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Securities Law

NIN 97/41 - Communication with the Securities Commission - New Commission Telephone and Facsimile Numbers [NIN - Rescinded]

Published Date: 1997-10-24
Effective Date: 1997-10-23

This Notice is intended to provide general guidance for those who frequently make inquires of, or file documents with, the British Columbia Securities Commission. It replaces NIN#96/27.


One of the Commission's objectives is to provide efficient and responsive service to the public and to the securities industry. Each month, staff receive several hundred telephone inquiries concerning everything from office hours to legislative interpretation. No one person at the Commission can respond to all of these inquiries, but our telephone receptionists are trained to help direct your call to the appropriate personnel.

Attached to this Notice is an Information Directory that lists some of the most common inquiry topics along with the name of the Commission Division or Department normally responsible for them. The Directory includes each Division's phone and facsimile number. Effective October 27, 1997, the Commission will be operating under a new telephone system. As a result, all telephone and facsimile numbers will change. The new numbers will begin with '899-.’ If you have an inquiry, please refer to the Directory and call or fax the appropriate Division directly, or ask our receptionists to connect you. The Commission has installed voice mail on most lines to avoid having callers 'bounced’ from telephone to telephone. Please leave a detailed message if a particular staff member is not available when you call.

Please note that Commission staff cannot provide legal advice. Staff will, however, try to help you understand the securities legislation and may be able to refer you to other sources that would be of help.


Since September 1995, the Commission has been able to receive and respond to inquiries via the Internet at: inquiries@

For inquiries sent by e-mail, it is helpful if the note begins with an 'attention’ line (e.g. Attn: Corporate Finance) so it can be immediately directed to the appropriate Division or staff member.


Written inquiries should be addressed to the British Columbia Securities Commission, 11th floor (2nd floor, effective January 1, 1998), 865 Hornby Street, Vancouver, B.C. V6Z 2H4 and marked to the attention of the appropriate Division or Department.


Requests for registration forms, insider reporting forms, quarterly reports and fee checklists are handled through the Commission's Public Information Centre on the 11th Floor at 865 Hornby Street, Vancouver. Effective January 1, 1998 the Commission’s Public Information Centre will be moved to the 2nd floor at 865 Hornby Street, Vancouver. Forms can be picked up in person or you can telephone (604) 899-6660 to request that these forms be sent to you by mail.

The Commission's public files are available for viewing daily during normal business hours. There is a $6 file search fee. File search services conducted by Commission staff are available for clients located outside the lower mainland on payment of a $6 fee. For more information contact the Records Department at 899-6674.


National Instrument 13-101 requires reporting issuers to file certain documents electronically using SEDAR. Foreign issuers that satisfy the definition of 'foreign issuer (SEDAR)’ set out in section 1.1 of National Instrument 13-101 are exempted from the requirement to file electronically using SEDAR. These issuers may continue to file their correspondence with the Commission in paper format. However, foreign issuers may elect to file electronically by completing SEDAR Form 5, 'Notice of Election by Foreign Issuer.’

Some filings by issuers and filings by registrants and insiders are still made in paper format. These filings can be sent to the Commission by mail, courier or facsimile. Staff are able to process mail and couriered deliveries much more efficiently if the envelope containing the material is either addressed to a specific Division or describes, briefly, the type of filing being made. Similarly, facsimile filings should be addressed to a specific Division or describe briefly the type of filing being made. The suggested address format for filings and other correspondence is

British Columbia Securities Commission
11th floor, 865 Hornby Street (2nd floor effective January 1, 1998)
Vancouver, B.C. V6Z 2H4

Attn: ( Div. or Dept.) Re: (type of filing)

Again, reference to the attached Directory will help you identify the right department for your filing.

Some of the most common types of filings that would not be filed electronically using SEDAR, along with suggested addressing information, are listed below:

Type of FilingAttn:Re:
Applications for Discretionary OrdersExemptions & OrdersApplication
Applications for RegistrationRegistrationApplication
Confidential Material Change ReportsStatutory Filings*Confidential*
Insider ReportsInsider Reportings.87 filing
Reports of Exempt DistributionExemptions & OrdersForm 20


Several types of filing are subject to fees under section 22 of the Securities Regulation. Where filing by mail or courier, please remember to include, with your filing

1. a cheque for the appropriate fees, made payable to the British Columbia Securities Commission; and

2. a completed Fee Checklist, available from the Commission's Information and Records Dept.

