NIN 2000/30 - Revised Indices of Commission Rules and Other Policy Documents [NIN - Rescinded]
| Published Date: | 2000-07-14 |
|---|---|
| Effective Date: | 2000-07-13 |
- ·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. Effective June 30, 2000, the index will also include certain forms that do not relate to other instruments and policies.
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 9 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
- ·9 Denotes a form that does not relate to another instrument or policy.
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. Effective immediately, we will lapse a Notice introducing a final document three months after the effective date of the document. LPSs that have been revoked during previous periods, and LPS numbers that are not used, are not included in the current LPS index.
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 current Securities Act, Securities Regulation and Securities Rules.
A number of LPSs have been revised, replaced or rescinded in the past several years. 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 July 13, 2000.
Joyce C. Maykut, Q.C.
Vice Chair
Ref: NIN#2000/8
NIN#2000/29
This NIN may refer to other documents. These documents can be found at the B.C. Securities Commission public website at www.bcsc.bc.ca in the Commission Documents database or the Historical Documents database.
SECURITIES ACT
INDEX OF COMMISSION RULES AND OTHER POLICY DOCUMENTS -
UNIFORM NUMBERING SYSTEM1,2 & 3
INDEX OF COMMISSION RULES AND OTHER POLICY DOCUMENTS -
UNIFORM NUMBERING SYSTEM1,2 & 3
1 See NIN#2000/30 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.
3 Unless otherwise indicated, all forms included in this list have been adopted as Commission rules.
Effective June 30, 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 |
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 |
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 |
13-401 (CSA Staff N) | 06/30/2000 | Request for Changes, Additions or Improvements for a Revised SEDAR System | 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 |
BOR 22-501 (BC) | 03/30/2000 | Recognition of Exchanges for Trading in Exchange Contracts | in effect 03/31/2000 |
| 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 |
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 |
BOR 33-501 (BC) | 01/26/2000 | Cold Calling by Members of Self Regulatory Bodies | in effect |
BOR 33-502 (BC) | 02/03/2000 | Registration Requirements for Members of the Investment Dealers Association of Canada | 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) |
42-301 (CSA Staff N) | 02/11/2000 | Dual Reporting of Financial Information | in effect |
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 |
LR 45-501 (BC) | 06/08/2000 | Mortgages | in effect 09/01/2000 (see NIN#2000/21) |
45-501CP (BC) | 06/08/2000 | Mortgages | in effect 09/01/2000 (see NIN#2000/21) |
46-301 (CSA N) | 03/17/2000 | Proposal for Uniform Terms of Escrow Applicable to Initial Public Distributions | in effect |
46-901F (BC) | 07/06/2000 | Escrow Agreement | in effect 4 06/30/2000 (see NIN#2000/28) |
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 |
52-302 (CSA Staff N) | 02/11/2000 | Dual Reporting of Financial Information | 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 |
NI 62-101 | 03/10/2000 | Control Block Distribution Issues | in effect 03/15/2000 |
NI 62-102 | 03/10/2000 | Disclosure of Outstanding Share Data | in effect 03/15/2000 |
NI 62-103 | 03/10/2000 | The Early Warning System and Related Take-Over Bid and Insider Reporting Issues | in effect 03/15/2000 |
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 |
71-101CP | 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 |
BOR 72-501 (BC) | 06/29/2000 | Prospectus Exemption for Trades in Securities of a Non-Reporting Issuer over a Market outside Canada | in effect 06/29/2000 |
| Part VIII - Mutual Funds | |||
NI 81-101 | 01/26/2000 | Mutual Fund Prospectus Disclosure | in effect 02/01/2000 |
81-101F1 | 01/26/2000 | Contents of Fund Summary | in effect 02/01/2000 |
81-101F2 | 01/26/2000 | Contents of Fund Prospectus | in effect 02/01/2000 |
81-101CP | 01/26/2000 | Mutual Fund Prospectus Disclosure | in effect 02/01/2000 |
NI 81-102 | 01/26/2000 | Mutual Funds | in effect 02/01/2000 |
81-102CP | 01/26/2000 | Mutual Funds | in effect 02/01/2000 |
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 | rescinded 02/01/2000 (NIN#2000/1) |
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 |
81-306 (CSA Staff N) | 04/07/2000 | Disclosure by Mutual Fund of Changes in Calculation of Management Expense Ratio | in effect |
BOR 81-501 (BC) | 02/03/2000 | Mutual Funds Management Expense Ratio Calculation Transitional Relief | in effect |
BOR 81-502 (BC) | 03/16/2000 | Confirmation of Purchase and Sale for Units of Certain Mutual Funds | in effect 03/17/2000 |
BOR 81-503 (BC) | 03/22/2000 | First Renewal Prospectuses Filed by Mutual Funds Under National Instrument 81-101 Mutual Fund Prospectus Disclosure | in effect 03/24/2000 |
| 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 |
4This form has been specified by the Executive Director.
