NIN 96/20 - Revised Forms (Registration and Personal Information) [NIN - Rescinded]

The remaining unproclaimed sections of the Securities Amendment Act (No. 2), 1995, Securities Amendment Act, 1992, Securities Amendment Act, 1990, and Securities Amendment Act, 1989; the new Securities Regulation, B.C. Reg. 478/95; and the Securities Rules, B.C. Reg. 479/95 came into effect on January 1, 1996. Also effective January 1, 1996, the Commodity Contract Act, R.S.B.C. 1979, c. 56, was repealed. The coming into force of these amendments required the revision of certain forms, a number of which have already been specified by earlier Notices. Effective September 1, 1996, the Executive Director specifies the forms attached to this Notice under section 158 of the Securities Act, S.B.C. 1985, c. 83.

Transitional

The Executive Director will accept the current version of the forms specified in this Notice provided that, where the current version is filed, the form is filed prior to November 1, 1996.

Forms Required by Other Jurisdictions, Exchanges or Self Regulatory Bodies

Where a dealer, underwriter or adviser is required to file a form attached to this Notice and has its principal place of business in Canada in a jurisdiction outside of British Columbia or is a member of an exchange or self regulatory body in Canada, the Executive Director will accept a corresponding form that is required by that jurisdiction, exchange or self regulatory body in place of the corresponding revised form attached to this Notice.

Similarly, where an individual is required to file a form attached to this Notice and acts on behalf of a dealer, underwriter or adviser described in the previous paragraph, the Executive Director will accept a corresponding form that is required by the jurisdiction in which the dealer, underwriter or adviser carries on its principle business or by the exchange or self regulatory body of which the dealer, underwriter or adviser is a member in place of the corresponding revised form attached to this Notice.

However, where the corresponding form required by the other jurisdiction, exchange or self regulatory body does not contain all material information required by the version of the form attached to this Notice, the Executive Director may require further information to be filed by the person.

Form 4B - Personal Information for Directors, Officers, Promoters and Control Persons

Form 4B is the form required under section 73.1 of the Securities Act. Section 73.1 of the Securities Act authorizes the Commission or the Executive Director to require the directors, officers, promoters or control persons of an issuer or a class of issuers to file personal information in the required form.

Form 5 - Uniform Application for Renewal of Licence or Registration

Form 5 is a form required under section 20(2) of the Securities Act. Section 20(2) of the Securities Act requires that an application for renewal of registration be made to the Executive Director in the required form.

Form 7 - Application for Amendment of Registration as Dealer, Adviser or Underwriter

Form 7 is a form required under sections 20(2), 28(1) and 28(2) of the Securities Act. Section 20(2) of the Securities Act requires that an application for an amendment to registration of a dealer, adviser or underwriter be made to the Executive Director in the required form. Sections 28(1) and 28(2) of the Securities Act require a registered dealer, a registered adviser or a registered underwriter to file, in the required form, a notice of change in certain prescribed information.

Form 7A - Application for Transfer/Change of Status

Form 7A is a form required under sections 20(2) and 28(3) of the Securities Act. Section 20(2) of the Securities Act requires that an application for amendment to registration of an individual be made to the Executive Director in the required form. Section 28(3) of the Securities Act requires a registered salesperson or registered advising employee to file, in the required form, a notice of change in certain prescribed information.

Form 7X - Addendum to Form 7

Form 7X is a form required under sections 28(1) and 28(2) of the Securities Act. Sections 28(1) and 28(2) of the Securities Act require a registered dealer, underwriter or adviser to file, in the required form, a notice of change in certain prescribed information.

The revised version of Form 7 attached to this Notice incorporates the information set out in Form 7X. Therefore, if a registrant files a revised Form 7, the registrant is not required to file a Form 7X. However, where a registrant files the current Form 7 or corresponding form required by the jurisdiction in which the registrant carries on its principal business or by the exchange or self regulatory body of which the registrant is a member, the registrant is required to file Form 7X.

Review of Required Forms

The Executive Director is continuing the process of reviewing other required forms and will be amending them to harmonize the forms with requirements of the Securities Act and Securities Rules, to remove references to the Commodity Contract Act and to reflect current practice.

Copies of New and Revised Forms

Copies of forms specified in this Notice, except for Form 5, may be requested from the Supervisor, Registration, for mailing or pick up (phone: Greater Vancouver 660-4833, all other regions of British Columbia 1-800-373-6393). Form 5 is computer-generated and is mailed to all registrants in advance of their renewal date. Printed copies of Form 7 and Form 7A will not be available until late August. There is no charge for these forms; however, only a reasonable number of copies will be distributed.


DATED at Vancouver, British Columbia, on June 28, 1996.

Dean E. Holley
Executive Director

REF: Form 4B
Form 5
Form 7
Form 7A
Form 7X
NIN#95/51

see hard copies for Forms 4B, 5, 7 and 7A

This is a form required under sections 28(1) and 28(2) of the Securities Act.


FORM 7X
Securities Act
ADDENDUM TO FORM 7


INSTRUCTIONS

Registered dealers, underwriters and advisers that have their principal place of business in Canada in a jurisdiction outside British Columbia or that are members of an exchange or self regulatory body in Canada may file a form corresponding to Form 7 that is not in the form specified by the Executive Director. That is, they may file a corresponding form required by the jurisdiction in which the dealer, underwriter or adviser carries on its principal business or by the exchange or self regulatory body of which the dealer, underwriter or adviser is a member. Where this is the case, the dealer, underwriter or adviser must also file a completed Addendum to Form 7. The instructions set out on Form 7 apply, with any necessary changes, including the requirement that this form be initialed by the Commissioner of Oaths before whom the application is sworn, as well as by the applicant.


Name of Registrant (Applicant)___________________________________________



HAS THERE BEEN A CHANGE IN THE FOLLOWING: YES/NO