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Securities Law

NIN 95/27 - 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Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act and Securities Regulation [NIN - Rescinded]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: 1995-06-30
Effective Date: 1995-06-30
Effective June 30, 1995, the Commission is rescinding the indices dated effective January 6, 1995 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 The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect.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 June 29, 1995.

Douglas M. Hyndman



Effective June 30, 1995
NIN #Date of
87/4506/11/87Technical reports on mining properties accompanying prospectuses submitted for acceptance by the Superintendent of Brokersin effect
87/5207/24/87Flow-through sharesin effect
87/6610/09/87Prospectus vetting proceduresin effect
87/6710/09/87Leveraged mutual fund purchasesin effect
88/503/31/88Guidelines for applications to the Securities Commission or the Superintendent of Brokers for decisions or ordersin effect
88/706/01/88Venture capital issuersin effect
88/1006/02/88"Full disclosure" in financial statementsin effect
88/1106/06/88The effect of criminal and civil litigation on trading rights and registrationin effect
88/4011/09/88Sale of mutual funds by financial institutions - principles of regulationin effect
88/4311/18/88Form 20A - clarification
of requirements
in effect
88/4512/01/88National Policy Statement No. 41 - shareholder communication - removal of exemptionin effect
88/4812/20/88Full service and discount brokerage activities by financial institutions
- principles of regulation
in effect
89/301/20/89Conflict of interest rules statement
- clarification of filing requirements
in effect
89/501/27/89Introduction of revised quarterly reportlapsed 04/20/95
89/1303/02/89Statutory filingsin effect
89/1704/06/89Local Policy Statement 3-45 - designation as a reporting issuer and business investor offeringsin effect
89/2107/21/89Orders pursuant to section 145 of the Securities Act - removal of trading exemptionsin effect
89/2910/13/89Interpretation note - meaning of "the public"in effect
89/3010/13/89Qualifications of auditors filing reportsin effect
89/3210/31/89Required form of offering memorandumin effect
89/3411/17/89Settlements with the British Columbia Securities Commissionin effect
89/3511/24/89Disclosure of promotional or investor relations arrangementsin effect
89/3611/15/89Disclosure of experience of directors, officers, promoters and control personsin effect
89/4312/21/89Local Policy Statement 3-07in effect
90/402/09/90National Policy No. 39 - mutual funds distributor's report and auditor's letterin effect
90/703/07/90Dual employment of individuals employed by financial institutions and securities registrantsin effect
90/1304/05/90Rights offeringsin effect
90/1605/10/90Principles of regulation re: activities of registrants related to financial institutionsin effect
90/2006/07/90Availability of weekly summary and material published under the Securities Actin effect
90/2206/14/90Filing of specified formsin effect
90/2908/30/90Proposals for securities firmsin effect
91/1207/11/91Ontario 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 transactionsin effect
91/1709/25/91Section 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 corporationin effect
91/1810/02/91Auditor's report on comparative financial statementsin effect
91/1910/10/91New computer system for insider reportsin effect
91/2010/31/91Comparative interim financial statementsin effect
91/2111/01/91Accounting for business combinations and corporate reorganizationsin effect
91/2211/13/91Guide for use of the multijurisdictional disclosure system by Canadian issuers in the U.S. Marketin effect
91/2312/12/91Introduction of Interim Local Policy Statement 3-43 - government strip bondsin effect
92/202/06/92Communication with the Securities Commissionin effect
92/302/12/92Waivers consequential to Local Policy Statement 3-07in effect
92/403/05/92Draft National Policy Statement No. 46 - index and commodity warrants and other derivative securitiesin effect
92/805/07/92Ontario Securities Commission Policy No. 4.8 - non-resident advisersin effect
92/1506/25/92Securities Amendment Act, 1992in effect
92/1807/10/92Required form of personal informationin effect
92/1907/16/92Revised Draft Local Policy Statement 3-04 - filing of assessment reportsin effect
92/2107/16/92Proposed junior POP system - request for commentin effect
92/2207/16/92Fiscal agency agreements - request for commentin effect
92/2407/24/92Amendments to the Securities Actin effect
92/2911/06/92Accounting for performance sharesin effect
92/3011/26/92National 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 principalin effect
93/201/07/93Specification of required forms under the Securities Act and Securities Regulationin effect
93/301/07/93Decisions of the British Columbia Securities Commissionlapsed
93/502/17/93Section 115(3)(f) of the Securities Regulation - time limit for raising a minimum subscriptionin effect
93/804/01/93Money laundering: new federal regulationsin effect
93/1206/10/93Restriction applicable to the solicitation of expressions of interest under BOR#91/7 and BOR#93/1in effect
93/1608/19/93Draft National Policy Statement No. 53 - Foreign issuer prospectus and continuous disclosure systemin effect
