NIN 96/08 - Revised Indices of Notices and Interpretation Notes, Blanket Orders and Rulings, Local Policy Statements and Forms under the Securities Act, Securities Regulation and Securities Rules [NIN - Rescinded]
Published Date: | 1996-02-16 |
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Effective Date: | 1996-02-15 |
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 The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect.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.
NINs, BORs, LPSs and Forms will be amended in due course to correct section references that have changed as a result of the coming into force of the Securities Regulation, B.C. Reg. 478/95 ("New Regulation"), Securities Rules, B.C. Reg. 479/95 (the "Rules") and Registration Transfer Rules, B.C. Reg. 477/95 and the repeal of the Securities Regulation, B.C. Reg. 270/86 (the "Old Regulation") and the Registration Transfer Regulation, B.C. Reg. 286/86 (the "Old RTR"). Until the updated NINs, BORs, LPSs and Forms are published, they should be read to refer, with the necessary changes, to the appropriate sections of the New Regulation and Rules. Refer to the Table of Concordance at p. 478 of the Commissions Special Supplement to the Weekly Summary, published for the week ending November 24, 1995, to update section references from the Old Regulation and the Old RTR.
DATED at Vancouver, British Columbia, on February 14, 1996.
Douglas M. Hyndman
Chair
SECURITIES ACT
INDEX OF NOTICES AND INTERPRETATION NOTES
Effective February 15, 1996
NIN # | Date of NIN (mm/dd/yy) | Description | Status (mm/dd/yy) |
87/45 | 06/11/87 | Technical reports on mining properties accompanying prospectuses submitted for acceptance by the Superintendent of Brokers | in effect |
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 Commission or the Superintendent of Brokers for decisions or orders | lapsed 01/01/96 |
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 rights and registration | in effect |
88/40 | 11/09/88 | Sale of mutual funds by financial institutions - principles of regulation | in effect |
88/43 | 11/18/88 | Form 20A - clarification of requirements | lapsed 11/23/95 |
88/45 | 12/01/88 | National Policy Statement No. 41 - shareholder communication - removal of exemption | in effect |
88/48 | 12/20/88 | Full service and discount brokerage activities by financial institutions - principles of regulation | in effect |
89/3 | 01/20/89 | Conflict of interest rules statement - clarification of filing requirements | in effect |
89/13 | 03/02/89 | Statutory filings | in effect |
89/17 | 04/06/89 | Local Policy Statement 3-45 - designation as a reporting issuer and business investor offerings | in effect |
89/21 | 07/21/89 | Orders pursuant to section 145 of the Securities Act - removal of trading exemptions | in effect |
89/29 | 10/13/89 | Interpretation note - meaning of "the public" | lapsed 12/21/95 |
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 Commission | in effect |
89/35 | 11/24/89 | Disclosure of promotional or investor relations arrangements | in effect |
89/36 | 11/15/89 | Disclosure of experience of directors, officers, promoters and control persons | in effect |
89/43 | 12/21/89 | Local Policy Statement 3-07 | in effect |
90/4 | 02/09/90 | National Policy No. 39 - mutual funds distributor's report and auditor's letter | in effect |
90/7 | 03/07/90 | Dual employment of individuals employed by financial institutions and securities registrants | in effect |
90/13 | 04/05/90 | Rights offerings | in effect |
90/16 | 05/10/90 | Principles of regulation re: activities of registrants related to financial institutions | in effect |
90/20 | 06/07/90 | Availability of weekly summary and material published under the Securities Act | in effect |
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 - disclosure, valuation, review and approval requirements and recommendations for insider bids, issuer bids, going private transactions and related party transactions | in effect |