Filing fees submitted for a SEDAR electronic filing must be sent via SEDAR, using the same project number as the filing to which the fee relates. A fee checklist need not be submitted, but the SEDAR fee screen must be completed.


Follow up material in relation to a filing made on SEDAR must be submitted on SEDAR, using the same project number as the original filing.

If you are filing 'follow-up’ material (e.g. additional material related to an ongoing matter such as an application for registration) other than through SEDAR, please mark the envelope and the first page of any covering letter as follows:

Attn: (name of staff member)
Follow up Material re: (name of issuer, dealer, etc.)


When you are filing documents with the Commission for information only (i.e. not pursuant to a statutory filing requirement) please indicate this on the face of the covering letter and attachments by marking them 'For Information Only.

A document required to be filed because

  • it was sent by an issuer to security holders, or
  • it was filed with a governmental agency or with a stock exchange outside the jurisdiction,

must be filed electronically using SEDAR (NI 13-101, s.2.2(1)). At this time, other documents required to be filed under Section 153 of the Rules would be filed in paper format. Where these documents are filed using SEDAR, they should be filed under the 'Continuous Disclosure’ filing category, and the 'Other Filings’ filing type unless another SEDAR filing type specifically applies. Any documents required to be filed by Section 153 of the Rules must be filed within 7 days after the issuer (a) sends the records to its security holders or (b) files the records with the government agency or exchange.


Form 36 is the Insider Reporting form accepted by every jurisdiction in Canada. In British Columbia and many other Canadian jurisdictions (see CSA Notice 55-301), Insider Reports can be filed by mail or facsimile. If filed by mail, the report must bear an original signature of the filer.

If filed by facsimile, Insider Reports must be sent to the Commission's dedicated Insider Reporting Fax Line at (604) 899-6550. Reports must be clear and legible and insiders must keep on file the originals and the fax confirmation slip. If you file your insider reports by facsimile, you do not need to file the originals by mail as well. If you plan to file by fax, please refer to BOR#95/5 and CSA Notice 55-310.

No filing fee applies to Insider Reports unless they are filed late.


A press release announcing a material change in the affairs of a reporting issuer is required to be filed under section 85(1)(a) of the Act.

Press releases must be filed on SEDAR 'as soon as practicable’ after a material change occurs, but in any event no later than 10 days after the date on which the change occurs. A press release that contains information that is material to investors, but is not a "material change", and that is filed with another regulator, would be filed under Section 153 of the Rules within 7 days after the information is filed with the other regulator. The press release must include the name of the senior officer(s) authorizing the press release on behalf of the issuer. Authorization by a director who is not a senior officer does not meet the requirement of section 85(1)(a). The name of the issuer, its address and its phone number should be clearly set out at the top of the press release.

While coverage on news wire services is important for timely dissemination of information in press releases, it does not satisfy the requirements of the Act for a copy of the press release to be filed with the Commission.

Issuers should refer to National Policy No. 40 for guidance about the content and proper balance of press releases. Issuers must also consider the requirements of any exchange on which their securities are listed.


A Material Change Report (Form 27) must be filed electronically using SEDAR by a reporting issuer no later than 10 days after each material change occurs. There is no fee for the filing of Material Change Reports in B.C.


Confidential material change reports filed under section 85(2) of the Act should not be filed using SEDAR (NI 13-101, s.2.3). Theses documents must be filed by mail or courier and must bear an original signature. They should be addressed to the Statutory Filings Dept. and clearly marked 'Confidential.’ Insiders and others involved in the filing of a confidential material change report are reminded that they are prohibited from trading while a material change report is kept confidential.

If an Issuer files a confidential material change report, it must advise the Statutory Filings Dept., in writing, every 10 days afterwards if it believes the report should remain confidential.


Section 152 of the Securities Rules requires an exchange issuer to file with the Commission a quarterly report prepared in accordance with Form 61-Quarterly Report. Because National Instrument 13-101 requires reporting issuers to file interim and financial statements using SEDAR, exchange issuers are required to file Form 61-Quarterly Reports electronically using SEDAR.

The Commission has published a note (NIN #96/49) on how to satisfy the requirement to file a Form 61-Quarterly Report using SEDAR. Issuers are required to generate only the Issuer Details and the Certificate part of Form 61-Quarterly Report and attach it to the two documents required to be filed electronically, the financial statements (Schedule A) and schedules B and C. Issuers are reminded that a copy of the original Form 61-Quarterly Report must be delivered to shareholders on the supplemental mailing list.