Legend
| BOR - Blanket Order CP - Companion Policy CSA - Canadian Securities Administrators F - Form IR - Implementing Rule LP - Local Policy LR - Local Commission Rule | 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
1 See 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 June 30, 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 | lapsed 02/01/2000 (NIN#2000/2) |
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 | lapsed 02/01/2000 (NIN#2000/2) |
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 | lapsed 02/01/2000 (NIN#2000/2) |
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 | lapsed 06/30/2000 (NIN#2000/30) |
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 | lapsed 06/30/2000 (NIN#2000/30) |
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 | lapsed 06/30/2000 (NIN#2000/30) (see also NIN#2000/15) |
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 |
96/49 | 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 |
97/10 | 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 | lapsed 05/31/2000 (NIN#2000/19) |
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 | lapsed 06/30/2000 (NIN#2000/30) |
97/36 | 08/27/97 | Market Fragmentation Request for Comments and Disclosure Forum | lapsed 06/30/2000 (NIN#2000/30) (see also NIN#99/24) |
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 | lapsed 06/30/2000 (NIN#2000/30) (see also NIN#98/26) |
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 | lapsed 03/16/2000 |
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 |
98/20 | 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 | lapsed 03/15/2000 (replaced by NIN#2000/11) |
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 |
98/28 | 06/18/98 | Amendments to the SecuritiesAct | 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 |
98/36 | 07/02/98 | Proposed National Instrument 43-101 and Companion Policy 43-101CP Standards of Disclosure for Mineral Exploration and Development and Mining Properties | lapsed 03/22/2000 (see NIN#2000/12) |
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 | lapsed 03/16/2000 |
98/43 | 07/22/98 | Industry Responsibility Regarding the Year 2000 | lapsed 03/16/2000 |
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 |
98/54 | 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 |
99/1 | 01/07/99 | CSA Staff Report on the Year 2000 Disclosure Review Program | lapsed 03/16/2000 |
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 |
99/13 | 04/22/99 | Updated List of Non-Compliant Registered Firms under National Instrument 33-106 | lapsed 03/16/2000 |
99/14 | 04/28/99 | Short Form Offerings for Qualifying Issuers | in effect |
99/18 | 06/02/99 | Revamping the Exempt Market - Proposals of Staff of the Ontario Securities Commission | in effect |
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 |
99/24 | 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 | lapsed 06/30/2000 (NIN#2000/29) |
99/27 | 07/08/99 | Amendments to the Securities Act | in effect |
99/29 | 08/18/99 | Proposed National Instrument 55-101 and Companion Policy 55-101CP Exemption From Certain Insider Reporting Requirements | lapsed 06/15/2000 (NIN#2000/23) |
99/30 | 08/18/99 | Republication for Comment of Proposed Rule on Syndicated Mortgages | lapsed 06/08/2000 (NIN#2000/21) |
99/31 | 08/19/99 | General Prospectus Requirements - OSC Proposed Rule 41-501 and Form 41-501F1 | in effect |
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 | lapsed 06/30/2000 (NIN#2000/30) |
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 |
99/41 | 11/17/99 | Adoption of National Policy 12-201 Mutual Reliance Review System for Exemptive Applications | lapsed 06/30/2000 (NIN#2000/30) |
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 | lapsed 06/30/2000 (NIN#2000/30) |
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 |
99/48 | 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 | lapsed 03/08/2000 (NIN#2000/10) |
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 | lapsed 06/30/2000 (NIN#2000/30) |
99/52 | 12/15/99 | National Policy 47-201 Trading Securities Using the Internet and Other Electronic Means | lapsed 06/30/2000 (NIN#2000/30) |
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 | lapsed 06/30/2000 (NIN#2000/30) |
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 | lapsed 06/30/2000 (NIN#2000/30) |
2000/1 | 01/26/2000 | Adoption of National Instrument 81-101 Mutual Fund Prospectus Disclosure and Related Documents Rescission of National Policy No. 36 | lapsed 06/30/2000 (NIN#2000/30) |
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 | lapsed 06/30/2000 (NIN#2000/30) |
2000/3 | 01/26/2000 | Consequential Amendments to Securities Rules relating to New National Instruments governing Mutual Funds and their Disclosure | lapsed 06/30/2000 (NIN#2000/30) |
