NIN 98/48 - Revised Indices of Policies and Other Instruments under the Securities Act [NIN - Rescinded]
Published Date: | 1998-08-14 |
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Effective Date: | 1998-06-30 |
Effective June 30, 1998, the Commission rescinded the indices attached to NIN#98/2, dated effective January 16, 1998, of policies and other instruments under the Securities Act. The Commission substituted the indices attached to NIN#98/34.
It has come to the attention of Commission staff that the indices attached to NIN#98/2 and NIN#98/34 contained a number of errors. Consequently, the Commission is substituting the indices attached to this Notice in place of those attached to NIN#98/34. Corrections to the status of various instruments, as compared to the indices attached to NIN#98/34, are summarized below:
INDEX OF NOTICES AND INTERPRETATION NOTES
- NIN#97/33 (lapsed May 1, 1998)
- NIN#97/46 (in effect November 20, 1997)
INDEX OF BLANKET ORDERS AND RULINGS
- BOR#87/29 (revoked December 1, 1997 by BOR#97/8 and removed from index)
- BOR#87/30 (revoked December 1, 1997 by BOR#97/8 and removed from index)
- BOR#95/19 (revoked March 12, 1998 by BOR#98/2 and removed from index)
INDEX OF NATIONAL INSTRUMENTS, POLICIES AND FORMS, CSA NOTICES AND CSA REQUESTS FOR COMMENT
- 12-401 (CSA Notice) (in effect January 23, 1998)
- 13-301 (CSA Staff Notice) (in effect May 15, 1998)
- 41-301 (CSA Staff Notice) (in effect January 30, 1998)
- 51-302 (CSA Staff Notice) (in effect January 30, 1998)
- 81-105CP (in effect May 1, 1998).
We regret any inconvenience we may have caused.
DATED at Vancouver, British Columbia, on August 12, 1998
Douglas M. Hyndman
Chair
Ref: NIN#98/2
NIN#98/34
INDEX OF NOTICES AND INTERPRETATION NOTES
Effective June 30, 1998
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 |
89/3 | 01/20/89 | Conflict of interest rules statement - clarification of filing requirements | 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 agreement - 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 |
94/19 | 10/12/94 | Draft Amended National Policy Statement No. 41 - security holder communication | lapsed 02/25/98 |
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 |
95/9 | 02/08/95 | Government strip bonds - information statement - Local Policy Statement 3-43 - Blanket Order #91/12 | 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 |
95/18 | 04/20/95 | Draft National Policy Statement No. 54 - expedited registration system for advisers | lapsed 06/18/98 |
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 |
96/6 | 01/24/96 | Supplementary report of the Committee on Underwriting Conflicts of Interest to the CSA chairs | lapsed 02/04/98 |
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 |
96/25 | 08/01/96 | Proposed Relief for Eligible Institutional Investors from Early Warning, Insider Reporting, Take-over Bid and Control Person Distribution Requirements | 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 | in effect |
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 | in effect |
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 |
97/24 | 06/26/97 | Proposed National Instrument 81-102 and Companion Policy 81-102CP and Proposed Rescission of National Policy Statement No. 34 and National Policy Statement No. 39 | 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 | in effect |
97/32 | 07/25/97 | Proposed National Instrument 81-105 and Companion Policy 81-105CP Mutual Fund Sales Practices | lapsed 02/04/98 |
97/33 | 07/25/97 | The Investment Funds Institute of Canada Code of Sales Practices For the Mutual Fund Industry | lapsed 05/01/98 |
97/34 | 07/28/97 | Proposed Rescission of Uniform Act Policy No. 2-11; Applications to Omit Certain 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 |
97/38 | 09/18/97 | Designated Jurisdictions of Issuers Eligible to Participate in the POP System | 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 |
97/43 | 10/30/97 | Adoption of National Instrument 32-101 Small Securityholder Selling and Purchase Arrangements | lapsed 06/30/98 |
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 |
97/47 | 11/27/97 | Shorter Hold Period with Annual Information Form, Eurobond Offerings and Distributions to Persons Outside B.C. | 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 and Carry on Business in Retail Branches of Financial Institutions | in effect |
97/50 | 12/04/97 | Proposed Rescission of Uniform Act Policy No. 2-10: Insider Trading Reports - Persons Required to Report in More than One Capacity | lapsed 04/30/98 |
97/51 | 12/04/97 | Proposed National Instrument 71-101 and Companion Policy 71-101CP | 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 |
