NIN 94/01 - 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Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act and Securities Regulation [NIN - Rescinded]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: | 1994-01-07 |
|---|---|
| Effective Date: | 1994-01-06 |
The NIN index contains only the NINs that are in effect, that have been lapsed since the publication of the previous index, and that have been lapsed some time ago but the contents of which are still important. The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect.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 or that have been lapsed since the publication of the previous index.
DATED at Vancouver, British Columbia, on January 6, 1994.
Douglas M. Hyndman
Chair
Attachments
SECURITIES ACT
INDEX OF NOTICES AND INTERPRETATION NOTES
Effective January 7, 1994
NIN # (mm/dd/yy) Description (mm/dd/yy)
87/45 06/11/87 Technical reports on mining properties accompanying in effect prospectuses submitted for acceptance by the Superintendent of Brokers
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 in effect or the Superintendent of Brokers for decisions or orders
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 in effect and registration
88/22 08/12/88 Section 115(3)(f) of the Securities Regulation - time limit lapsed for raising a minimum subscription 02/17/93
88/40 11/09/88 Sale of mutual funds by financial institutions - principles in effect of regulation
88/43 11/18/88 Form 20A - clarification of requirements in effect
88/45 12/01/88 National Policy Statement No. 41 - shareholder in effect communication - removal of exemption
88/48 12/20/88 Full service and discount brokerage activities by financial in effect institutions - principles of regulation
89/2 01/17/89 Execution of memorandum of understanding lapsed 04/01/89
89/3 01/20/89 Conflict of interest rules statement - clarification of filing in effect requirements
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 in effect issuer and business investor offerings
89/21 07/21/89 Orders pursuant to section 145 of the Securities Act - in effect removal of trading exemptions
89/23 08/17/89 Form 4 - requirement for photographs lapsed 04/23/92 (see Form 4)
89/25 08/31/89 Capital and reporting requirements for registrants under lapsed the Securities Act 09/29/89
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 in effect Commission
89/35 11/24/89 Disclosure of promotional or investor relations in effect arrangements
89/36 11/15/89 Disclosure of experience of directors, officers, in effect promoters and control persons
89/41 12/01/89 Amended definition of "private issuer" lapsed 01/09/92
89/43 12/21/89 Local Policy Statement 3-07 in effect
90/2 01/26/90 Amendment of the short selling rule lapsed 01/04/91
90/4 02/09/90 National Policy No. 39 - mutual funds distributor's in effect report and auditor's letter
90/5 02/23/90 Final report on capital, financial reporting and audit lapsed requirements for the securities industry 01/07/94
90/6 02/27/90 Employee Investment Act lapsed 01/04/91
90/7 03/07/90 Dual employment of individuals employed by financial in effect institutions and securities registrants
90/10 03/23/90 Recent changes to filing requirements for annual lapsed information forms 01/07/94 (see NIN# 94/2)
90/13 04/05/90 Rights offerings in effect
90/16 05/10/90 Principles of regulation re: activities of registrants in effect related to financial institutions
90/19 06/05/90 Take over bids lapsed 01/04/91
90/20 06/07/90 Availability of weekly summary and material published in effect under the Securities Act
90/22 06/14/90 Filing of specified forms in effect
90/27 07/12/90 Securities Amendment Act, 1990 lapsed 01/09/92
90/29 08/30/90 Proposals for securities firms in effect
91/12 07/11/91 Ontario Securities Commission Policy Statement 9.1 - in effect disclosure, valuation, review and approval requirements and recommendations for insider bids, issuer bids, going private transactions and related party transactions
91/13 07/11/91 Ontario Securities Commission Review of Disclosure lapsed Requirements of Form 41 - statement of executive 12/16/93 compensation
91/17 09/25/91 Section 203(3)(b) of the Company Act - consent by the in effect Superintendent of Brokers to the waiver of the appointment of an auditor for a subsidiary corporation
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 in effect reorganizations
91/22 11/13/91 Guide for use of the multijurisdictional disclosure system in effect by Canadian issuers in the U.S. Market
91/23 12/12/91 Introduction of Interim Local Policy Statement 3-43 - in effect government strip bonds
91/24 12/18/91 Draft National Policy Statement No. 47 - prompt offering lapsed qualification system 02/17/93
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 in effect commodity warrants and other derivative securities
92/6 04/23/92 Amendments to the Fee Schedule under the Securities lapsed Regulation 01/07/94
92/8 05/07/92 Ontario Securities Commission Policy No. 4.8 - in effect non-resident advisers
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 in effect Assessment Reports
92/20 07/16/92 Draft Form 12A, prospectus for a junior industrial issuer, in effect and related disclosure initiatives
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
92/23 07/30/92 Draft National Policy Statement No. 51 - changes in the lapsed ending date of a financial year and in reporting status 06/30/93