93/1809/09/93Fiscal agency agreement - Restrictions on exemption ordersin effect
93/2111/25/93Fiscal agency agreements - Application for discretionary exemption ordersin effect
93/2312/16/93Executive compensationin effect
93/2412/22/93Exemption for filing notice of networking arrangements governed by the principles of regulationin effect
94/201/06/94Filing requirements for annual information formsin effect
94/405/17/94Decision of the Court of Appeal for British Columbia in the matter of Hamelin v. Seven Mile High Group effect
94/506/08/94National Policy Statement No. 39 - Definition of debt-like securitiesin effect
94/606/08/94Proposed Interpretation Note on sections 31(2)(21) and 55(2)(18) of the Securities Act - Request for commentin effect
94/907/26/94Amendments to sections 154.3 and 154.4 of the Securities Actin effect
94/1109/14/94Course announcement - The Securities Programlapsed 06/30/95
94/1209/21/94Joint release of IOSCO/BIS derivatives papersin effect
94/1310/05/94Summary of legislative and policy initiativesin effect
94/1410/05/94Proposed amendments to the Securities Actin effect
94/1510/05/94Proposed amendments to Securities Regulationin effect
94/1610/05/94Draft amended Local Policy Statement 3-22 - Registration requirementsin effect
94/1710/05/94Form 12A - Prospectus for a junior industrial issuer, interim Local Policy Statement 3-17 - Registrant due diligence and related disclosure initiativesin effect
94/1810/05/94Form 12A - Prospectus for a junior industrial issuerin effect
94/1910/12/94Draft Amended National Policy Statement No. 41 - Security holder communicationin effect
94/2010/14/94Draft National Policy Statement No. 43 - Advertisements of securities and related sales practicesin effect
94/2111/03/94Expedited review of short form prospectus and renewal AIFsin effect
94/2211/01/94Permission under section 35(1)(c) of the Securities Actin effect
94/2411/09/94Part XIII of the Regulation to the Securities Act (Ontario) - Conflict of interest: related and connected issuersin effect
94/2511/23/94Amendments to the Securities Actin effect
94/2611/23/94Required form under section 32(g) of the Securities Actin effect
94/2711/23/94New form of certificate under section 60(3) of the Securities Actin effect
94/2811/23/94Proposed amendments to the Securities Actin effect
94/2912/22/94Traditional relief - Interim Local Policy Statement No. 3-17 - Registrant due diligencein effect
95/101/05/95Revised indices of notices and interpretation notes, blanket orders and rulings, local policy statements and forms under the Securities Act and Securities Regulationlapsed
95/201/05/95Proposed revocation of Blanket Order #87/18lapsed
95/301/05/95Draft Form 14A - Information required in prospectus of junior natural resource issuerlapsed
95/401/05/95Amendments to Local Policy Statement 3-02, Blanket Order #95/1 and Form 12A Summary Prospectus Disclosure Systemin effect
95/501/04/95Principles of fair tradingin effect
95/601/12/95Draft amendments to Form 30 and additional draft amendments to Section 146 of the Securities Regulationin effect
95/701/12/95Duties of registrants in the supervision of accounts operating under Powers of Attorney or Trading authoritiesin effect
95/801/26/95Task force in operational efficiencies in the administration of Securities Regulation - Interim reportin effect
95/902/08/95Government strip bonds - information statement - Local Policy Statement 3-43 - Blanket Order #91/12in effect
95/1002/09/95Proposed amendments to the Securities Act, Securities Regulation and Vancouver Stock Exchange Actin effect
95/1102/16/95Proposed amendments to the Securities Act concerning Related Party Transactions Involving Mutual Fundsin effect
95/1203/01/95Executive Compensation and Indebtedness Disclosure - Ontario Staff Reportin effect
95/1303/16/95Amendments to the Securities Regulation Relating to Filing Requirements and Fees Applicable to Certain Mutual Fundsin effect
95/1403/23/95Amendments to the Insider Report Form (Form 36)in effect
95/1503/23/95Interpretation Note - Disclosure of Securities under Control or Directionin effect
95/1604/20/95Amendments to Form 30 (Information Circular)in effect
95/1704/20/95Form 14A - Information Required in Prospectus of a Natural Resource Issuerin effect
95/1804/20/95Draft National Policy Statement No. 54 - Expedited Registration System for Advisersin effect
95/1904/20/95Form 61 - Quarterly Reportin effect
95/2004/26/95Draft Forms 12B and 14B - Information Required in Exchange Offering Prospectus of an Industrial Issuer and Information Required in Exchange Offering Prospectus of a Natural Resource Issuerin effect
95/2105/11/95Decisions of the B.C. Securities Commissionin effect
95/2206/01/95Release of IOSCO/BIS Joint Report on the Framework for Supervisory Information About the Derivatives Activities of Banks and Securities Firmsin effect
95/2306/14/95Securities Amendment Act (No. 1), 1995in effect
95/2406/22/95Fee payments under the Securities Act and the Commodity Contract Actin effect
95/2506/22/95Revocation of Blanket Order #87/18in effect
95/2606/28/95Report of Committee on Underwriting Conflicts of Interest - Request for Commentin effect
95/2706/29/95Revised indices of notices and interpretation notes, blanket orders and rulings, local policy statements and forms under the Securities Act and Securities Regulationin effect