91/17 | 09/25/91 | Section 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 corporation | in effect |
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 reorganizations | in effect |
91/22 | 11/13/91 | Guide for use of the multijurisdictional disclosure system by Canadian issuers in the U.S. market | in effect |
91/23 | 12/12/91 | Introduction of Interim Local Policy Statement 3-43 - government strip bonds | lapsed 02/08/95 |
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 - index and commodity warrants and other derivative securities | in effect |
92/8 | 05/07/92 | Ontario Securities Commission Policy No. 4.8 - non-resident advisers | in effect |
92/15 | 06/25/92 | Securities Amendment Act, 1992 | lapsed 11/23/95 |
92/18 | 07/10/92 | Required form of personal information | in effect |
92/19 | 07/16/92 | Revised Draft Local Policy Statement 3-04 - filing of assessment reports | lapsed 10/05/94 |
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 | lapsed 02/15/96 |
92/24 | 07/24/92 | Amendments to the Securities Act | lapsed 11/23/95 |
92/29 | 11/06/92 | Accounting for performance shares | in effect |
92/30 | 11/26/92 | National 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 principal | in effect |
93/2 | 01/07/93 | Specification of required forms under the Securities Act and Securities Regulation | lapsed 02/15/96 |
93/5 | 02/17/93 | Section 115(3)(f) of the Securities Regulation - time limit for raising a minimum subscription | lapsed 11/23/95 |
93/8 | 04/01/93 | Money laundering: new federal regulations | in effect |
93/12 | 06/10/93 | Restriction applicable to the solicitation of expressions of interest under BOR#91/7 and BOR#93/1 | in effect |
93/16 | 08/19/93 | Draft National Policy Statement No. 53 - foreign issuer prospectus and continuous disclosure system | in effect (see CSA Notice #95/4) |
93/18 | 09/09/93 | Fiscal agency agreement - restrictions on exemption orders | in effect |
93/21 | 11/25/93 | Fiscal agency agreements - application for discretionary exemption orders | lapsed 02/15/96 |
93/23 | 12/16/93 | Executive compensation | in effect |
93/24 | 12/22/93 | Exemption for filing notice of networking arrangements governed by the principles of regulation | in effect |
94/2 | 01/06/94 | Filing requirements for annual information forms | in effect |
94/4 | 05/17/94 | Decision of the Court of Appeal for British Columbia in the matter of Hamelin v. Seven Mile High Group Inc. | lapsed 02/15/96 |
94/5 | 06/08/94 | National Policy Statement No. 39 - definition of debt-like securities | in effect |
94/6 | 06/08/94 | Proposed Interpretation Note on sections 31(2)(21) and 55(2)(18) of the Securities Act - request for comment | lapsed 12/21/95 |
94/9 | 07/26/94 | Amendments to sections 154.3 and 154.4 of the Securities Act | lapsed 02/15/96 |
94/12 | 09/21/94 | Joint release of IOSCO/BIS derivatives papers | lapsed 02/15/96 |
94/13 | 10/05/94 | Summary of legislative and policy initiatives | lapsed 11/23/95 |
94/14 | 10/05/94 | Proposed amendments to the Securities Act | lapsed 07/06/95 |
94/15 | 10/05/94 | Proposed amendments to Securities Regulation | lapsed 11/23/95 |
94/16 | 10/05/94 | Draft amended Local Policy Statement 3-22 - Registration requirements | lapsed 12/07/95 |
94/17 | 10/05/94 | Form 12A - prospectus for a junior industrial issuer, interim Local Policy Statement 3-17 - registrant due diligence and related disclosure initiatives | lapsed 02/15/96 |
94/18 | 10/05/94 | Form 12A - prospectus for a junior industrial issuer | lapsed 02/14/96 |
94/19 | 10/12/94 | Draft amended National Policy Statement No. 41 - security holder communication | in effect |
94/20 | 10/14/94 | Draft National Policy Statement No. 43 - advertisements of securities and related sales practices | in effect |
94/21 | 11/03/94 | Expedited review of short form prospectus and renewal AIFs | in effect |
94/22 | 11/01/94 | Permission under section 35(1)(c) of the Securities Act | in effect |