92/24 07/24/92 Amendments to the Securities Act in effect
92/25 08/06/92 Limitations on a registrant underwriting securities of a lapsed related party or connected party of the registrant 01/07/94
92/27 10/07/92 Draft National Policy Statement No. 49 - self-regulatory lapsed organization membership 05/18/93
92/28 10/22/92 Memorandum of understanding with the Commission lapsed des opérations de bourse 01/07/93
92/29 11/06/92 Accounting for performance shares in effect
92/30 11/26/92 National Policy Statement No. 39 - mutual funds draft in effect sections 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
92/31 12/03/92 Restated National Policy Statement No. 39 - lapsed amendments to expand the permitted uses of derivatives by mutual funds 01/07/94
92/32 12/09/92 National Policy Statement No. 14 - acceptability of lapsed currencies in material filed with securities regulatory authorities 01/07/94
92/33 12/09/92 National Policy Statement No. 48 - future-oriented lapsed financial information 01/07/94
92/34 12/16/92 National Policy Statement No. 27 - Canadian generally lapsed accepted accounting principles 01/07/94
92/35 12/16/92 National Policy Statement No. 50 - reservations in an lapsed auditor's report 01/07/94
92/36 12/24/92 National Policy Statement No. 45 - multijurisdictional lapsed disclosure system - Canadian rating organizations 03/31/93
93/1 01/07/93 Revised indices of notices and interpretation notes, lapsed blanket orders and rulings, local policy statements and forms under the Securities Act and Securities Regulation 01/07/94
93/2 01/07/93 Specification of required forms under the Securities Act in effect and Securities Regulation
93/3 01/07/93 Decisions of the British Columbia Securities Commission in effect
93/4 02/17/93 National Policy Statement No. 47 - Prompt Offering lapsed Qualification System and Amendments to National Policy Statement No. 1 01/07/94
93/5 02/17/93 Section 115(3)(f) of the Securities Regulation - Time in effect Limit for Raising A Minimum Subscription
93/6 02/17/93 Amendment to National Policy Statement No. 48 - lapsed Future-Oriented Financial Information 01/07/94
93/7 03/29/93 National Policy Statement No. 45 - multijurisdictional lapsed disclosure system - Canadian rating organizations 06/30/93
93/8 04/01/93 Money Laundering: new federal regulations in effect
93/9 05/12/93 Draft Local Policy Statement 3-14 - Applications for lapsed insider reporting exemptions 09/09/93
93/10 05/18/93 National Policy Statement No. 49 - Self-regulatory lapsed organization membership 01/07/94
93/11 06/02/93 Restatement of National Policy Statement No. 40 - lapsed Timely disclosure 01/07/9493/12 06/10/93 Restriction applicable to the solicitation of expressions in effect of interest under BOR#91/7 and BOR#93/1
93/13 06/10/93 Draft amendments to National Policy Statement No. 47 lapsed and National Policy Statement No. 45 12/16/93
93/14 06/10/93 National Policy Statement No. 45 - multijurisdictional lapsed disclosuresystem ("NP 45") - Canadian rating organizations 11/30/93
93/15 06/30/93 National Policy Statement No. 51 - Changes in the lapsed ending date of a financial year and in reporting status 01/07/94
93/16 08/19/93 Draft National Policy Statement No. 53 - Foreign issuer in effect prospectusand continuous disclosure system
93/17 09/09/93 Local Policy Statement 3-14 - Application for insider lapsed reporting exemptions 01/07/94
93/18 09/09/93 Fiscal Agency Agreement -Restrictions on exemption in effect orders
93/19 09/09/93 New form of certificate under section 60(3) of the in effect Securities Act
93/20 11/09/93 British Columbia Securities Commission - Professional in effect Secondment Program
93/21 11/25/93 Fiscal Agency Agreements - Application for discretionary in effect exemption orders
93/22 12/16/93 Amendments to National Policy Statement No. 47 and in effect National Policy Statement No. 45
93/23 12/16/93 Executive Compensation in effect
93/24 12/22/93 Exemption for filing notice of networking arrangements in effect governed by the Principles of Regulation
94/1 01/06/94 Revised indices of notices and interpretation notes, in effect blanket orders and rulings, local policy statements and forms under the Securities Act and Securities Regulation
94/2 01/06/94 Filing Requirements for Annual Information Forms in effectSECURITIES ACT
INDEX OF BLANKET ORDERS AND RULINGS
Effective January 7, 1994
BOR # (mm/dd/yy) Description (mm/dd/yy)
87/18 03/23/87 Certain certificates for government securities and zero in effect coupon strip bonds
87/22 04/16/87 A prompt offering qualification system revoked in part 03/01/93 remainder 05/l9/93 (see BOR#93/2 and NIN#93/4)
87/29 06/11/87 A policy of the Toronto Stock Exchange on small in effect shareholder selling and purchase arrangements
87/30 06/11/87 A policy of the Montreal Exchange on small in effect shareholder selling and 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 in effect September 1, 1988 under a exemption from section 42 09/01/88 of the Securities Act
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 in effect reporting of transactions by registrants
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 in effect shareholders of a reporting issuer 03/01/88
89/5 10/05/89 Trades in securities held subject to an escrow or pooling in effect agreement
89/8 10/13/89 Reporting companies under the British Columbia in effect Company Act and the 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 in effect Employee Investment Act