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 |
2000/6 | 02/03/2000 | Trust Account Requirements | in effect |
2000/7 | 02/03/2000 | Management Expense Ratio Calculations for Mutual Funds | in effect |
2000/8 | 02/10/2000 | Revised Indices of Policies and Other Instruments under the Securities Act | lapsed 06/30/2000 (NIN#2000/30) |
2000/9 | 02/24/2000 | Commission Recognizes the Canadian Venture Exchange Resale Requirements | in effect |
2000/10 | 03/08/2000 | Adoption of National Instrument 62-101, National Instrument 62-102 and National Instrument 62-103 Early Warning System and Related Matters | lapsed 06/30/2000 (NIN#2000/30) |
2000/11 | 03/15/2000 | Proposal for Uniform Terms of Escrow Applicable to Initial Public Distributions - Escrow Agreement | in effect |
2000/12 | 03/22/2000 | Proposed National Instrument 43-101, Companion Policy 43-101CP and Form 43-101F1 Standards of Disclosure for Mineral Projects | in effect |
2000/13 | 03/22/2000 | First Renewal Prospectuses Filed by Mutual Funds Under National Instrument 81-101 Mutual Fund Prospectus Disclosure | in effect |
2000/14 | 03/30/2000 | Revocation and Replacement of Blanket Orders Issued in connection with the Commodity Contract Act | in effect |
2000/15 | 04/25/2000 | Continuous Disclosure Review Program Report | in effect |
2000/16 | 05/04/2000 | Defaulting Reporting Issuers - OSC Proposed Policy 57-601 | in effect |
2000/17 | 05/17/2000 | Financial Institutions Act - Mutual Fund Trustee Exemption | in effect |
2000/18 | 05/23/2000 | Viatical Settlements | in effect |
2000/19 | 05/31/2000 | Republication for Comment of Proposed National Instrument 81-104 and Companion Policy 81-104CP | in effect |
2000/20 | 06/01/2000 | Publication for Comment of Proposed Commission Rule 45-502 (BC) and Companion Policy relating to Cooperative Associations | in effect |
2000/21 | 06/08/2000 | Adoption of Rule 45-501 (BC) and Companion Policy 45-501CP (BC) Mortgages | in effect |
2000/22 | 06/15/2000 | Publication for Comment of Proposed National Instrument 55-102 and Related Documents System for Electronic Data on Insiders (SEDI) | in effect |
2000/23 | 06/15/2000 | Republication for Comment of Proposed National Instrument 55-101 and Related Documents Exemption from Certain Insider Reporting Requirements | in effect |
2000/24 | 06/15/2000 | Publication for Comment of Proposed Amendments to National Instruments 81-101 Mutual Fund Prospectus Disclosure and 81-102 Mutual Funds Relating to Index Mutual Funds and Other Matters | in effect |
2000/25 | 06/15/2000 | Mutual Fund Dealers Association of Canada Application for Recognition as a Self-Regulatory Organization | in effect |
2000/26 | 06/21/2000 | Amendments to Form 1 - Summons to Attend Before an Investigator Under Section 144 | in effect
06/30/2000 |
2000/27 | 06/29/2000 | Proposed Conditions of Registration for Limited Dealers | 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 June 30, 2000
BOR# | Date of BOR (mm/dd/yy) | Description | Status (mm/dd/yy) |
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 | revoked 03/31/2000 (BOR#2000/3) |
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 | revoked 03/31/2000 (BOR#2000/3) |
91/10 | 08/08/91 | First renewal prospectuses filed by mutual funds under National Policy Statement No. 36 | in effect2 |
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 |
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 | revoked 02/01/2000 (BOR#2000/1) |
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 | revoked 02/10/2000 (BOR#2000/2) |
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 | revoked 02/10/2000 (BOR#2000/2) |
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 |
98/11 | 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 |
2000/1 | 02/03/2000 (effective 02/01/2000) | Revocation of BOR#95/6 | lapsed 02/04/2000 |
2000/2 | 02/10/2000 | Revocation of BOR#95/20 and BOR#95/22 | lapsed 02/11/2000 |
2000/3 | 03/30/2000 | Revocation of CCA BOR#89/1, CCA BOR#89/3, CCA BOR#89/4, CCA BOR#89/5, CCA BOR#89/6, CCA BOR#89/7, CCA BOR#91/1, CCA BOR#91/2, BOR#89/1 and BOR#91/8 | lapsed 03/31/2000 |
2 This BOR will be revoked after all mutual funds that have filed under former National Policy 36 refile under NI 81-101. See also BOR#81-503 (BC).
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 June 30, 2000
Policy # | Date of Policy (mm/dd/yy) | Description | Status (mm/dd/yy) |
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 |
3-19 | 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) |
3-45 | 04/06/89 (draft) | Designation as a reporting issuer and business investor offerings | in effect 04/07/89 (see NIN#89/17) |