94/24 | 11/09/94 | Part XIII of the Regulation to the Securities Act (Ontario) - conflict of interest: related and connected issuers | lapsed 06/28/95 |
94/25 | 11/23/94 | Amendments to the Securities Act | lapsed 11/23/95 |
94/26 | 11/23/94 | Required form under section 32(g) of the Securities Act | lapsed 02/14/96 |
94/27 | 11/23/94 | New form of certificate under section 60(3) of the Securities Act | lapsed 12/14/95 |
94/28 | 11/23/94 | Proposed amendments to the Securities Act | lapsed 07/06/95 |
94/29 | 12/22/94 | Transitional relief - Interim Local Policy Statement No. 3-17 - registrant due diligence | lapsed 02/28/95 |
95/4 | 01/05/95 | Amendments to Local Policy Statement 3-02, Blanket Order #95/1 and Form 12A summary prospectus disclosure system | lapsed 02/15/96 |
95/5 | 01/04/95 | Principles of fair trading | in effect |
95/6 | 01/12/95 | Draft amendments to Form 30 and additional draft amendments to Section 146 of the Securities Regulation | lapsed 11/23/95 |
95/7 | 01/12/95 | Duties of registrants in the supervision of accounts operating under powers of attorney or trading authorities | in effect |
95/8 | 01/26/95 | Task force on operational efficiencies in the administration of Securities Regulation - interim report | lapsed 07/06/95 |
95/9 | 02/08/95 | Government strip bonds - information statement - Local Policy Statement 3-43 - Blanket Order #91/12 | in effect |
95/10 | 02/09/95 | Proposed amendments to the Securities Act, Securities Regulation and Vancouver Stock Exchange Act | lapsed 01/11/96 |
95/11 | 02/16/95 | Proposed amendments to the Securities Act concerning related party transactions involving mutual funds | lapsed 07/06/95 |
95/12 | 03/01/95 | Executive compensation and indebtedness disclosure - Ontario staff report | in effect |
95/13 | 03/16/95 | Amendments to the Securities Regulation relating to filing requirements and fees applicable to certain mutual funds | lapsed 02/15/96 |
95/14 | 03/23/95 | Amendments to the insider report form (Form 36) | lapsed 02/14/96 |
95/15 | 03/23/95 | Interpretation note - disclosure of securities under "control or direction" | in effect |
95/16 | 04/20/95 | Amendments to Form 30 (information circular) | lapsed 02/14/96 |
95/17 | 04/20/95 | Form 14A - information required in prospectus of a natural resource issuer | lapsed 02/14/96 |
95/18 | 04/20/95 | Draft National Policy Statement No. 54 - expedited registration system for advisers | in effect |
95/19 | 04/20/95 | Form 61 - quarterly report | lapsed 02/14/96 |
95/20 | 04/26/95 | Draft 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 issuer | lapsed 11/16/95 |
95/21 | 05/11/95 | Decisions of the B.C. Securities Commission | in effect |
95/22 | 06/01/95 | Release of IOSCO/BIS joint report on the framework for supervisory information about the derivatives activities of banks and securities firms | in effect |
95/23 | 06/14/95 | Securities Amendment Act (No. 1), 1995 | lapsed 02/15/96 |
95/24 | 06/22/95 | Fee payments under the Securities Act and the Commodity Contract Act | in effect |
95/25 | 06/22/95 | Revocation of Blanket Order #87/18 | lapsed 02/15/96 |
95/26 | 06/28/95 | Report of Committee on Underwriting Conflicts of Interest - request for comment | lapsed 01/24/96 |
95/27 | 06/29/95 | Revised indices of notices and interpretation notes, blanket orders and rulings, local policy statements and forms under the Securities Act and Securities Regulation | lapsed 02/15/96 |
95/28 | 07/06/95 | Securities Amendment Act (No. 2), 1995 | lapsed 11/23/95 |
95/29 | 07/06/95 | Task Force on Operational Efficiencies in the Administration of Securities Regulation - final report | in effect |
95/30 | 07/20/95 | Amendment to Section 132 of the Securities Act | lapsed 02/15/96 |
95/31 | 07/27/95 | Form 12A and Form 14A summary prospectus disclosure system - amendments to Local Policy Statement 3-02 | lapsed 02/15/96 |
95/32 | 08/02/95 | XXth annual conference of IOSCO, Paris, July 10-13, 1995 | lapsed 02/15/96 |