Effective June 30, 1995

BOR #Date of
87/1803/23/87Certain certificates for government securities and zero coupon strip bondsrevoked
(see NIN#95/25)
87/2906/11/87A policy of the Toronto Stock Exchange on small shareholder selling and purchase arrangementsin effect
87/3006/11/87A policy of the Montreal Exchange on small shareholder selling and purchase arrangementsin effect
88/208/12/88The definition of "exchange issuer"in effect
88/308/12/88Transitional rules respecting securities traded prior to September 1, 1988 under a exemption from section 42 of the Securities Actin effect
88/508/12/88Legending of certificatesin effect
88/608/12/88Filing of insider reports by control personsin effect
88/1111/28/88Conflict of interest rules statement - confirmation and reporting of transactions by registrantsin effect
89/101/26/89Registration of persons trading in IOCC optionsin effect
89/203/17/89Requirement to send interim financial statements to shareholders of a reporting issuerin effect
89/510/05/89Trades in securities held subject to an escrow or pooling agreementin effect
89/810/13/89Reporting companies under the British Columbia Company Act and the definition of "reporting issuer"in effect
89/1010/31/89Required form of offering memorandumin effect
90/101/29/90Trades of government warrantsin effect
90/202/27/90Trades in shares issued in accordance with the Employee Investment Actin effect
90/410/11/90Trades in deposit-type or self-directed registered educational savings plansin effect
91/205/03/91Rules for shelf prospectus offerings and for pricing offerings after the prospectus is receiptedin effect
91/406/06/91Trades of securities of private issuersin effect
91/506/06/91Resale of rights acquired under a rights offeringin effect
91/606/06/91Recognition of certain countries and political divisions of countries issuing bonds, debentures or other evidence of indebtednessin effect
91/706/25/91Multijurisdictional Disclosure Systemin effect
07/01/91 (see NIN#93/12)
91/808/01/91Registration of Persons Trading in TCO Commodity Optionsin effect
91/1008/08/91First Renewal Prospectuses Filed by Mutual Funds under National Policy Statement No. 36in effect
91/1212/12/91Government Strip Bondsin effect
(see NIN#95/9)
92/104/23/92Fees payable by members of the press for a subscription to the Weekly Summary and for search of a filein effect
92/208/06/92Limitations on a registrant underwriting securities of a related party or connected party of the registrantin effect
92/311/18/92Revocation of BOR#91/11 [AND] recognized options traded through recognized clearing agencies (recognized options rationalization order)in effect
93/102/17/93Prompt Offering Qualification System - Exemption Orders under Section 59 of the Act and Sections 99(2), 115(6) and 143(1)(b)(iii) of the Regulationin effect 02/19/93 (see NIN#93/12)
93/306/16/93The multijurisdictional disclosure system - Exemption order under Section 97(2) of the Company Actin effect
93/412/22/93Networking Arrangements Governed by the Principle of Regulationsin effect
94/111/23/94Prompt Offering Qualification System - Memorandum of Understanding for expedited review of short form prospectuses and renewal AIFsin effect
(see NIN#94/22)
95/101/05/95Form 12A summary prospectus disclosure system - Order under Section 59 of the Actin effect
(see NIN#95/4)
95/206/22/95Revocation of BOR#87/18effective 07/04/95 (see NIN#95/25)



