NIN 98/02 - Revised Indices of Policies and Other Instruments under the Securities Act [NIN - Rescinded]
Published Date: | 1998-01-15 |
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Effective Date: | 1998-01-16 |
Effective January 16, 1998, the Commission is rescinding the indices dated effective June 27, 1997 of the
- Notices and Interpretation Notes
- Blanket Orders and Rulings
- Local Policy Statements
- National Instruments, Policies and Forms and CSA Notices and CSA Requests for Comment
The Commission is substituting the indices attached to this Notice. The Forms index is attached to NIN#98/3.
The NIN index lists 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 The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect.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 lists only the BORs that are in effect.
Effective January 1, 1996, the Commodity Contract Act, R.S.B.C. 1979, c. 56 was repealed. BORs under the Commodity Contract Act continue to have effect to the extent that the provisions in that Act were continued under the Securities Act. The CCA BORs will be replaced in due course. For ease of reference, a list of the CCA BORs is included in the BORs Index.
The index of National Instruments and other reformulation instruments lists only those instruments that are currently in effect. The index reflects the numbering system adopted in connection with the policy reformulation and rule-making project as discussed in NIN#96/23. (See NIN#96/13 for a discussion of National Instruments and National Policies.)
NINs, BORs and LPSs will be amended in due course to correct section references that have changed as a result of the coming into force of the revised Securities Act, R.S.B.C. 1996, c. 418 (the "Revised Act"), on April 21, 1997, and the amendments to the Securities Regulation, and the new Securities Rules, and Registration Transfer Rules on June 17, 1997 and January 1, 1996. The Revised Act replaced the Securities Act, S.B.C. 1985, c. 83 (the "Prior Act"). The Securities Regulation, Securities Rules and Registration Transfer Rules that came into effect on June 17, 1997 replaced the Securities Regulation, Securities Rules and Registration Transfer Rules that had come into effect on January 1, 1996. There were no section number changes as a result of the June 17, 1997, revision of the regulations and rules. The January 1, 1996, regulation and rules replaced the former Securities Regulation, B.C. Reg. 270/86 (the "Old Regulation) and the former Registration Transfer Regulation, B.C. Reg. 286/86 (the "Old RTR"). Until the updated NINs, BORs and LPSs are published, they should be read to refer, with the necessary changes, to the appropriate sections of the Revised Act, Securities Regulation, and Securities Rules. Refer to the Table of Concordance at page 478 of the Commission’s 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. Also, refer to the Table of Concordance at page 6 of the Commission’s Special Supplement to the Weekly Summary published for the week ending April 4, 1997 to update section references from the Prior Act to the Revised Act.
In addition, a number of LPSs have been revised, replaced or rescinded in the past several years (e.g. LPS 3-07 replaced old LPSs 3-07 to 3-10). As a result, other LPSs may contain outdated references to rescinded LPSs. In addition to updating the LPSs to reflect changes to the legislation, the LPSs will also be updated in due course to reflect the changes consequential to the implementation of all new and replacement LPSs. Until the updated LPSs are published, they should be read to refer, with the necessary changes, to the new and replacement LPSs.
DATED at Vancouver, British Columbia, on January 15, 1998.
Douglas M. Hyndman
Chair
INDEX OF NOTICES AND INTERPRETATION NOTES
Effective January 16, 1998
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 |
88/7 | 06/01/88 | Venture capital issuers | 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 |
88/45 | 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 | [Draft] 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 |
89/30 | 10/13/89 | Qualifications of auditors filing reports | in effect |
89/35 | 11/24/89 | Disclosure of promotional or investor relations arrangements | in effect |
90/4 | 02/09/90 | National Policy No. 39 - mutual funds distributor's report and auditor's letter | in effect |
90/16 | 05/10/90 | Principles of regulation re: activities of registrants related to financial institutions | 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 |