98/1 | 01/15/98 | Clarification of Interim Local Policy Statement 3-27 System for Shorter Hold Periods With An AIF and Publication of Proposed Alberta Rule and Policy | in effect |
98/2 | 01/15/98 | Revised Indices of Policies and Other Instruments under the Securities Act | lapsed 06/30/98 |
98/3 | 01/15/98 | Respecification of Forms Under the Securities Act, Securities Regulation and Securities Rules | lapsed 06/30/98 |
98/4 | 01/27/98 | The Year 2000 Challenge - Disclosure Issues for Exchange Issuers | in effect |
98/5 | 02/04/98 | Advance Notice - National Instrument 81-105 and Companion Policy 81-105CP Mutual Fund Sales Practices and Advance Notice of Revocation of Canadian Securities Administrators Notices | lapsed 04/23/98 |
98/6 | 02/04/98 | Proposed Multi-Jurisdictional Instrument 33-105 and Companion Policy 33-105CP Underwriting Conflicts | in effect |
98/7 | 02/04/98 | Mortgages | 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 |
98/10 | 02/11/98 | Proposed National Policy 34-201 and Multi-Jurisdictional Policy 34-202 Governing Conduct of Registrants and Rescission of National Policy Statements Nos. 17 and 18 | in effect |
98/11 | 02/19/98 | Proposed National Instrument 44-101 and Companion Policy 44-101CP Prompt Offering Qualification System | in effect |
98/12 | 02/25/98 | Notice of Proposed National Instrument 54-101 Forms 54-101F1, 54-101F2, 54-101F3, 54-101F4, 54-101F5, 54-101F6, 54-101F7 and 54-101F8 and Companion Policy 54-101CP Communication with Beneficial Owners of Securities of a Reporting Issuer | in effect |
98/13 | 02/25/98 | Notice of Proposed National Instrument 54-102 Supplemental Mailing List And Interim Financial Statement Exemption | in effect |
98/14 | 02/26/98 | Notice of Public Forum To Discuss "NETS" and Market Fragmentation | in effect |
98/15 | 03/04/98 | Designated Jurisdictions of Issuers Eligible to Participate in the POP System | in effect |
98/16 | 03/24/98 | Repeal and Replacement of Local Policy Statement 3-22 (Registration Requirements) | in effect |
98/17 | 03/31/98 | Rescission of Uniform Act Policy No. 2-11: Applications to Omit Certain Financial Information | in effect |
98/18 | 03/31/98 | Rescission of Form 29: Finance Company Questionnaire and Financial Report | in effect |
98/19 | 04/23/98 | Adoption of National Instrument 81-105 and Companion Policy 81-105CP Mutual Fund Sales Practices and Revocation of Canadian Securities Administrators Notices | in effect |
98/20 | 04/23/98 | Government Strip Bonds - Information Statement, Local Policy Statement 3-43, Blanket Order #91/12 | in effect |
98/21 | 04/30/98 | Rescission of Uniform Act Policy No. 2-10: Insider Trading Reports - Persons Required to Report in More than One Capacity | 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 | in effect |
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 | in effect |
98/30 | 06/18/98 | Proposed National Policy 43-201 Mutual Reliance Review System for Prospectuses and Initial AIFs | in effect |
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 |
98/33 | 06/30/98 | Revised Forms Under the Securities Act | in effect |
98/34 | 06/30/98 | Revised Indices of Policies and Other Instruments under the Securities Act | in effect |
98/35 | 06/30/98 | Respecification of Required Forms Under the Securities Act, Securities Regulation and Securities Rules | in effect |
INDEX OF BLANKET ORDERS AND RULINGS
Effective June 30, 1998
BOR# | Date of BOR (mm/dd/yy) | Description | Status (mm/dd/yy) |
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 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 |
91/7 | 06/25/91 | Multijurisdictional disclosure system | in effect 07/01/91 (see NIN# 93/12) |
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 (see NIN#95/9) |
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 recognized clearing agencies (recognized options rationalization order) | in effect 08/11/92 |
93/1 | 02/17/93 | Prompt offering qualification system | in effect 02/19/93 (see NIN# 93/12) |
93/3 | 06/16/93 | The multijurisdictional disclosure system | in effect |
93/4 | 12/22/93 | Networking arrangements governed by the principles of regulation | in effect |
94/1 | 11/23/94 | Prompt offering qualification system -- memorandum of understanding for expedited review of short form prospectuses and renewal AIFs | in effect 11/23/94 (see NIN#94/22 & 96/47) |
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 01/01/96 |
95/21 | 12/28/95 | Trades in securities of non reporting issuers | in effect 01/01/96 |
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 12/31/96 |
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 |
97/12 | 11/27/97 | System for Shorter Hold Periods With An Annual Information Form | 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 |