95/33 | 09/28/95 | Amendments to the Securities Act | lapsed 11/23/95 |
95/34 | 09/28/95 | British Columbia Securities Commission response to the request for comments from the Ontario Securities Commission task force on small business financing | in effect |
95/35 | 10/19/95 | McKenzie Investigation report released | in effect |
95/36 | 11/16/95 | Exchange offering prospectus forms | in effect |
95/37 | 11/16/95 | Specification of exchange offering prospectus forms | lapsed 02/14/96 |
95/38 | 11/23/95 | Information sessions on rules, amendments to the Securities Act and repeal and replacement of the Regulation and Registration Transfer Regulation | lapsed 02/15/96 |
95/39 | 11/23/95 | Rules, amendments to the Securities Act and repeal and replacement of the Regulation and Registration Transfer Regulation | in effect |
95/40 | 11/23/95 | Amendments to the Securities Act | in effect |
95/41 | 11/23/95 | Rules | in effect |
95/42 | 11/22/95 | Repeal and replacement of the Regulation | in effect |
95/43 | 11/23/95 | Repeal and replacement of the Registration Transfer Regulation | in effect |
95/44 | 11/23/95 | New Forms 1A, 20A(IP) and 20A(NIP) | lapsed 02/14/96 |
95/45 | 11/23/95 | Repeal of Local Policy Statement 3-30 | in effect |
95/46 | 11/30/95 | Processing applications for discretionary relief before year end | lapsed 01/01/96 |
95/47 | 12/7/95 | Local Policy Statement 3-22 (registration requirements) | in effect |
95/48 | 12/7/95 | Repeal of Interim Local Policy Statement 3-22, Local Policy Statement 3-38, Local Policy Statement 3-42, Local Policy Statement 4-1 and Local Policy Statement 4-2 | in effect |
95/49 | 12/7/95 | Specification of offering documents requiring written underwriting procedures and registration as an underwriter | in effect |
95/50 | 12/14/95 | Two further information sessions on Securities Rules, amendments to the Securities Act and repeal and replacement of the Securities Regulation and Registration Transfer Regulation | lapsed 02/15/96 |
95/51 | 12/14/95 | New and revised forms (registration) | lapsed 02/14/96 |
95/52 | 12/14/95 | Insider reporting - third party options | in effect |
95/53 | 12/14/95 | New form of certificate under section 60(3) of the Securities Act | in effect |
95/54 | 12/14/95 | Transitional market-making relief for control persons | in effect |
95/55 | 12/21/95 | Exchange offering prospectuses - amendments to Local Policy Statement 3-02 | in effect |
95/56 | 12/21/95 | Interim Local Policy Statement 3-24 - statutory and discretionary exemptions | in effect |
95/57 | 12/21/95 | Local Policy Statement 3-44 - recognition of self regulatory body, exchanges and jurisdictions | in effect |
95/58 | 12/21/95 | Blanket Order #95/13 - mutual funds and the purchases and sales of certain debt securities from and to the account of responsible persons | in effect |
95/59 | 12/21/95 | Application of Section 30 of the Act to trust companies | in effect |
95/60 | 12/21/95 | Hold period for securities of exchange issuer issued under Section 55(2)(18) of the Securities Act | in effect |
96/1 | 01/04/96 | Information sessions in Kelowna, Kamloops, Prince George and Victoria | lapsed 02/15/96 |
96/2 | 01/11/96 | Rule Making Procedure Regulation | in effect |
96/3 | 01/11/96 | Toronto Stock Exchange Committee on Corporate Disclosure - interim report | in effect |
96/4 | 01/11/96 | IDA Committee on Take-Over Bid Time Limits - request for submissions | in effect |
96/5 | 01/23/96 | Clarification of transitional market-making relief for control persons | in effect |
96/6 | 01/24/96 | Supplementary report of the committee on underwriting conflicts of interest to the CSA chairs | in effect |
96/7 | 02/14/96 | Specification of required forms under the Securities Act, Securities Regulation and Securities Rules | in effect |
96/8 | 02/14/96 | Revised indices of notices and interpretation notes, blanket orders and rulings, local policy statements and forms under the Securities Act, Securities Regulation and Securities Rules | in effect |
