NIN 96/07 - Specification of Required Forms Under the Securities Act, Securities Regulation and Securities Rules [NIN - Rescinded]

Published Date:	1996-02-16
Effective Date:	1996-02-15

For convenience, effective February 15, 1996, the Executive Director is specifying, in accordance with section 158 of the Securities Act, the Forms referred to in the index of Forms attached to this Notice for the purposes of the sections of the Act, Regulation, Rule or Form referred to in the index. In addition, the index lists those sections of the Act and Rules which refer to a required Form but for which no Form has been specified.

DATED at Vancouver, British Columbia, on February 14, 1996.

Dean E. Holley
Executive Director

Attachments



SECURITIES ACT

INDEX OF FORMS

Effective February 15, 1996

Form #	Title	Securities Act, Regulation or Rule Section or Form
1	Summons to attend before an investigator under section 128 of the Act	Reg 10(1)
1A	Demand for production of records and things and classes of records and things under section 128 of the Act	Reg 10(2)
2	Affidavit of service	Reg 11
3	Application for registration as dealer, advisor or underwriter	Act 20(2)
4	Uniform application for registration/approval	Act 20(2)
4A	(Abbreviated application for registration/approval - mutual fund salesman of financial institution)	Act 20(2)
4B	Personal information for directors, officers, promoters & control persons	Act 73.1
5	Uniform application for renewal of licence or registration	Act 20(2)
6	Reserved
7	Application for amendment of registration as dealer, advisor or underwriter	Act 20(2), 28(1) & (2)
7X	Addendum to form 7	Act 28(1) & (2)
7A	Application for transfer/change of status	Act 20(2) & 28(3)
8	Summons for an examination under section 24(c) of the Act	Rule 18
9	Joint regulatory financial questionnaire and report	Rule 1 & 70(1)
9A	Report of risk adjusted capital	Rule 70(2)
10	Reserved
11	Application for exempt purchaser status	Rule 88
12	Information required in prospectus of industrial issuer	Act 42(2) (see NIN#93/23)
12A	Information required in prospectus of junior industrial issuer	Act 42(2) (see NIN#95/31)
12B	Information required in exchange offering prospectus of an industrial issuer	Act 42(2) (see NIN#95/55)
13	Information required in prospectus of finance issuer	Act 42(2) (see NIN#93/23)
14	Information required in prospectus of natural resource issuer	Act 42(2) (see NIN#93/23)
14A	Information required in prospectus of a natural resource issuer	Act 42(2) (see NIN#95/31)
14B	Information required in exchange offering prospectus of a natural resource issuer	Act 42(2) (see NIN#95/55)
15	Information required in prospectus of mutual fund	Act 42(2) (see NIN#93/23)
16	Escrow agreement (relating to performance shares)	Rule 120(2)(g)
17	Revoked (03/01/90)
18	Revoked (09/01/88)
19	Reserved
20	Report of exempt distribution	Rule 139
20A (IP)	Acknowledgment of individual purchaser	Rule 135
20A (NIP)	Acknowledgment of a purchaser that is not an individual purchaser	Rule 135
21,21A & 22	Revoked (09/01/88)
23	Notice of intention to sell and declaration pursuant to section 117(c) and (d) of the Securities Regulation [effective 01/01/96: "pursuant to section 128(d) of the Securities Rules"] (NB: also applies to sales under section 55(2)(1), (3), (4), (6) or (16)(ii) of the Act)	Rule 136
24	Revoked (01/01/96) but see BOR#95/8
25	Put option contract	Act 58(b)(iii)
26	Call option contract	Act 58(b)(iii)
27	Material change report under section 67(1) of the Act	Act 67(1) & Rule 151
28	Annual filing of reporting issuer	Rule 184(2) (see NIN#93/23)
29	Finance company questionnaire and financial report	Rule 150(2)
30	Information circular	Act 31(2)(9)(iv), 55(2)(8)(iv), & 101(2)(a) & (b) (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) & Rule 137(1) (15 & NIN#95/52)
37	Reserved
38	Revoked (01/01/96)
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	Rule 133(1)(c)
43A	Offering memorandum - immigrant investor program	Rule 133(1)(c)
44-49	Reserved
50	Short form of [effective 01/01/96: "simplified"] prospectus of a mutual fund	Act 42(3)
51	Annual information form of a mutual fund	Rule 100(2)(b)
52	Financial statements of a mutual fund	Rule 113 & 145(2)(c)
53	Trust agreement	Rule 23
54	Technical report on mineral properties excluding oil and gas	Rule 109
55	Technical report on oil and gas properties	Rule 109
56-57	Reserved
58	Information statement required for not-for-profit organizations	Act 32(g)(iii)
59	Reserved
60	Subordination agreement	Rule 25
61	Quarterly report	Rule 152
62	Report of working capital	Rule 19(3), 19(5), 20(1), 20(2), 41(1)(c) & 70(3)
63	Statement of financial condition	Rule 50(1)(g)(i) & 70(4)
64	Risk disclosure document (exchange contracts)	Rule 35
65	Managed accounts disclosure statement (exchange contracts)	Rule 35
66-68	Reserved
69	Conflict of interest rules statement	Rule 77(1)
70	Statement and undertaking pursuant to section 167.3(4) of the Securities Regulation [effective 01/01/96: "pursuant to section 77(4) of the Securities Rules"]	Rule 77(4)

SECURITIES ACT

INDEX OF REFERENCES TO A REQUIRED FORM WHERE NO FORM IS SPECIFIED

Effective February 15, 1996

Securities Act or Regulation Section or Form	Form or Requirement	Title
Act 101(1)	No form specified but must comply with items 1 and 2 of Form 30	Form of proxy
Rule 45(1)	No form specified	Offering document requiring underwriters to have written prudent business procedures
Rule 87	No form specified	Offering document requiring registration as an underwriter