NIN 94/08 - Revised Indices of Notices and Interpretation Notes, Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act and Securities Regulation [NIN - Rescinded]
| Published Date: | 1994-07-01 |
|---|---|
| Effective Date: | 1994-06-30 |
Effective June 30, 1994, the Commission is rescinding the indices of the Notices and Interpretation Notes, Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act and Securities Regulation, effective January 8, 1994 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 The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect.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.
Dated at Vancouver, British Columbia on June 29, 1994.
Douglas M. Hyndman
Chair
SECURITIES ACT
INDEX OF NOTICES AND INTERPRETATION NOTES
Effective June 30, 1994
Date of NIN StatusNIN # (mm/dd/yy) Description (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 in effect
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 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
89/3 01/20/89 Conflict of interest rules statement - clarification of filing requirements in effect
89/5 01/27/89 Introduction of revised quarterly report 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" in effect
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 in effect strip bonds
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 in effect
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 in effect Reports
92/20 07/16/92 Draft Form 12A, prospectus for a junior industrial issuer, and related disclosure initiatives in effect
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 in effect
92/24 07/24/92 Amendments to the Securities Act 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
93/2 01/07/93 Specification of required forms under the Securities Act and Securities Regulation in effect
93/3 01/07/93 Decisions of the British Columbia Securities Commission in effect
93/5 02/17/93 Section 115(3)(f) of the Securities Regulation - Time Limit for Raising A Minimum Subscription 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
93/18 09/09/93 Fiscal Agency Agreement -Restrictions on exemption orders in effect
93/19 09/09/93 New form of certificate under section 60(3) of the Securities Act in effect
93/20 11/09/93 British Columbia Securities Commission - Professional Secondment lapsed Program 06/30/94
93/21 11/25/93 Fiscal Agency Agreements -Application for discretionary exemption in effect orders
93/22 12/16/93 Amendments to National Policy Statement No. 47 and National Policy Statement No. 45 lapsed 06/30/94
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
94/1 01/06/94 Revised indices of notices and interpretation notes, blanket orders and rulings, local policy statements and forms under the Securities Act and lapsed 06/30/94 Securities Regulation (see NIN# 94/8)
94/2 01/06/94 Filing Requirements for Annual Information Forms in effect
94/3 03/03/94 Amendments to the Fee Schedule under the Securities Regulation 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. in effect
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 in effect
94/7 06/07/94 Task Force on Operational Efficiencies in the Administration of Securities Regulation - Request for comment in effect
94/8 06/30/94 Revised indices of notices and interpretation notes, blanket orders and rulings, local policy statements and forms under the Securities Act and Securities Regulation in effect
SECURITIES ACT
INDEX OF BLANKET ORDERS AND RULINGS
Effective June 30, 199
Date of BOR StatusBOR # (mm/dd/yy) Description (mm/dd/yy)
87/18 03/23/87 Certain certificates for government securities and zero coupon strip in effect bonds
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 in effect purchase arrangements 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 in effect under a exemption from section 42 of the Securities Act 09/01/88
88/5 08/12/88 Legending of certificates in effect 09/01/88
88/6 08/12/88 Filing of insider reports by control persons in effect 09/01/88
88/11 11/28/88 Conflict of interest rules statement - 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 in effect reporting issuer 03/01/88
89/5 10/05/89 Trades in securities held subject to an escrow or pooling agreement in effect
89/8 10/13/89 Reporting companies under the British Columbia Company Act and the in effect definition of "reporting issuer" 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 in effect
Act
90/4 10/11/90 Trades in deposit-type or self-directed registered educational savings in effect
plans
91/2 05/03/91 Rules for shelf prospectus offerings and for pricing offerings after the in effect prospectus is receipted 05/10/91
91/4 06/06/91 Trades of securities of private issuers in effect 07/01/91
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 in effect issuing bonds, debentures or other evidence of indebtedness 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
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 in effect recognized clearing agencies (recognized options rationalization order) 08/11/92
93/1 02/17/93 Prompt Offering Qualification System - Exemption Orders under in effect Section 59 of the Act and Sections 99(2), 115(6) and 02/19/93 143(1)(b)(iii) of the Regulation (see NIN#93/12)
93/3 06/16/93 The multijurisdictional disclosure system - Exemption order under Section 97(2) of the Company Act in effect
93/4 12/22/93 Networking Arrangements Governed by the Principle of Regulations in effect
SECURITIES ACT
INDEX OF LOCAL POLICY STATEMENTS
Effective June 30, 1994
Date of Policy Status
Policy # (mm/dd/yy) Description (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 in effect thereon of risk capital derived from public subscription see NIN#89/43
3-02 12/21/90 Prospectus filing requirements in effect 02/04/91