SECURITIES ACT
INDEX OF BLANKET ORDERS AND RULINGS
Effective February 15, 1996
BOR # | Date of BOR (mm/dd/yy) | Description | Status (mm/dd/yy) |
87/29 | 06/11/87 | A policy of the Toronto Stock Exchange on small shareholder selling and purchase arrangements | in effect |
87/30 | 06/11/87 | A policy of the Montreal Exchange on small shareholder selling and purchase arrangements | in effect 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 September 1, 1988 under an exemption from section 42 of the Securities Act | in effect 09/01/88 |
88/11 | 11/28/88 | Conflict of interest rules statement and confirmation and reporting of transactions by registrants | in effect |
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 shareholders of a reporting issuer | in effect 03/01/88 |
89/8 | 10/13/89 | Reporting companies under the British Columbia Company Act and the definition of "reporting issuer" | in effect 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 Employee Investment Act | in effect |
90/4 | 10/11/90 | Trades in deposit-type or self-directed registered educational savings plans | in effect |
91/2 | 05/03/91 | Rules for shelf prospectus offerings and for pricing offerings after the prospectus is receipted | in effect 05/10/91 |
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 of countries issuing bonds, debentures or other evidence of indebtedness | in effect 07/01/91 |
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 options | in effect 05/17/91 |
91/10 | 08/08/91 | First renewal prospectuses filed by mutual funds under National Policy Statement No. 36 | in effect |
91/12 | 12/12/91 | Government strip bonds | in effect (see NIN#95/9) |
92/1 | 04/23/92 | Fees payable by members of the press for a subscription to the Weekly Summary and for search of a file | in effect |
92/2 | 08/06/92 | Limitations on a registrant underwriting securities of a related party or connected party of the registrant | in effect |
92/3 | 11/18/92 | Revocation of BOR#91/11 and recognized options traded through recognized clearing agencies (recognized options rationalization order) | in effect 08/11/92 |
93/1 | 02/17/93 | Prompt offering qualification system | in effect 02/19/93 (see NIN#93/12) |
93/3 | 06/16/93 | The multijurisdictional disclosure system | in effect |
93/4 | 12/22/93 | Networking arrangements governed by the principles of regulation | in effect |
94/1 | 11/23/94 | Prompt offering qualification system - memorandum of understanding for expedited review of short form prospectuses and renewal AIFs | in effect 11/23/94 (see NIN#94/22) |
95/1 | 01/05/95 | Form 12A summary prospectus disclosure system | revoked (see BOR#95/4 for effective date) |
95/3 | 07/27/95 | Form 12A and 14A summary prospectus disclosure system | revoked (see BOR#95/11 for effective date) |
95/4 | 07/27/95 | Form 12A and Form 14A summary prospectus disclosure system - revocation order | in effect 08/01/95 |
95/5 | 10/26/95 | Filing insider reports by facsimile | in effect 11/01/95 |
95/6 | 12/7/95 | Continuing relief from certain registration requirements | in effect 01/01/96 |
95/7 | 12/14/95 | Distributions by a control person through a disclosed market-making account | in effect 01/01/96 (expires 06/30/96) |
95/8 | 12/15/95 | Transitional relief | in effect 01/01/96 |
95/9 | 12/14/95 | Continuing relief for financial statements of certain foreign issuers | in effect 01/01/96 |
95/10 | 12/21/95 | The summary prospectus disclosure system | in effect 01/01/96 (see NIN#95/55) |
95/11 | 12/21/95 | Revocation of BOR#95/3 | in effect 01/01/96 (see NIN#95/55) |
95/12 | 12/21/95 | Trust companies, insurers and portfolio managers in the other provinces and territories of Canada | in effect 01/01/96 |
95/13 | 12/21/95 | Mutual funds and the purchases and sales of certain debt securities from and to the account of responsible persons | in effect |