Effective June 30, 1995

Policy #Date of
3-0102/01/87Factors to be considered in arriving at a decision that a natural resource property has sufficient merit to justify an expenditure thereon of risk capital derived from public subscriptionin effect
3-0212/21/90Prospectus filing requirementsin effect 02/04/91
see NIN#95/4
3-0302/01/87Requirements re filing of preliminary prospectuses and prospectuses (national issues)in effect
3-04Replacedreplaced by
3-0502/01/87Rights offerings to shareholdersin effect
3-0602/01/87Prospectus guidelines for the mortgage investment issuerin effect
3-0712/21/89Policy guidelines respecting trading shares, performance shares and other considerationin effect
3-09Rescindedrescinded by
3-10Rescindedrescinded by
3-11Rescindedrescinded by
3-1201/26/90Rules for proceedingsin effect 02/01/90
3-1302/01/87Policy guidelines for a venture capital issuer planning to make a distributionin effect
see NIN#88/7 and NIN#89/43
3-1409/09/93Application for insider reporting exemptionsin effect 09/09/93
3-1507/07/89Exempt purchaser statusin effect
3-1608/14/90Registration for securities and insurancein effect
Registrant due diligencein effect
3-1902/01/87Vancouver Stock Exchange listingsin effect
3-2102/01/87Share and unit offerings of unlisted issuers and options and warrants available to registrants participating in such offeringsin effect

Requirements for registration for trading in securities

Registration requirements
in effect

see NIN#94/16
3-2402/01/87Statutory exemptions and orders made under section 33 and section 59 of the Securities Actin effect
3-2502/01/87Re: natural resource issuer - "best efforts" prospectus and amendments to prospectus arising from market conditionsin effect
3-2602/01/87Statement of material facts submitted to the Superintendent of Brokers and the Vancouver Stock Exchange for vettingin effect
3-3002/01/87Underwriter's conflict of interestin effect
3-3102/01/87Incentive options to directors and employees - unlisted issuersin effect
3-3302/01/87R.R.S.P.'s administered by brokers on behalf of authorized trusteesin effect
3-3402/01/87Application for non-reporting statusin effect
3-3510/13/89Reactivation of dormant issuersin effect
3-3702/01/87Restricted shares (uncommon equities) distributions and disclosurein effect
3-3802/01/87Registration of non-residents - Securities Actin effect
3-3902/01/87Guidelines for advertising issues of securities and for promotional activities during the course of a distributionin effect
3-40Replacedreplaced by NP47 and BOR #93/1
3-4102/01/87Lawyer's conflict of interestin effect
3-4202/01/87Registered representatives continued fitness for registrationin effect
Government Strip Bondsin effect
NIN#91/23, NIN#95/9
3-4408/01/91Recognition of stock exchanges and jurisdictionsin effect
Designation as a reporting issuer (extraprovincial issuers)in effect
see NIN#89/17