91/20 | 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 |
92/4 | 03/05/92 | Draft National Policy Statement No. 46 - index and commodity warrants and other derivative securities | in effect |
92/21 | 07/16/92 | Proposed junior POP system - request for comment | in effect |
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 |
93/8 | 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 |
93/23 | 12/16/93 | Executive compensation | lapsed 01/16/98 |
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 |
94/5 | 06/08/94 | National Policy Statement No. 39 - definition of debt-like securities | in effect |
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 |
94/22 | 11/01/94 | Permission under section 35(1)(c) of the Securities Act | lapsed 02/11/97 |
95/5 | 01/04/95 | Principles of fair trading | in effect |
95/7 | 01/12/95 | Duties of registrants in the supervision of accounts operating under powers of attorney or trading authorities | in effect |
95/9 | 02/08/95 | Government strip bonds - information statement - Local Policy Statement 3-43 - Blanket Order #91/12 | in effect |
95/12 | 03/01/95 | Executive compensation and indebtedness disclosure - Ontario staff report | in effect |
95/15 | 03/23/95 | Interpretation note - disclosure of securities under “control or direction” | in effect |
95/18 | 04/20/95 | Draft National Policy Statement No. 54 - expedited registration system for advisers | in effect |
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 |
95/24 | 06/22/95 | Fee payments under the Securities Act and the Commodity Contract Act | in effect |
95/29 | 07/06/95 | Task Force on Operational Efficiencies in the Administration of Securities Regulation - final report | in effect |
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 |
95/52 | 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 | lapsed 01/16/98 |
95/60 | 12/21/95 | Hold period for securities of exchange issuer issued under Section 55(2)(18) of the Securities Act | in effect |
96/5 | 01/23/96 | Clarification of transitional market-making relief for control persons | lapsed 01/16/98 |
96/6 | 01/24/96 | Supplementary report of the committee on underwriting conflicts of interest to the CSA chairs | in effect |
96/10 | 04/11/96 | Blanket Order #96/9 registrant information to be furnished to clients | in effect |
96/12 | 05/02/96 | Further relief relating to audit committee review and board of directors approval of interim financial statements | in effect |
96/13 | 05/08/96 | National Instruments and National Policies | in effect |
96/15 | 05/16/96 | Joint submission of the Chairs of the Alberta and British Columbia Securities Commissions on the structure of the proposed Canadian Securities Commission | in effect |
96/16 | 05/23/96 | Request for comment - Dissemination of insider trade report data | in effect |
96/21 | 07/09/96 | Course announcement - the securities program | lapsed 01/16/98 |
96/23 | 08/01/96 | Numbering system for the Policy Reformulation Project | in effect |
96/25 | 08/01/96 | Proposed Relief for Eligible Institutional Investors from Early Warning, Insider Reporting, Take-over Bid and Control Person Distribution Requirements | in effect |
96/26 | 08/13/96 | Calculation of Hold Periods under the Securities Rules | in effect |
96/27 | 08/15/96 | Communication with the Securities Commission | lapsed 10/23/97 |
96/28 | 08/22/96 | Report of the IDA Committee on Take-over Bid Time Limits | in effect |
96/29 | 08/29/96 | Trades in Options to Consultants | in effect |
96/32 | 09/26/96 | Application of sections 2(5), 2(6) and 2(7) of Securities Rules to the multijurisdictional disclosure system | in effect |
96/35 | 10/10/96 | Mutual funds and related party transactions | in effect |
96/36 | 10/10/96 | Real estate securities | in effect |
96/38 | 10/31/96 | Form 61 - Quarterly Report Staff Report on Schedule C - Management Discussion | in effect |
96/41 | 11/21/96 | Specification of Offering Documents Requiring Written Underwriting Procedures and Registration as an Underwriter | in effect |
96/42 | 11/27/96 | Further Transitional Relief Mutual Funds and Related Party Transactions Involving Non-Participating Affiliates | lapsed 12/01/97 |
96/43 | 11/27/96 | Proposed National Policy 62-201 and Rescission of National Policy Statement No. 37 Bids Made only in Certain Jurisdictions | lapsed 06/30/97 |
96/44 | 11/27/96 | Proposed National Policy 62-202 and Rescission of National Policy Statement No. 38 Take-Over Bids - Defensive Tactics | lapsed 06/30/97 |