95/14 | 12/21/95 | Application of section 30 of the Act to trust companies | in effect 01/01/96 (expires 12/31/96) |
95/15 | 12/21/95 | Acting as an adviser with respect to certain securities | in effect 01/01/96 |
95/16 | 12/21/95 | Trades of negotiable promissory notes or commercial paper to individuals | in effect 01/01/96 |
95/17 | 12/21/95 | Legending of certificates | in effect 01/01/96 |
95/19 | 12/21/95 | The hold period for securities issued by an exchange issuer under section 55(2)(18) of the Act | in effect 01/01/96 (see NIN#95/60) |
95/20 | 12/21/95 | Transitional relief from recognized resale requirements | in effect 01/01/96 |
95/21 | 12/28/95 | Trades in securities of non reporting issuers | in effect 01/01/96 |
95/22 | 12/28/95 | Transitional relief from recognized resale requirements relating to securities of issuers that filed an application for listing with the Vancouver Stock Exchange | in effect 01/01/96 |
96/1 | 01/11/96 | Trades by control persons of securities acquired under section 55(2)(8) of the Act | in effect 01/01/96 |
SECURITIES ACT
INDEX OF LOCAL POLICY STATEMENTS
Effective February 15, 1996
Policy # | Date of Policy (mm/dd/yy) | Description | Status (mm/dd/yy) |
3-01 | 02/01/87 | Factors 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 subscription | in effect (see NIN#89/43) |
3-02 | 12/21/90 | Prospectus filing requirements | in effect 02/04/91 (see NIN#95/55) |
3-03 | 02/01/87 | Requirements re filing of preliminary prospectuses and prospectuses (national issues) | in effect |
3-04 | Replaced | replaced by LPS#3-17 | |
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 issuer | in effect |
3-07 | 12/21/89 | Policy guidelines respecting trading shares, performance shares and other consideration | in effect 03/01/90 |
3-08 | Rescinded | rescinded by LPS#3-07 | |
3-09 | Rescinded | rescinded by LPS#3-07 | |
3-10 | Rescinded | rescinded by LPS#3-07 | |
3-11 | Rescinded | rescinded 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 to make a distribution | in effect (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 (Interim) | Registrant due diligence | in effect |
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 options and warrants available to registrants participating in such offerings | in effect (see NIN#89/43) |
3-22 | 12/07/95 | Registration requirements | in effect 01/01/96 |
3-23 | Reserved | ||
3-24 | 12/21/95 (interim) | Statutory and discretionary exemptions | in effect 01/01/96 |
3-25 | 02/01/87 | Re: natural resource issuer - "best efforts" prospectus and amendments to prospectus arising from market conditions | in effect |
3-26 | 02/01/87 | Statement of material facts submitted to the Superintendent of Brokers and the Vancouver Stock Exchange for vetting | rescinded by amendment to LPS#3-02 (see BOR#95/8) |
3-27 | Reserved | ||
3-28 | Reserved | ||
3-29 | Reserved | ||
3-30 | 02/01/87 | Underwriter's conflict of interest | rescinded by NIN#95/45 |
3-31 | 02/01/87 | Incentive options to directors and employees - unlisted issuers | in effect |
3-32 | Reserved | ||
3-33 | 02/01/87 | R.R.S.P.'s administered by brokers on behalf of authorized trustees | in effect |
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 and disclosure | in effect |
3-38 | 02/01/87 | Registration of non-residents - Securities Act | rescinded by NIN#95/48; replaced by LPS#3-22 |
3-39 | 02/01/87 | Guidelines for advertising issues of securities and for promotional activities during the course of a distribution | in effect |
3-40 | Replaced | 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 registration | rescinded by NIN#95/48; replaced by LPS#3-22 |
3-43 | 12/12/91 (interim) | Government Strip Bonds | in effect (see NIN#95/9) |
3-44 | 12/21/95 | Recognition of self regulatory body, exchanges and jurisdictions | in effect 01/01/96 |
3-45 | 04/06/89 (draft) | Designation as a reporting issuer and business investor offerings | in effect 04/07/89 (see NIN#89/17) |
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 |