9 | 11/20/97 | Relief Respecting the Requirement to Send Financial Statements and Quarterly Reports to Securityholders During a Disruption in Mail Service | in effect |
97/10 | 11/20/97 | Further Transitional Relief Relating to Transactions Between a Mutual Fund and Non-Participating Affiliates of Its Responsible Persons | in effect |
97/11 | 11/27/97 | Eurobond Offerings | in effect 12/01/97 |
97/13 | 12/23/97 | Filing Forms 20 Reports by Facsimile | in effect |
98/1 | 03/12/98 | The Hold Period For Securities Issued by an Exchange Issuer under Section 74(2)(18) of the Securities Act | in effect |
98/3 | 03/24/98 | Exchange Contracts Dealers Trading in Commodity Pool Securities | in effect |
98/4 | 03/31/98 | Continuous Disclosure Requirements for Finance Issuers | in effect |
98/5 | 06/30/98 | Mutual Funds and the Purchase and Sale of Mortgages from and to the Account of Responsible Persons | in effect |
98/7 | 08/27/98 | The System for Shorter Hold Period with an Annual Information Form | in effect |
98/9 | 08/31/98 | Underwriting Activities of International Associates | in effect |
98/10 | 09/09/98 | Testing of the Mutual Reliance Review System for Prospectuses under National Policy 43-201 | revoked 12/30/99 (BOR#99/6) (see NIN#99/56) |
98/11 | 10/14/98 | A Distribution of Securities outside British Columbia | in effect |
98/14 | 10/21/98 | The Multijurisdictional Disclosure System | in effect |
99/2 | 06/24/99 | Short Form Offerings of Listed Securities and Units by Qualifying Issuers | in effect |
99/3 | 06/24/99 | Revocation of BOR#99/1 | in effect |
99/4 | 06/30/99 | Revocation of BOR#92/3 | in effect |
99/5 | 11/26/99 | Revocation of BOR#88/2 | lapsed 11/27/99 |
99/6 | 12/30/99 | Revocation of BOR#94/1 and BOR#98/10 | lapsed 12/31/99 |
SECURITIES ACT
INDEX OF LOCAL POLICY STATEMENTS1
INDEX OF LOCAL POLICY STATEMENTS1
1 See also the “Index of Commission Rules and Other Policy Documents - Uniform Numbering System” for Local Policies adopted after July 1, 1999.
Effective January 31, 2000
Policy # | Date of Policy (mm/dd/yy) | Description | Status (mm/dd/yy) |
3-02 | 12/21/90 | Prospectus filing requirements | rescinded and replaced by Interim LP 41-601 (BC) 01/01/2000 (NIN#99/54) |
| 3-05 | 02/01/87 | Rights offerings to shareholders | in effect |
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 (see NIN#98/22, NIN#98/27) |
3-12 (Revised) | 06/24/99 | Rules for Proceedings | in effect (see NIN#99/22) |
3-13 | 02/01/87 | Policy guidelines for a venture capital issuer planning to make a distribution | in effect (see NIN#88/7, NIN#98/27) |
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 | 1/06/95 (interim) | Registrant due diligence | rescinded 11/26/99 (see NIN#99/47) |
3-19 | 02/01/87 | Vancouver Stock Exchange listings | in effect |
3-22 | 03/24/98 | Registration requirements | in effect 04/15/98 |
3-24 | 12/21/95 (interim) | Statutory and discretionary exemptions | in effect 01/01/96 |
3-27 | 10/27/98 | System for Shorter Hold Periods with an Annual Information Form and Exemption for Certain Distributions of Securities Outside British Columbia | in effect 10/01/98 (see NIN#98/52) |
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 |
3-37 | 02/01/87 | Restricted shares (uncommon equities) distributions and disclosure | in effect |
3-39 | 02/01/87 | Guidelines for advertising issues of securities and for promotional activities during the course of a distribution | in effect |
3-43 | 12/12/91 (interim) | Government Strip Bonds | in effect (see NIN#98/20) |
3-44 | 12/21/95 | Recognition of self regulatory body, exchanges and jurisdictions | replaced by LP 21-601 (BC) 12/02/99 (see NIN#99/45) |
3-45 | 04/06/89 (draft) | Designation as a reporting issuer and business investor offerings | in effect 04/07/89 (see NIN#89/17) |