96/45 | 12/05/96 | Special Warrants Prospectus Filings | in effect |
96/47 | 12/19/96 | Expedited Review of Short Form Prospectuses and Renewal AIFS | in effect |
96/49 | 12/18/96 | Quarterly Report Filings (Form 61) (SEDAR) | in effect |
97/4 | 01/16/97 | Proposed National Instrument 32-101 Small Securityholder Selling and Purchase Arrangements | lapsed 08/27/97 |
97/5 | 02/03/97 | Exemptive Relief for Certain Real Estate Securities | in effect |
97/6 | 02/11/97 | Permission under Section 35(1)(c) of the Securities Act | in effect |
97/7 | 02/12/97 | System for Electronic Document Analysis and Retrieval (SEDAR) - Issuers in Default | in effect |
97/9 | 03/03/97 | Trading Securities and Providing Advice Respecting Securities on the Internet | in effect |
97/10 | 03/04/97 | Trust Companies, Insurers and Portfolio Managers in Other Provinces and Territories of Canada, and Foreign Portfolio Managers | in effect |
97/11 | 03/04/97 | Meaning of “Full Managed” Accounts | in effect |
97/12 | 03/12/97 | Joint Securities Industry Committee on Conflicts of Interest - Interim Report | lapsed 01/16/98 |
97/13 | 04/03/97 | Revised Securities Act as part of the Revised Statutes of British Columbia, 1996 | in effect |
97/14 | 04/08/97 | Rescission of National Policy No. 33 Financing of Film Productions | lapsed 01/16/98 |
97/15 | 05/13/97 | Proposed National Instrument 41-101 Prospectus Disclosure Requirements And Rescission of National Policy statements Nos. 12, 13, 32, and 35 | in effect |
97/16 | 05/20/97 | Report of CSA Investment Funds Implementation Group | in effect |
97/17 | 06/18/97 | Settlements with the British Columbia Securities Commission | in effect |
97/18 | 06/18/97 | Proposed Provisions for Shareholder Proposals under the British Columbia Company Act | in effect |
97/19 | 06/18/97 | Replacement Registration Forms 4Z and 7Z | lapsed 01/16/98 |
97/20 | 06/25/97 | Revised Rules and Regulations under the Securities Act as a result of the Revised Statutes of British Columbia, 1996 | lapsed 01/16/98 |
97/21 | 06/25/97 | Amendments to the Forms | lapsed 01/16/98 |
97/22 | 06/25/97 | Revised Forms 20 and 23 | lapsed 01/16/98 |
97/23 | 06/25/97 | Use of Non-U.S. Foreign Accounting Principles and Non-U.S. Foreign Auditing Standards | in effect |
97/24 | 06/26/97 | Proposed National Instrument 81-102 and Companion Policy 81-102CP and Proposed Rescission of National Policy Statement No. 34 and National Policy Statement No. 39 - Mutual Funds | in effect |
97/25 | 06/26/97 | Proposed National Instrument 81-104 - Commodity Pools | in effect |
97/26 | 06/26/97 | Revised Indices of Notices and Interpretation Notes, Blanket Orders and Rulings, and Local Policy Statements under the Securities Act, Securities Regulation and Securities Rules, and Index of National Instruments, Policies, Forms and Notices under the Securities Act | lapsed 01/16/98 |
97/27 | 06/26/97 | Respecification of Required Forms under the Securities Act, Securities Regulation, and Securities Rules | lapsed 01/16/98 |
97/28 | 06/30/97 | Adoption of National Policy 62-201 and Rescission of National Policy Statement No. 37 Bids Made Only in Certain Jurisdictions | lapsed 01/16/98 |
97/29 | 06/30/97 | Adoption of National Policy 62-202 and Rescission of National Policy Statement No. 38 Take-Over Bids - Defensive Tactics | lapsed 01/16/98 |
97/30 | 06/30/97 | Dealers and their Salespersons | in effect |
97/31 | 07/16/97 | Proposed National Instrument 52-101 and Companion Policy 52-101CP and Proposed Rescission of National Policy Statement No. 48 | in effect |
97/32 | 07/25/97 | Proposed National Instrument 81-105 and Companion Policy 81-105CP Mutual Fund Sales Practices | in effect |
97/33 | 07/25/97 | The Investment Funds Institute of Canada Code of Sales Practices for the Mutual Fund Industry | in effect |
97/34 | 07/28/97 | Proposed Rescission of Uniform Act Policy No. 2-11; Applications to Omit Certain Financial Information | in effect |
97/35 | 07/30/97 | Changes to SEDAR Filer Software | in effect |
97/36 | 08/27/97 | Market Fragmentation Request for Comments and Disclosure Forum | in effect |
97/37 | 08/27/97 | Advance Notice - National Instrument 32-101 Small Securityholder Selling and Purchase Arrangements | lapsed 10/30/97 |
97/38 | 09/18/97 | Designated Jurisdictions of Issuers Eligible to Participate in the POP System | in effect |
97/39 | 10/14/97 | Registration to Act as an Adviser or to Trade in Securities or Exchange Contracts | in effect |
