NIN 93/02 - Specification of Required Forms under the Securities Act and Securities Regulation [NIN - Rescinded]
| Published Date: | 1993-01-08 |
|---|---|
| Effective Date: | 1993-01-07 |
For convenience, effective January 7, 1993, the Superintendent is specifying, in accordance with section 158 of the Securities Act, the Forms referred to in the index of Forms attached to this Notice. In addition, the index lists those sections of the Act or Regulation which refer to a required Form but for which no Form has been specified.
DATED at Vancouver, British Columbia, on January 7, 1993.
Dean E. Holley
Superintendent of Brokers
Attachment
SECURITIES ACT
INDEX OF FORMS
Effective January 7, 1993
Form # Title Securities Act or Regulation Section or Form
1 Summons to attend before an investigator Reg 170 under section 128 of the Act
2 Affidavit of service Reg 171
3 Application for registration as dealer, Act 20(2) advisor or underwriter
4 Uniform application for registration/approval Act 20(2) & 73.1
4A (Abbreviated application for registration/approval- mutual fund Act 20(2) salesman of financial institution)
4B Personal information for directors, officers, promoters & control Act 73.1 persons
5 Uniform application for renewal of licence or registration Act 20(2)
6 Reserved
7 Application for amendment of registration as dealer, advisor or Act 20(2), 28(1) & (2) underwriter
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 Information required in Reg 75 prospectus of
12A - industrial issuer required to file an assessment report under Act 42(2) see NIN#92/20 draft Local Policy Statement 3-04
13 - finance issuer Act 42(2)
14 - natural resource issuer Act 42(2)
15 - mutual fund Act 42(2)
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 Revoked (09/01/88) & 22
23 Notice of intention to sell and declaration pursuant to section Reg 129 117(c) and (d) of the Securities Regulation
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)
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)
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 Act 71 & Reg 151 insider required under section 71 of the Act
39 Report of a mutual fund manager required under section 109 Act 109 of the Act
40 Endorsement of warrant Act 139(1)
41 Statement of executive compensation Form 30, Item 6
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 Reg 167.3(4) Securities Regulation
SECURITIES ACT
INDEX OF REFERENCES TO A REQUIRED FORM WHERE NO FORM IS SPECIFIED
Effective January 7, 1993
Form or Securities Act or Requirement Title Regulation Section or Form
No form specified Escrow agreement (relating to property shares) Act 31(2)(21), 55(2)(18) & Reg 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 but Form of proxy Act 101(1) must comply with items 1 and 2 of Form 30
No form specified Underwriter's calculation of net free capital Reg 22(b)
No form specified Form of signature and certification Reg 152.1