For more information on these filings please refer to NIN #96/49 and the SEDAR Filer Manual.


If you would like to file a formal complaint relating to a breach of the Act or regulations, or the conduct of a registrant or issuer, you should do so through the Enforcement Inquiries Unit. Formal complaints should be made, if at all possible, in writing and should be accompanied by supporting documents. Call the Enforcement Inquiries Line at (604) 899-6600 for more details.


The Commission has jurisdiction to review decisions and rulings made by individual members of the Commission, the Executive Director, the Vancouver Stock Exchange and the Investment Dealers Association (Pacific District). Any person directly affected by a decision or ruling of one of those bodies may commence a proceeding before the Commission by requesting a Hearing and Review. The request should be sent to the Secretary of the Commission. For information on Hearings and Reviews, please refer to the Commission's Local Policy Statement 3-12.


As a rule, records required to be filed with the Commission are presumed to be public documents unless they fall within the confidentiality provisions of the Securities Act (section 169(4)) or the Freedom of Information and Protection of Privacy Act (the "FOIPP Act").

Filers should assume that records required to be filed with the Commission will be placed in a public file and, where applicable, available to the public through the SEDAR database, unless specific confidentiality requirements are met. If you are unsure whether your filing will be held in confidence you should call the Division to which the filing will be directed. If you wish to maintain confidential treatment of a record, you should not file the document using SEDAR (NI 13-101, s.2.3). First, determine if the information in the record is subject to the mandatory confidentiality provisions of the FOIPP Act. If not, you will have to make a separate application to the Commission seeking confidentiality under section 169(4) of the Securities Act, giving reasons to support your application. The application should accompany or precede your filing.

Records that are considered confidential by the Commission are not published or placed in the public file, and are not available through the SEDAR database. However, with the exception of information obtained in an investigation under section 147 of the Act, or subject to disclosure prohibitions under the FOIPP Act, the Commission may still be obliged to make records available to the public should an application be made under the FOIPP Act.

Certain records that are not required to be filed under the Securities Act, such as correspondence between an applicant and the Commission, will not generally be placed in the public file.


Each week the Commission posts insider reporting data, the defaulting reporting issuers list and information about exempt securities distributions (as published in the Weekly Summary) to an Internet site for public viewing. In addition, this site displays other information for issuers, investors, and registrants. The new site address

DATED at Vancouver, British Columbia, on October 23, 1997

Douglas M. Hyndman

British Columbia Securities Commission
1100-865 Hornby Street, Vancouver, British Columbia, Canada V6Z 2H4
Information Directory

Main Switchboard: (604) 899-6500
Toll Free Number (B.C. Only): 1-800-373-6393

E-Mail (Internet) Address:

Chief Accountant 899-6726899-6700
Communications Manager899-6539899-3506
Enforcement Div.899-6600899-6599
Corporate Finance Div.899-6702899-6700
Executive Director’s Office 899-6527899-6506
Exemptions and Orders Div.899-6648899-6700
Information Officer 899-6670899-6665
Insider Reporting Unit899-6548899-6550
Policy and Legislation Div.899-6636899-6506
Records Dept.899-6664899-6665
Registration Div.899-6692899-6506
Secretary to the Commission 899-6533899-6506
Statutory Filings Dept.899-6729899-6500