97/40 | 10/16/97 | Conditional Exemption From Registration For United States Broker-Dealers and Agents | in effect |
97/41 | 10/23/97 | Communication with the Securities Commission - New Commission Telephone and Facsimile Numbers | in effect |
97/42 | 10/30/97 | Proposed Changes to the Definition of Material Fact and Material Change and Proposed Introduction of a “Loser-Pays” Cost Rule Under Securities Legislation | in effect |
97/43 | 10/30/97 | Adoption of National Instrument 32-101 Small Securityholder Selling and Purchase Arrangements | in effect |
97/44 | 11/06/97 | Processing Applications For Discretionary Relief Before Year End | lapsed 01/16/98 |
97/45 | 11/20/97 | Disruption of Mail Service | lapsed 01/16/98 |
97/46 | 11/20/97 | Notice of Proposed National Instrument 45-101 Rights Offerings, Companion Policy 45-101CP, Form 45-101F and Rescission of Certain Policies | in effect |
97/47 | 11/27/97 | Shorter Hold Period with Annual Information Form, Eurobond Offerings ad Distributions to Persons Outside B.C. | in effect |
97/48 | 11/27/97 | Distribution of Securities to Persons Outside British Columbia | in effect |
97/49 | 11/27/97 | Proposed National Instrument 33-102, 33-103, 33-104, related Companion Policies and National Policy 33-201, all Governing Activities of Dealers and Carry on Business in Retail Branches of Financial Institutions | in effect |
97/50 | 12/04/97 | Proposed Rescission of Uniform Act Policy No. 2-10: Insider Trading Reports - Persons Required to Report in More than One Capacity | in effect |
97/51 | 12/04/97 | Proposed National Instrument 71-101 and Companion Policy 71-101CP The Multijurisdictional Disclosure System | in effect |
97/52 | 12/17/97 | Non-Payment of SEDAR Annual Filing Service Charges | in effect |
97/53 | 12/17/97 | Amendments to the Company Act Relating to Compromises and Arrangements | in effect |
97/54 | 12/23/97 | Filing Forms 20 Reports by Facsimile | in effect 01/15/98 |
98/1 | 01/15/98 | Clarification of Interim Local Policy Statement 3-27 System for Shorter Hold Periods with an AIF and Publication of Proposed Alberta Rule and Policy | in effect |
98/2 | 01/15/98 | Revised Indices of Policies and Other Instruments under the Securities Act | in effect |
98/3 | 01/15/98 | Respecification of Required Forms under the Securities Act, Securities Regulation and Securities Rules | in effect |
SECURITIES ACT
INDEX OF BLANKET ORDERS AND RULINGS
Effective January 16, 1998
BOR # | Date of BOR (mm/dd/yy) | Description | Status (mm/dd/yy) |
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 (CCA BOR#89/6) | 01/26/89 | Registration of persons trading in IOCC options | in effect |
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 (CCA BOR#91/2) | 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) [S.A. and C.C.A.] | 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#s 94/22 & 96/47) |
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 |
95/8 | 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 LPS 3-02) |
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) |
95/22 | 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 |
96/3 | 03/14/96 | The requirement to send interim financial statements and quarterly reports to security holders of a reporting issuer | in effect |
96/5 | 03/27/96 | Mutual funds and the purchase and sale of mortgages from and to the account of responsible persons | in effect |
96/7 | 03/27/96 | Trades in securities acquired under section 117 of the Securities Regulation, B.C. 270/86 | in effect |
96/8 | 03/27/96 | Number of purchasers under sections 89(a) and (g) and 128(a) and (h) of the Securities Rules, B.C. 479/95 | in effect |
96/10 | 05/02/96 | Further relief respecting audit committee review and board of directors approval of interim financial statements | in effect 04/30/96 |
96/15 | 08/29/96 | Trades in Options to Consultants | in effect |
96/16 | 09/26/96 | Further continuing relief for financial statements of certain issuers and the prompt offering qualification system | in effect |
96/17 | 10/10/96 | Mutual funds and the purchases and sales of certain debt securities from and to the account of responsible persons | in effect |
97/1 | 02/03/97 | Real Estate Securities | in effect |
97/3 | 02/03/97 | Resale Relief for Eligible Real Estate Securities | in effect |
97/4 | 03/04/97 | Trust Companies, Insurers and Portfolio Managers in Other Provinces and Territories of Canada and Foreign Portfolio Managers | in effect |
97/6 | 06/25/97 | Further Continuing Relief from Financial Statements of Certain Foreign Issuers | in effect |
