NIN 95/01 - 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Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act and Securities Regulation [NIN - Rescinded]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: | 1995-01-06 |
|---|---|
| Effective Date: | 1995-01-05 |
The NIN index contains only the NINs that are in effect and that have been lapsed since the publication of the previous index. The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect.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.
DATED at Vancouver, British Columbia, on January 5, 1995.
Douglas M. Hyndman
Chair
SECURITIES ACT
INDEX OF NOTICES AND INTERPRETATION NOTES
Effective January 6, 1995
Date of
NIN Status
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 in effect
Commission 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 in effect
rights and registration
88/40 11/09/88 Sale of mutual funds by financial institutions in effect
- principles 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 in effect
financial institutions
- principles of regulation
89/3 01/20/89 Conflict of interest rules statement in effect
- clarification of filing 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 in effect
reporting 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
89/29 10/13/89 Interpretation note in effect
- meaning of "the public"
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
89/43 12/21/89 Local Policy Statement 3-07 in effect
90/4 02/09/90 National Policy No. 39 in effect
- mutual funds distributor's report and auditor's letter
90/7 03/07/90 Dual employment of individuals employed by financial in effect
institutions and securities registrants
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
90/20 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
90/29 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
91/17 09/25/91 Section 203(3)(b) of the Company Act in effect
- consent by the 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 in effect
system 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
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 in effect
- index and commodity warrants and other derivative
securities
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 in effect
- filing of assessment reports
92/20 07/16/92 Draft Form 12A, prospectus for a junior industrial lapsed
issuer, and related disclosure initiatives 01/06/95
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
92/24 07/24/92 Amendments to the Securities Act in effect
92/29 11/06/92 Accounting for performance shares in effect
92/30 11/26/92 National Policy Statement No. 39 in effect
- 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
93/2 01/07/93 Specification of required forms under the Securities in effect
Act and Securities Regulation
93/3 01/07/93 Decisions of the British Columbia Securities in effect
Commission
93/5 02/17/93 Section 115(3)(f) of the Securities Regulation in effect
- time limit for raising a minimum subscription
93/8 04/01/93 Money laundering: new federal regulations in effect
93/12 06/10/93 Restriction applicable to the solicitation of in effect
expressions of interest under BOR#91/7 and
BOR#93/1
93/16 08/19/93 Draft National Policy Statement No. 53 in effect
- Foreign issuer prospectus and continuous
disclosure system
93/18 09/09/93 Fiscal agency agreement in effect
- Restrictions onexemption orders
93/19 09/09/93 New form of certificate under section 60(3) of the lapsed
Securities Act 11/23/94
93/21 11/25/93 Fiscal agency agreements in effect
- Application for discretionary exemption orders
93/23 12/16/93 Executive compensation in effect
93/24 12/22/93 Exemption for filing notice of networking in effect
arrangements governed by the principles of
regulation
94/2 01/06/94 Filing requirements for annual information forms in effect
94/3 03/03/94 Amendments to the fee schedule under the lapsed
Securities Regulation 01/06/95
94/4 05/17/94 Decision of the Court of Appeal for British Columbia in effect
in the matter of Hamelin v. Seven Mile High Group Inc.
94/5 06/08/94 National Policy Statement No. 39 in effect
- Definition of debt-like securities
94/6 06/08/94 Proposed Interpretation Note on sections 31(2)(21) in effect
and 55(2)(18) of the Securities Act - Request for
comment
94/7 06/07/94 Task force on operational efficiencies in the lapsed
administration of securities regulation - Request for 01/06/95
comment
94/8 06/30/94 Revised indices of notices and interpretation notes, lapsed
blanket orders and rulings, local policy statements 01/06/95
and forms under the Securities Act and Securities
Regulation
94/9 07/26/94 Amendments to sections 154.3 and 154.4 of the in effect
Securities Act
94/10 08/05/94 Proposal for expedited review of short form prospectus lapsed
and renewal AIFs 01/06/95
94/11 09/14/94 Course announcement - The Securities Program in effect
94/12 09/21/94 Joint release of IOSCO/BIS derivatives papers in effect
94/13 10/05/94 Summary of legislative and policy initiatives in effect
94/14 10/05/94 Proposed amendments to the Securities Act in effect
94/15 10/05/94 Proposed amendments to Securities Regulation in effect
94/16 10/05/94 Draft amended Local Policy Statement 3-22 in effect
- Registration requirements
94/17 10/05/94 Form 12A - Prospectus for a junior industrial issuer, in effect
interim Local Policy Statement 3-17 - Registrant due
diligence and related disclosure initiatives
94/18 10/05/94 Form 12A - Prospectus for a junior industrial issuer in effect
94/19 10/12/94 Draft Amended National Policy Statement No. 41 in effect
- Security holder communication
94/20 10/14/94 Draft National Policy Statement No. 43 in effect
- Advertisements of securities and related sales
practices
94/21 11/03/94 Expedited review of short form prospectus and in effect
renewal AIFs
94/22 11/01/94 Permission under section 35(1)(c) of the Securities Act in effect
94/23 11/03/94 XIXth annual conference of IOSCO, Tokyo, lapsed
October 16, to 21, 1994 01/06/95
94/24 11/09/94 Part XIII of the Regulation to the Securities Act in effect
(Ontario) -Conflict of interest: related and connected
issuers
94/25 11/23/94 Amendments to the Securities Act in effect
94/26 11/23/94 Required form under section 32(g) of the Securities Act in effect
94/27 11/23/94 New form of certificate under section 60(3) of the in effect
