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Securities Law

NIN 96/07 - Specification of Required Forms Under the Securities Act, Securities Regulation and Securities Rules [NIN - Rescinded]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




Effective February 15, 1996

Form #TitleSecurities Act, Regulation or Rule
Section or Form
1Summons to attend before an investigator under section 128 of the ActReg 10(1)
1ADemand for production of records and things and classes of records and things under section 128 of the ActReg 10(2)
2Affidavit of serviceReg 11
3Application for registration as dealer, advisor or underwriterAct 20(2)
4Uniform application for registration/approvalAct 20(2)
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)
7XAddendum to form 7Act 28(1) & (2)
7AApplication for transfer/change of statusAct 20(2) & 28(3)
8Summons for an examination under section 24(c) of the ActRule 18
9Joint regulatory financial questionnaire and reportRule 1 & 70(1)
9AReport of risk adjusted capitalRule 70(2)
11Application for exempt purchaser statusRule 88
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#95/31)
12BInformation required in exchange offering prospectus of an industrial issuerAct 42(2)
(see NIN#95/55)
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#95/31)
14BInformation required in exchange offering prospectus of a natural resource issuerAct 42(2)
(see NIN#95/55)
15Information required in prospectus of mutual fundAct 42(2)
(see NIN#93/23)
16Escrow agreement (relating to performance shares)Rule 120(2)(g)
17Revoked (03/01/90)
18Revoked (09/01/88)
20Report of exempt distributionRule 139
Acknowledgment of individual purchaserRule 135
Acknowledgment of a purchaser that is not an individual purchaserRule 135
21,21A & 22Revoked (09/01/88)
23Notice 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
24Revoked (01/01/96) but see BOR#95/8
25Put option contractAct 58(b)(iii)
26Call option contractAct 58(b)(iii)
27Material change report under section 67(1) of the ActAct 67(1) &
Rule 151
28Annual filing of reporting issuerRule 184(2)
(see NIN#93/23)
29Finance company questionnaire and financial reportRule 150(2)
30Information circularAct 31(2)(9)(iv), 55(2)(8)(iv), & 101(2)(a) & (b) (see NIN#93/23)
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) & Rule 137(1) (15 & NIN#95/52)
38Revoked (01/01/96)
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 memorandumRule 133(1)(c)
43AOffering memorandum - immigrant investor programRule 133(1)(c)
50Short form of [effective 01/01/96: "simplified"] prospectus of a mutual fundAct 42(3)
51Annual information form of a mutual fundRule 100(2)(b)
52Financial statements of a mutual fundRule 113 & 145(2)(c)
53Trust agreementRule 23
54Technical report on mineral properties excluding oil and gasRule 109
55Technical report on oil and gas propertiesRule 109
58Information statement required for not-for-profit organizationsAct 32(g)(iii)
60Subordination agreementRule 25
61Quarterly reportRule 152
62Report of working capitalRule 19(3), 19(5), 20(1), 20(2), 41(1)(c) & 70(3)
63Statement of financial conditionRule 50(1)(g)(i) & 70(4)
64Risk disclosure document (exchange contracts)Rule 35
65Managed accounts disclosure statement (exchange contracts)Rule 35
69Conflict of interest rules statementRule 77(1)
70Statement 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)



Effective February 15, 1996

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