Advertising: complaints relating toEnforcement899-6600899-6599
Advertising: exempt trades and distributionsExemptions and Orders899-6551899-6700
Advertising: prospectus offeringsCorporate Finance899-6702899-6700
Advertising: registrantsRegistration899-6692899-6506
Annual information forms (AIFs)Corporate Finance899-6702899-6700
Annual interim financial statements and quarterly reportsStatutory Filings899-6729899-6506
Applications: discretionary ordersExemptions and Orders899-6648899-6700
Applications: hearings and reviewsSecretary to the Commission899-6533899-6506
Applications: registration of dealers, underwriters, advisers, salespersons, advising employees, etc.Registration899-6692899-6506
Blanket Orders (BORs): obtaining copiesSee Appendix
Brochures & Pamphlets: obtaining copiesInformation Officer899-6670899-6665
Commodity PoolsCorporate Finance899-6702899-6700
Complaints: enforcement relatedEnforcement899-6600899-6599
Consents under the Company Act (restorations, waiver of auditor)Statutory Filings899-6729899-6506
Control Person: definition ofInsider Reporting Unit899-6548899-6550
Control Person: reporting requirements (Forms 23 and 36)Insider Reporting Unit899-6548899-6550
Discretionary Orders: registration, prospectuses, continuous disclosure, proxy solicitations, take over bidsExemptions and Orders899-6648899-6700
Early Warning Reports (s.111 reports)Insider Reporting Unit899-6548899-6550
Enforcement: ComplaintsEnforcement899-6600899-6599
Enforcement: General EnquiriesEnforcement899-6600899-6599
Enforcement: Outstanding OrdersEnforcement899-6600899-6599
Engineering/Mining ReportsCorporate Finance899-6702899-6700
Escrow Shares - transfer and cancellationCorporate Finance899-6702899-6700
Exchange Offering Prospectuses (including financial statement requirements)VSE (Corporate Finance Services)689-3334682-6549
Exempt take over bids and issuer bidsExemptions and Orders899-6648899-6700
Exempt Trades and Distributions (including private placements)Exemptions and Orders899-6551899-6700
Fees: public file searches, photocopiesRecords899-6664899-6665
Fees: annual information forms, prospectuses, mutual funds, commodity pools, rights offerings, engineering reports, escrow shares, restoration of dormant companiesCorporate Finance899-6702899-6700
Fees: early warning reports (s.111 reports), insider reports (Form 36), control person reports (Form 23)Insider Reporting Unit899-6548899-6550
Fees: hearing & review applicationsSecretary to the Commission899-6533899-6506
Fees: material change reports, change in financial year end, take over bid and issuer bid circulars, annual and interim financial statements, quarterly reports, confidential material change reports, shareholder meetings, Company Act consentsStatutory Filings899-6729899-6506
Fees: discretionary orders, exempt trades and distributions, Form 20 filings, offering memorandumExemptions and Orders899-6648899-6700
Fees: applications for registration, notices of change, Forms 4b, networking arrangementsRegistration899-6692899-6506
Financial Statements: registrantsRegistration899-6692899-6506
Financial Statements: changes in financial year endStatutory Filings899-6729899-6506
Financial Statements: foreign GAAP/GAASChief Accountant899-6726899-6700
Financial Statements: GAAP/GAASChief Accountant899-6726899-6700
Financial Statements: reservations in audit opinionsChief Accountant899-6726899-6700
Forms (not pre-printed): obtaining blank copies (e.g. prospectus forms, Forms 20, 20A, information circular forms)See Appendix
Forms (pre-printed): obtaining blank copies (e.g. insider reports, registration applications, quarterly reports)Records899-6660899-6665
Forms 4b - directors and officers of exchange issuersRegistration899-6692899-6506
Forms 20: filing requirementsExemptions and Orders899-6551899-6700
Freedom of Information requestsManager, Public Information and Records899-6666899-6665
Going Public Information Package: obtaining copiesInformation Officer899-6670899-6665
Hearing and review applicationsSecretary to the Commission899-6533899-6506
Hearings: Notices, Adjournments, DecisionsSecretary to the Commission899-6533899-6506
Insider Reporting requirements (Form 36)Insider Reporting Unit899-6548899-6550
Insider Report Forms: obtaining blank copiesRecords899-6660899-6665
Insider Reports: obtaining completed copies for particular insidersRecords899-6664899-6665
Insider: definition ofInsider Reporting Unit899-6548899-6550
Insider bids: circularsStatutory Filings899-6729899-6506
Issuer Bids: exemptionsExemptions and Orders899-6648899-6700
Joint Regulatory Financial Questionnaire and Report (JRFQ)Registration899-6692899-6506
Legislation (Act, Rules, Regulation): obtaining copiesSee Appendix
Letters of Good StandingStatutory Filings899-6729899-6506
Local/National Policies: obtaining copiesSee Appendix
Local or national policies, blanket orders or notices (not relating to obtaining copies, a specific case or referred to elsewhere in this Information Directory)Policy and Legislation899-6636899-6506
Material Change Reports: confidentialStatutory Filings899-6729899-6506
Material Change Reports: filing requirements (Form 27)Statutory Filings899-6729899-6506
Media EnquiriesCommunications Manager899-6539899-6506
Mortgage Syndications - availability of exemptionPolicy and Legislation899-6636899-6506
Mutual FundsCorporate Finance899-6702899-6700
Networking ArrangementsRegistration899-6685899-6506
Notices and Interpretation Notes (NINs): obtaining copiesSee Appendix
Notices of Intention to Sell (Form 23)Insider Reporting Unit899-6548899-6550
Offering Memoranda: financial requirementsChief Accountant899-6726899-6700
Offering Memoranda: filing requirements Exemptions and Orders899-6551899-6700
Press Releases: contents, filing requirementsStatutory Filings899-6729899-6506
Principles of RegulationRegistration899-6692899-6506
Prospectus offerings (other than Exchange Offering Prospectuses)Corporate Finance899-6702899-6700
Prospectuses: whether a receipt has been issuedCorporate Finance899-6702899-6700
Public File Searches (prospectuses, press releases, financial statements and other information filed by public companies available for viewing)Records899-6664899-6665
Quarterly Reports - filing requirementsStatutory Filings899-6729899-6506
Quarterly Report Forms: obtaining blank copiesRecords899-6660899-6665
Real Estate Securities: discretionary reliefExemptions and Orders899-6648899-6700
Registered Education Savings PlansCorporate Finance899-6702899-6700
Registration Application Forms: obtaining blank copiesRecords899-6660899-6665
Registration: IDA Member Firms and employeesIDA683-6222683-3491
Registration: VSE member firms and employeesVSE (Member Services)689-3334682-8514
Registration: whether a person is registeredRegistration899-6692899-6506
Registration: list of current registrants (microfiche only)Information Officer899-6670899-6665
Registration: notices of change relating to dealers; underwriters; advisers; partners, directors & officers; salespersons and advising employeesRegistration899-6692899-6506
Registration: record keeping requirementsRegistration899-6692899-6506
Reporting Issuers: confirmation of statusStatutory Filings899-6729899-6506
Responses to documents published for commentPolicy and Legislation899-6636899-6506
Restoration of dormant companiesCorporate Finance899-6702899-6700
Rights OfferingsCorporate Finance899-6702899-6700
SEDAR (technical questions re: electronic filing)CDS SEDAR Inc. (Help Desk)1-800-
(416) 365-0842
SEDAR (filing questions)Corporate Finance899-6702899-6700
Shareholder Communication (NP 41): waiversStatutory Filings899-6729899-6506
Shareholder MeetingsStatutory Filings899-6729899-6506
Take over bid and issuer bid circularsStatutory Filings899-6729899-6506
Take over bids: exemptionsExemptions and Orders899-6648899-6700
Technical (assessment) reportsCorporate Finance899-6702899-6700
Underwriter conflicts of interestRegistration899-6692899-6506
Weekly Summary SubscriptionsInformation Officer899-6670899-6665