90/4 10/11/90 Trades in deposit-type or self-directed registered in effect educational savings plans
91/2 05/03/91 Rules for shelf prospectus offerings and for pricing in effect offerings after the 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 in effect of countries issuing bonds, debentures or other evidence of indebtedness 07/01/91
91/7 06/25/91 Multijurisdictional Disclosure System in effect (see NIN#93/12) 07/01/91
91/8 08/01/91 Registration of Persons Trading in TCO Commodity in effect Options 05/17/9191/10 08/08/91 First Renewal Prospectuses Filed by Mutual Funds in effect under National Policy Statement No. 36
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 in effect to the Weekly Summary and for search of a file
92/2 08/06/92 Limitations on a registrant underwriting securities of a in effect related party or connected party of the registrant
92/3 11/18/92 Revocation of BOR#91/11 [AND] recognized options in effect traded through recognized clearing agencies (recognized options rationalization order) 08/11/92
93/1 02/17/93 Prompt Offering Qualification System - Exemption in effect Orders under Section 59 of the Act and Sections 99(2), 115(6) and 143(1)(b)(iii)of the Regulation (see NIN#93/2) 02/19/93
93/2 02/17/93 Revocation of BOR#87/22 -Revocation Order under lapsed Section 153 05/20/93
93/3 06/16/93 The multijurisdictional disclosure system - Exemption in effect order under Section 97(2) of the Company Act
93/4 12/22/93 Networking Arrangements Governed by the Principles in effect of Regulation
SECURITIES ACT
INDEX OF LOCAL POLICY STATEMENTS
Effective January 7, 1994
Policy # (mm/dd/yy) Description (mm/dd/yy)
3-01 02/01/87 Factors to be considered in arriving at a decision that a in effect natural resource property has sufficient merit to justify an expenditure 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 in effect prospectuses (national issues)
3-04 02/01/87 Guidelines for technical reports of non-natural resource in effect properties and program proposals which are the subject see of funding on prospectuses and other statements of material facts submitted for receipting by the Superintendent of Brokers NIN#89/433-05 02/01/87 Rights offerings to shareholders in effect see NIN#90/13
3-06 02/01/87 Prospectus guidelines for the mortgage investment in effect issuer
3-07 12/21/89 Policy guidelines respecting trading shares, performance in effect shares and other consideration 03/01/90
3-09 02/01/87 Transfers and releases of escrowed and pooled shares rescinded - unlisted issuers by LPS#3-07 03/01/90
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 rescinded prospective subscribers as a condition of exemption 11/01/89 by from section 42 of the Securities Act 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 in effect to make a 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 in effect and warrants available to registrants participating in see NIN#89/43 such offerings
3-22 02/10/89 Requirements for registration for trading in securities in effect (Interim)
3-23 Reserved
3-24 02/01/87 Statutory exemptions and orders made under section 33 in effect and section 59 of the Securities Act see NIN#88/5
3-25 02/01/87 Re: natural resource issuer - "best efforts" prospectus in effect and amendments to prospectus arising from market conditions
3-26 02/01/87 Statement of material facts submitted to the in effect Superintendent of Brokers and the Vancouver Stock Exchange for vetting
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 in effect issuers
3-32 Reserved
3-33 02/01/87 R.R.S.P.'s administered by brokers on behalf of in effect authorized trustees
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 in effect disclosure
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 in effect promotional activities during the course of a distribution
3-40 02/01/87 The prompt offering qualification system for securities rescinded as per of senior national issuers 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 in effect registration
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 in effect (draft) issuers) 04/08/89 see NIN#89/17
SECURITIES ACT
INDEX OF FORMS
Effective January 7, 1994
Securities Act or RegulationForm # Title Section or Form
1 Summons to attend before an investigator under section 128 of Reg 170
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 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
12 - industrial issuer Act 42(2) see NIN#93/23
12A - industrial issuer required to file an assessment report under Local Act 42(2) draft 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 Revoked (09/01/88) & 22
23 Notice of intention to sell and declaration pursuant to section 117(c) Reg 129 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) 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 Act 71 & Reg 151insider required under section 71 of the Act
39 Report of a mutual fund manager required under section 109 of the Act Act 109
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 Reg 167.3(4)
SECURITIES ACT
INDEX OF REFERENCES TO A REQUIRED FORM WHERE NO FORM IS SPECIFIED
Effective January 7, 199
Securities Act or Form or Regulation
Requirement Title 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 Underwriter's calculation of net free capital Reg 22(b)
No form specified Form of signature and certification Reg 152.1