Effective June 30, 1995
Form #TitleSecurities Act
or Regulation
Section or Form
1Summons to attend before an investigator under section 128 of the ActReg 170
2Affidavit of serviceReg 171
3Application for registration as dealer, advisor or underwriterAct 20(2)
4Uniform application for registration/approvalAct 20(2) & 73.1
4A(Abbreviated application for registration/approval - mutual fund salesman of financial institution)Act 20(2)
4BPersonal information for directors, officers, promoters & control personsAct 73.1
5Uniform application for renewal of licence or registrationAct 20(2)
7Application for amendment of registration as dealer, advisor or underwriterAct 20(2), 28(1) & (2)
7AApplication for transfer/change of statusAct 20(2) & 28(3)
8Summons for an examination under section 24(c) of the ActReg 19
11Application for exempt purchaser statusReg 75
12Information required in prospectus of industrial issuerAct 42(2)
see NIN#93/23
12AInformation required in prospectus of junior industrial issuerAct 42(2)
see NIN#94/18
13Information required in prospectus of finance issuerAct 42(2)
see NIN#93/23
14Information required in prospectus of natural resource issuerAct 42(2)
see NIN#93/23
14AInformation required in prospectus of a natural resource issuerAct 42(2)
see NIN#95/17
15Information required in prospectus of mutual fundAct 42(2)
see NIN#93/23
16Escrow agreement (relating to performance shares)Reg 117(d)(iii)(B) & 134(6)(b)(i)
17Revoked (03/01/90)
18Revoked (09/01/88)
20Report of exempt distributionReg 132
20AAcknowledgement and undertaking
Draft Form 20A (IP and NIP) - see NIN#94/15
Reg 128
21,21A & 22Revoked (09/01/88)
23Notice of intention to sell and declaration pursuant to section 117(c) and (d) of the Securities RegulationReg 129
24Statement of material factsReg 121(b)
(formerly Reg
25Put option contractAct 58(1)(b)(iii)
(formerly Act
26Call option contractAct 58(1)(b)(iii)
(formerly Act
27Material change report under section 67(1) of the ActAct 67(1) &
Reg 144
28Annual filing of reporting issuerReg 167(2)
(formerly Reg
146) see NIN#93/23
29Finance company questionnaire and financial reportReg 142
30Information circularAct 31(2)(9)(i), 55(2)(8)(i), 101(2)(a) & (b) & 101(5) see NIN#93/23 and NIN#95/16 (amendment effective 07/01/95)
31Notice of intention to make an issuer bidAct 81(f)
32Take over bid circularAct 90(7)
33Issuer bid circularAct 90(7)
34Directors' circularAct 91(8)
35Director's or officer's circularAct 91(8)
36Insider reportAct 70(2) & (4) & Reg 130 see NIN#95/14 and NIN#95/15
38Report by a registered owner of securities beneficially owned by an insider required under section 71 of the ActAct 71 & Reg 151
39Report of a mutual fund manager required under section 109 of the ActAct 109
40Endorsement of warrantAct 139(1)
41Statement of executive compensationForm 30, Item 6
see NIN#93/23
43Offering memorandumReg 126(c)
43AOffering memorandum - immigrant investor programReg 126(c)
50Short form of prospectus of a mutual fundAct 42(3)
(formerly Reg 95)
51Annual information form of a mutual fundReg 93(2)(b)
(formerly Reg 94)
52Financial statements of a mutual fundReg 105(1) & 138
(formerly Reg
53Trust agreementReg 25
54Technical report on mineral properties excluding oil and gasReg 102
55Technical report on oil and gas propertiesReg 102
58Information Statement required under section 32(g) of the Act
For Not-For-Profit Organizations
Act 32(g)
60Subordination agreementReg 26
61Quarterly reportReg 145 see NIN#89/5 and NIN#95/19 (amendment effective 07/31/95)
69Conflict of interest rules statementReg 167.3(1)
70Statement and undertaking pursuant to section 167.3(4) of the Securities RegulationReg 167.3(4)



Effective June 30, 1995

Securities Act or Regulation
Section or Form
Form or
Act 31(2)(21)
55(2)(18) &
Reg 117(d)(iii)(B)
No form specifiedEscrow agreement (relating to property shares)
Act 31(2)(21)
55(2)(18) &
Reg 117(d)(iii)(B)
No form specifiedPooling agreement
Act 101(1)No form specified but must comply with items 1 and 2 of Form 30Form of proxy
Reg 22(b)No form specifiedUnderwriter's calculation of net free capital
Reg 152.1No form specifiedForm of signature and certification