To purchase copies of the Act, Regulation and Rules, contact
  • Crown Publications
    521 Fort Street
    Victoria, B.C. V8W 1E7
    Tel: (250) 386-4636
    Fax: (250) 386-0221
  • Queen's Printer
    849 Hornby Street
    Vancouver, B.C. V6Z 1T9
    Tel: (604) 660-0981
    Fax: (604) 660-1170
  • Worldwide Books and Maps
    736A Granville Street
    Vancouver, B.C. V6Z 1G3
    Tel: (604) 687-3320
    Fax: (604) 687-5925
Forms (mock-up format only), Notices and Interpretation Notes (NINs), Blanket Orders (BORs), National, Local and Uniform Act Policies may be purchased from:
  • Superior Repro
    #200 - 1112 West Pender Street
    Vancouver, B.C. V6E 2S1
    Tel: (604) 683-2181
    Fax: (604) 683-2189
A bound, annotated compilation of the Act, Regulation, Rules, Forms, Notices and Interpretation Notes (NINs), Blanket Orders (BORs) and National, Local and Uniform Act Policies is published annually by:
  • Carswell
    #710 - 815 West Hastings Street
    Vancouver, B.C.
    V6C 1B4
    Telephone (604) 685-8171
    Fax (604) 685-5343
A complete set of the Act, Regulation, Rules, National, Local and Uniform Act Policies, Forms, Notices and Interpretation Notes (NINs), Blanket Orders (BORs) and other materials are available on a subscription basis from:
  • Continuing Legal Education Society of British Columbia
    #300 - 845 Cambie Street
    Vancouver, B.C. V6B 5T2
    Tel: (604) 669-3544 (toll-free: 1-800-663-0437)
    Fax: (604) 669-9260
  • CCH Canadian Limited
    Canadian Securities Law Reporter
    Suite 1760 - One Bentall Centre
    505 Burrard Street
    Vancouver, B.C. V7X 1M6
    Tel: (604) 688-7522
    Fax: (604) 688-0451