97/7 | 06/25/97 | Take Over Bids and Going Private Transactions | in effect |
97/9 | 11/20/97 | Relief Respecting the Requirement to Send Financial Statements and Quarterly Reports to Securityholders During a Disruption in Mail Service | in effect |
97/10 | 11/20/97 | Further Transitional Relief Relating to Transactions Between a Mutual Fund and Non-Participating Affiliates of Its Responsible Persons | in effect |
97/11 | 11/27/97 | Eurobond Offerings | in effect 12/01/97 |
97/12 | 11/27/97 | System for Shorter Hold Periods With an Annual Information Form | in effect 12/01/97 |
97/13 | 12/23/97 | Filing Forms 20 Reports by Facsimile | in effect |
Effective January 16, 1998
CCA BOR # | Date of BOR (mm/dd/yy) | Description | Status (mm/dd/yy) |
CCA BOR#89/1 | 01/26/89 | Recognition of the Vancouver Stock Exchange as a Commodity Exchange in the Province of British Columbia (see also LPS 3-44) | in effect |
CCA BOR#89/3 | 01/26/89 | Recognition of Self Regulatory Bodies (see also LPS 3-44) | in effect |
CCA BOR#89/4 | 01/26/89 | Segregation of Funds by Commodity Contracts Dealers | in effect |
CCA BOR#89/5 | 01/26/89 | Acceptance of IOCC Options | in effect |
CCA BOR#89/6 (BOR#89/1) | 01/26/89 | Registration of Persons Trading in IOCC Options | in effect |
CCA BOR#89/7 | 11/09/89 | Recognition of Commodity Exchanges Situated Outside the Province of British Columbia | in effect |
CCA BOR#91/1 | 08/01/91 | Acceptance of TCO Gold Options | in effect |
CCA BOR#91/2 (BOR#91/8) | 08/01/91 | Registration of Persons Trading in TCO Options | in effect |
SECURITIES ACT
INDEX OF LOCAL POLICY STATEMENTS
Effective January 16, 1998
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 as amended effective 01/01/96 (see BOR#95/10) |
3-03 | 02/01/87 | Requirements re filing of preliminary prospectuses and prospectuses (national issues) | in effect |
3-04 | Rescinded | replaced by LPS 3-17 | |
3-05 | 02/01/87 | Rights offerings to shareholders | in effect |
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 | replaced by LPS 3-07 | |
3-09 | Rescinded | replaced by LPS 3-07 | |
3-10 | Rescinded | replaced by LPS 3-07 | |
3-11 | Rescinded | ||
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 | 10/05/94 (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 | Rescinded | replaced by amendment to LPS 3-02 (see BOR#95/8and BOR#96/12) |
3-27 | 11/27/97 (interim) | System for Shorter Hold Periods with an Annual AIF | in effect 12/01/97 |
3-28 | Reserved | ||
3-29 | Reserved | ||
3-30 | 02/01/87 | Rescinded | |
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 | Rescinded | 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 | Rescinded | replaced by NP 47 and BOR#93/1 | |
3-41 | 02/01/87 | Lawyer's conflict of interest | in effect |
3-42 | 02/01/87 | Rescinded | 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 amended 12/01/97 (see NIN #97/43) |
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 NATIONAL INSTRUMENTS, POLICIES AND FORMS,
CSA NOTICES AND CSA REQUESTS FOR COMMENT
Effective January 16, 1998
Number | Date (mm/dd/yy) | Description | Status (mm/dd/yy) |
11-401 (CSA RC) | 06/13/97 | Delivery of Documents by Issuers Using Electronic Media Concept Proposal - Request for Comment | in effect |
NI 13-101 | 12/17/96 | System for Electronic Document Analysis and Retrieval (SEDAR) SEDAR Filer Manual | in effect 01/01/97 |
NI 14-101 | 02/26/97 | Definitions | in effect 04/01/97 |
31-301 (CSA N) | 11/21/97 | The Year 2000 Challenge | in effect |
NI 32-101 | 10/30/97 | Small Securityholder Selling and Purchase Arrangements | in effect 12/01/97 |
51-301 (CSA Staff N) | 10/10/97 | Conversion of Corporate Issuers to Trusts | in effect |
53-301 (CSA N) | 09/12/97 | The TSE Toronto Stock Exchange Committee on Corporate Disclosure - Final Report; CSA Task Force on Civil Remedies | in effect |
55-301 (CSA N) | 01/24/97 | Filing Insider Reports by Facsimile and Exemption where Minimal Connection to Jurisdiction | in effect |
NP 62-201 | 06/30/97 | Bids Made Only in Certain Jurisdictions | in effect 08/04/97 |
NP 62-202 | 06/30/97 | Take-Over Bids - Defensive Tactics | in effect 08/04/97 |
81-301 (CSA N) | 01/31/97 | Mutual Fund Prospectus Disclosure System Concept Proposal - Request for Comment | in effect |
81-302 (CSA N) | 12/12/97 | Sales of Mutual Funds in Upcoming RRSP Season | in effect |
Legend
CP - Companion Policy NI - National Instrument
CSA - Canadian Securities Administrators NP - National Policy
F - Form RC - Request for Comment
N - Notice