98/6 | 06/30/98 | Revocation of BOR#96/5 | in effect |
Effective June 30, 1998
CCA BOR # | Date of BOR (mm/dd/yy) | Description | Status (mm/dd/yy) |
CCA BOR#89/1 | 01/26/89 | Recognition of the Vancouver Stock Exchange as a Commodity Exchange in the Province of British Columbia (see also LPS 3-44) | in effect |
CCA BOR#89/3 | 01/26/89 | Recognition of Self Regulatory Bodies (see also LPS 3-44) | in effect |
CCA BOR#89/4 | 01/26/89 | Segregation of Funds by Commodity Contracts Dealers | in effect |
CCA BOR#89/5 | 01/26/89 | Acceptance of IOCC Options | in effect |
CCA BOR#89/6 (BOR#89/1) | 01/26/89 | Registration of Persons Trading in IOCC Options | in effect |
CCA BOR#89/7 | 11/09/89 | Recognition of Commodity Exchanges Situated Outside the Province of British Columbia | in effect |
CCA BOR#91/1 | 08/01/91 | Acceptance of the TCO Gold Option | in effect |
CCA BOR#91/2 (BOR#91/8) | 08/01/91 | Registration of Persons Trading in TCO Commodity Options | in effect |
INDEX OF LOCAL POLICY STATEMENTS
Effective June 30, 1998
Policy # | Date of Policy (mm/dd/yy) | Description | Status (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 thereon of risk capital derived from public subscription | in effect (see NIN#89/43) |
3-02 | 12/21/90 | Prospectus filing requirements | in effect 02/04/91 as amended effective 01/01/96 (see BOR#95/10) in effect as amended 07/02/98 (see NIN#98/27) |
3-03 | 02/01/87 | Requirements re filing of preliminary prospectuses and prospectuses (national issues) | in effect |
3-04 | Rescinded | replaced by LPS 3-17 | |
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 revoke order NIN#98/22, NIN#98/27) |
3-08 | Rescinded | replaced by LPS 3-07 | |
3-09 | Rescinded | replaced by LPS 3-07 | |
3-10 | Rescinded | replaced by LPS 3-07 | |
3-11 | Rescinded | ||
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 distribution | in effect (see NIN#88/7, NIN#89/43, 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 | in effect (see NIN#98/27) |
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 warrants available to registrants participating in such offerings | in effect (see NIN#89/43, NIN#98/27) |
3-22 | 03/24/98 | Registration requirements | in effect 04/15/98 |
3-23 | Reserved | ||
3-24 | 12/21/95 (interim) | Statutory and discretionary exemptions | in effect 01/01/96 |
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 | Rescinded | replaced by amendment to LPS 3-02 (see BOR#95/8 and BOR#96/12) |
3-27 | 11/27/97 (interim) | System for Shorter Hold Periods with an Annual AIF | in effect 12/01/97 (see NIN#98/1) |
3-28 | Reserved | ||
3-29 | Reserved | ||
3-30 | 02/01/87 | Rescinded | |
3-31 | 02/01/87 | Incentive options to directors and employees - unlisted issuers | in effect (see NIN#98/27) |
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 | Rescinded | replaced by LPS 3-22 |
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 | Rescinded | replaced by NP 47 and BOR#93/1 | |
3-41 | 02/01/87 | Lawyer's conflict of interest | in effect |
3-42 | 02/01/87 | Rescinded | replaced by LPS 3-22 |
3-43 | 12/12/91 (interim) | Government Strip Bonds | in effect (see NIN#95/9, NIN#98/20) |
3-44 | 12/21/95 | Recognition of self regulatory body, exchanges and jurisdictions | in effect 01/01/96 amended 12/01/97 (see NIN #97/43) |
3-45 | 04/06/89 (draft) | Designation as a reporting issuer and business investor offerings | in effect 04/07/89 (see NIN#89/17) |
INDEX OF NATIONAL INSTRUMENTS, POLICIES AND FORMS,
CSA NOTICES AND CSA REQUESTS FOR COMMENT
Effective June 30, 1998
Number | Date (mm/dd/yy) | Description | Status (mm/dd/yy) |
11-401 (CSA RC) | 06/13/97 | Delivery of Documents by Issuers Using Electronic Media Concept Proposal - Request for Comment | in effect |
12-401 (CSA N) | 01/23/98 | National Application System Concept Proposal - Request for Comments | in effect |
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 Staff N) | 05/15/98 | SEDAR - Use of Incorrect Document Formats | in effect |
NI 14-101 | 02/26/97 | Definitions | in effect 04/01/97 |
31-301 (CSA N) | 11/21/97 | The Year 2000 Challenge | in effect |
NI 32-101 | 10/30/97 | Small Securityholder Selling and Purchase Arrangements | in effect 12/01/97 |
41-301 (CSA Staff N) | 01/30/98 | The Year 2000 Disclosure Issues | in effect |
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 |
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 |
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 |
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) | 01/31/97 | Mutual Fund Prospectus Disclosure System Concept Proposal - Request for Comment | in effect |
Legend
CP - Companion Policy NI - National Instrument
CSA - Canadian Securities Administrators NP - National Policy
F - Form RC - Request for Comment
N - Notice