Securities Act
94/28 11/23/94 Proposed amendments to the Securities Act in effect
94/29 12/22/94 Traditional relief - Interim Local Policy Statement in effect
No. 3-17 - Registrant due diligence
SECURITIES ACT
INDEX OF BLANKET ORDERS AND RULINGS
Effective January 6, 1995
Date of BOR Status
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
87/29 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 in effect
- confirmation and 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 in effect
pooling 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 6/06/91 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 07/01/91
evidence of indebtedness
91/7 06/25/91 Multijurisdictional Disclosure System in effect
07/01/91
(see NIN#93/12)
91/8 08/01/91 Registration of Persons Trading in TCO Commodity in effect
Options 05/17/91
91/10 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 in effect
subscription 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 08/11/92
(recognized options rationalization order)
93/1 12/17/93 Prompt Offering Qualification System in effect
- Exemption Orders under Section 59 of the Act and 02/19/93
Sections 99(2), 115(6) and 143(1)(b)(iii) of the (see NIN#93/12)
Regulation
93/3 06/16/93 The multijurisdictional disclosure system in effect
- Exemption order under Section 97(2) of the
Company Act
93/4 12/22/93 Networking Arrangements Governed by the Principle in effect
of Regulations
94/1 11/23/94 Prompt Offering Qualification System in effect
- Memorandum of Understanding for expedited review 11/23/94
of short form prospectuses and renewal AIFs (see NIN#94/22)
SECURITIES ACT
INDEX OF LOCAL POLICY STATEMENTS
Effective January 6, 1995
Date of Policy Status
Policy # (mm/dd/yy) Description (mm/dd/yy)
3-01 02/01/87 Factors to be considered in arriving at a decision that in effect
a natural resource property has sufficient merit to justify see NIN#89/43
an expenditure thereon of risk capital derived from
public subscription
3-02 12/21/90 Prospectus filing requirements in effect
02/04/91
3-03 02/01/87 Requirements re filing of preliminary prospectuses in effect
and prospectuses (national issues)
3-04 02/01/87 Guidelines for technical reports of non-natural resource rescinded
properties and program proposals which are the subject 01/06/95
of funding on prospectuses and other statements of by NIN#94/17
material facts submitted for receipting by the and replaced by
Superintendent of Brokers LPS#3-17
07/16/92
(revised draft)
Filing of assessment
reports
3-05 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, in effect
performance shares and other consideration 03/01/90
3-08 02/01/87 Shares issued for cash prior to a public offering of rescinded
securities by prospectus and shares issued for cash 03/01/90 by
by reporting issuers LPS#3-07
3-09 02/01/87 Transfers and releases of escrowed and pooled rescinded
shares - unlisted issuers 03/01/90 by
LPS#3-07
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 rescinded
to prospective subscribers as a condition of exemption 11/01/89
from section 42 of the Securities Act by 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 01/06/95 Registrant due diligence in effect
(Interim) see NIN#94/17
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 in effect
options and warrants available to registrants see NIN#89/43
participating in such offerings
3-22 02/10/89 Requirements for registration for trading in securities in effect
(Interim)
10/05/94 Registration requirements Draft see NIN#94/16
3-23 Reserved
3-24 02/01/87 Statutory exemptions and orders made under in effect
section 33 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 in effect
- unlisted 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 in effect
and 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
of senior national issuers as per 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 6, 1995
Securities Act or
Form # Title Regulation Section or Form
1 Summons to attend before an investigator under Reg 170
section 128 of the Act
2 Affidavit of service Reg 171
3 Application for registration as dealer, advisor or Act 20(2)
underwriter
4 Uniform application for registration/approval Act 20(2) & 73.1
4A (Abbreviated application for registration/approval Act 20(2)
- mutual fund salesman of financial institution)
4B Personal information for directors, officers, promoters Act 73.1
& control persons
5 Uniform application for renewal of licence or registration Act 20(2)
6 Reserved
7 Application for amendment of registration as dealer, Act 20(2), 28(1) & (2)
advisor or underwriter
7A Application for transfer/change of status Act 20(2) & 28(3)
8 Summons for an examination under section 24(c) of Reg 19
the Act
9-10 Reserved
11 Application for exempt purchaser status Reg 75
Information required in prospectus of
12 - industrial issuer Act 42(2)
see NIN#93/23
12A Prospectus for junior industrial issuer Act 42(2)
see NIN#94/18
effective 01/06/95
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
Draft Form 20A (IP and NIP) - see NIN#94/15
21,21A & 22 Revoked (09/01/88)
23 Notice of intention to sell and declaration pursuant to Reg 129
section 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)
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 Act 71 & Reg 151
owned by an insider required under section 71 of the
Act
39 Report of a mutual fund manager required under Act 109
section 109 of the Act
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 Reg 102
and gas
55 Technical report on oil and gas properties Reg 102
56-57 Reserved NIN#94/26
58 Information Statement required under section 32(g) Act 32(g)
of the Act
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 Reg 167.3(4)
section 167.3(4) of the Securities Regulation
SECURITIES ACT
INDEX OF REFERENCES TO A REQUIRED FORM WHERE NO FORM IS SPECIFIED
Effective January 6, 1995
Securities Act or Regulation
Form or Requirement Title Section or Form
No form specified Escrow agreement (relating to Act 31(2)(21),
property shares) 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 Form of proxy Act 101(1)
but must comply
with items 1 and
2 of Form 30
No form specified Underwriter's calculation of Reg 22(b)
net free capital
No form specified Form of signature and Reg 152.1
certification