3-03 02/01/87 Requirements re filing of preliminary prospectuses and prospectuses (national issues) in effect
3-04 02/01/87 Guidelines for technical reports of non-natural resource properties and program proposals which are the subject of funding on prospectuses and other statements of material facts submitted for in effect receipting by the Superintendent of Brokers see NIN#89/43 07/16/92 FIling of assessment see NIN#92/19 (revised draft)
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 in effect other consideration 03/01/90
3-08 02/01/87 Shares issued for cash prior to a public offering of securities by rescinded prospectus and shares issued for cash by reporting issuers 03/01/90 by LPS#3-07
3-09 02/01/87 Transfers and releases of escrowed and pooled shares - unlisted issuers rescinded 03/01/90 by LPS#3-07
3-10 02/01/87 Cancellation of escrowed shares rescinded 03/01/90 by LPS#3-07
3-11 02/01/87 Comments on disclosure documents to be submitted to prospective rescinded subscribers as a condition of exemption from section 42 of the 11/01/89 Securities Act 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 in effect distribution 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 Reserved
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 in effect warrants available to registrants participating in such offerings see NIN#89/43
3-22 02/10/89 Requirements for registration for trading in securities (Interim) in effect
3-23 Reserved
3-24 02/01/87 Statutory exemptions and orders made under section 33 and section 59 in effect of the Securities Act see NIN#88/5
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 in effect
3-27 Reserved
3-28 Reserved
3-29 Reserved
3-30 02/01/87 Underwriter's conflict of interest in effect
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 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
3-40 02/01/87 The prompt offering qualification system for securities of senior rescinded as national issuers per NIN#93/4 (see BOR #93/2) 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 in effect
3-43 12/12/91 Government Strip Bonds in effect (interim) see NIN#91/23
3-44 08/01/91 Recognition of stock exchanges and jurisdictions in effect 08/15/91
3-45 04/06/89 Designation as a reporting issuer (extraprovincial issuers) in effect (draft) 04/08/89 see NIN#89/17SECURITIES ACT
INDEX OF FORMS
Effective June 30, 1994
Form # Title Securities Act or Regulation
Section or Form
1 Summons to attend before an investigator under section 128 Reg 170
of the Act
2 Affidavit of service Reg 171
3 Application for registration as dealer, advisor or underwriter Act 20(2)
4 Uniform application for registration/approval Act 20(2) & 73.1
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)
7A Application for transfer/change of status Act 20(2) & 28(3)
8 Summons for an examination under section 24(c) of the Act Reg 19
9-10 Reserved
11 Application for exempt purchaser status Reg 75 Information required in prospectus of
12 - industrial issuer Act 42(2) see NIN#93/23
12A - industrial issuer required to file an assessment report under Act 42(2) draft Local Policy Statement 3-04 see NIN#92/20
13 - finance issuer Act 42(2) see NIN#93/23
14 - natural resource issuer Act 42(2) see NIN#93/23
15 - mutual fund Act 42(2) see NIN#93/23
16 Escrow agreement (relating to performance shares) Reg 117(d)(iii)(B) & 134(6)(b)(i)
17 Revoked (03/01/90)
18 Revoked (09/01/88)
19 Reserved
20 Report of exempt distribution Reg 132
20A Acknowledgement and undertaking Reg 128
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 Reg 129
24 Statement of material facts Reg 121(b) (formerly Reg 116)
25 Put option contract Act 58(1)(b)(iii) (formerly Act 58(b))
26 Call option contract Act 58(1)(b)(iii) (formerly Act 58(b))
27 Material change report under section 67(1) of the Act Act 67(1) & Reg 144
28 Annual filing of reporting issuer Reg 167(2) (formerly Reg 146) see NIN#93/23
29 Finance company questionnaire and financial report Reg 142
30 Information circular Act 31(2)(9)(i), 55(2)(8)(i), 101(2)(a) & (b) & 101(5) 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) & Reg 130
37 Reserved
38 Report by a registered owner of securities beneficially owned by an insider required under section 71 of the Act Act 71 & Reg 151
39 Report of a mutual fund manager required under section 109 of the Act
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 Reg 126(c)
43A Offering memorandum - immigrant investor program Reg 126(c)
44-49 Reserved
50 Short form of prospectus of a mutual fund Act 42(3) (formerly Reg 95)
51 Annual information form of a mutual fund Reg 93(2)(b) (formerly Reg 94)
52 Financial statements of a mutual fund Reg 105(1) & 138 (formerly Reg 104(1))
53 Trust agreement Reg 25
54 Technical report on mineral properties excluding oil and gas Reg 102
55 Technical report on oil and gas properties Reg 102
56-59 Reserved
60 Subordination agreement Reg 26
61 Quarterly report Reg 145
62-68 Reserved
69 Conflict of interest rules statement Reg 167.3(1)
70 Statement and undertaking pursuant to section 167.3(4) of the Securities Regulation Reg 167.3(4)
SECURITIES ACT
INDEX OF REFERENCES TO A REQUIRED FORM WHERE NO FORM IS SPECIFIED
Effective June 30, 1994
Form or Securities Act or Regulation
Requirement Title Section or Form
No form specified Escrow agreement (relating to property Act 31(2)(21), 55(2)(18) & Reg shares) 117(d)(iii)(B) & 134(2)(b)(i)
No form specified Pooling agreement Act 31(2)(21), 55(2)(18), Reg 117(d)(iii)(B) & 134(2)(b)(i) & 134(6)(b)(i)
No form specified Form of proxy Act 101(1) but must comply with items 1 and 2 of Form 30No form specified Underwriter's calculation of net free capital Reg 22(b)
No form specified Form of signature and certification Reg 152.1