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Securities Law

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Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act and Securities Regulation [NIN - Rescinded]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
Effective January 6, 1995, the Commission is rescinding the indices dated effective June 30, 1994 of the Notices and Interpretation Notes, Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act and Securities Regulation and substituting the indices attached to this Notice.

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 The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect.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



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

89/35 11/24/89 Disclosure of promotional or investor relations in effect

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

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

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

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

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

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

94/7 06/07/94 Task force on operational efficiencies in the lapsed
administration of securities regulation - Request for 01/06/95

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

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

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

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



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

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

88/6 08/12/88 Filing of insider reports by control persons in effect

88/11 11/28/88 Conflict of interest rules statement in effect
- confirmation and reporting of transactions by

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

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

91/5 06/06/91 Resale of rights acquired under a rights offering in effect

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
(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)

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)



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

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
(revised draft)
Filing of assessment

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

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

3-10 02/01/87 Cancellation of escrowed shares rescinded
03/01/90 by

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

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

3-15 07/07/89 Exempt purchaser status in effect

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

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

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
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

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

3-45 04/06/89 Designation as a reporting issuer (extraprovincial in effect
(draft) issuers) 04/08/89
see NIN#89/17



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)

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

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



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
& 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) &

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