NIN 99/04 - Revised Indices of Policies and Other Instruments under the Securities Act [NIN - Rescinded]
Published Date: | 1999-02-12 |
---|---|
Effective Date: | 1999-01-31 |
- Notices and Interpretation Notes ("NINs")
- Blanket Orders and Rulings ("BORs")
- Blanket Orders and Rulings Issued Under the Commodity Contract Act ("CCA BORs")
- Local Policy Statements ("LPSs")
- Documents Under National Numbering System (National Instruments, Policies, Forms, CSA Notices, CSA Requests for Comment and Implementing Rules).1
1 See NIN#96/13 for a discussion of National Instruments and National Policies.
The Commission is substituting the indices attached to this Notice. The Forms index is attached to NIN#99/3.
The indices list only the instruments that are in effect and that have been lapsed, rescinded or revoked since June 30, 1998.2
2 NIN#89/3, which was rescinded on April 15, 1998, NIN#97/34, which lapsed on March 31, 1998, and NIN#97/38, which lapsed on March 4, 1998, are also included in the NIN index.
The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect.
Effective January 1, 1996, the Commodity Contract Act, R.S.B.C. 1979, c. 56 ("CCA"), was repealed. BORs under the CCA continue to have effect to the extent that the provisions in the CCA 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 as a separate index.
NINs, BORs (including CCA 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 Securities Act, R.S.B.C. 1996, c. 418 (the "Revised Act"), on April 21, 1997, and amendments to the Securities Regulation, B.C. Reg. 196/97, Securities Rules, B.C. Reg. 194/97, and Registration Transfer Rules, B.C. Reg. 193/97, on June 17, 1997.
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 Securities Regulation, Securities Rules and Registration Transfer Rules. The January 1, 1996, Securities Regulation, Securities Rules and Registration Transfer 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.
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, LPSs should be read to refer, with the necessary changes, to the new and replacement LPSs.
DATED at Vancouver, British Columbia, on February 11, 1999.
Douglas M. Hyndman
Chair
NIN#98/34
NIN#98/48
NIN#99/3
INDEX OF NOTICES AND INTERPRETATION NOTES
Effective January 31, 1999
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 | rescinded 04/15/98 (see section 3.9 of LPS 3-22) |
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 agreements - restrictions on exemption orders | 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 |
94/5 | 06/08/94 | National Policy Statement No. 39 - definition of debt-like securities | in effect |
94/20 | 10/14/94 | Draft National Policy Statement No. 43 - advertisements of securities and related sales practices | in effect |
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 | lapsed 01/31/99 (see NIN#98/20) |
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 |
95/21 | 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 |
95/60 | 12/21/95 | Hold period for securities of exchange issuer issued under section 55(2)(18) of the Securities Act | 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 |
96/23 | 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 | lapsed 09/03/98 (see NIN #98/53) |
96/26 | 08/13/96 | Calculation of Hold Periods under the Securities Rules | in effect |
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 |
96/45 | 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 |
97/5 | 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 "Fully Managed" Accounts | in effect |
97/13 | 04/03/97 | Revised Securities Act as part of the Revised Statutes of British Columbia, 1996 | in effect |
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 |
97/23 | 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 and Companion Policy 81-104CP Commodity Pools | in effect |
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 Future Oriented Financial Information | in effect |
97/34 | 07/28/97 | Proposed Rescission of Uniform Act Policy No. 2-11; Applications to Omit Certain Financial Information | lapsed 03/31/98 (see NIN#98/17) |
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 |
97/38 | 09/18/97 | Designated Jurisdictions of Issuers Eligible to Participate in the POP System | lapsed 03/04/98 (see NIN#98/15) |
97/39 | 10/14/97 | Registration to Act as an Adviser to the 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 |
97/46 | 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 and Distributions to Persons Outside B.C. | lapsed 08/27/98 (see NIN#98/52) |
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 that Carry on Business in Retail Branches of Financial Institutions | in effect |
97/51 | 12/04/97 | Proposed National Instrument 71-101 and Companion Policy 71-101CP The Multijurisdictional Disclosure System | lapsed 08/13/98 (see NIN#98/50) |
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 | 12/24/97 | Filing Forms 20 Reports By Facsimile | in effect |
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 | lapsed 08/27/98 (see NIN#98/52) |
98/4 | 01/27/98 | The Year 2000 Challenge - Disclosure Issues for Exchange Issuers | in effect |
98/6 | 02/04/98 | Proposed Multi-Jurisdictional Instrument 33-105 and Companion Policy 33-105CP Underwriting Conflicts | in effect |
98/7 | 02/04/98 | Mortgages | lapsed 10/21/98 (see NIN#98/66) |
98/8 | 02/04/98 | Specification of Form 43C as Form of Offering Memorandum for Mortgages and Request for Comment on Draft Form of Information Statement | in effect |
98/9 | 02/11/98 | Proposed National Instrument 33-101 and Proposed Rescission of British Columbia Securities Commission Local Policy Statement 3-33 Administration of Self-Directed RRSPs, RESPs and RRIFs by Dealers | in effect |
98/10 | 02/11/98 | Proposed National Policy 34-201 and Multi-Jurisdictional Policy 34-202 Governing Conduct of Registrants and Rescission of National Policy Statements Nos. 17 and 18 | lapsed 10/14/98 (see NIN#98/64) |
98/11 | 02/19/98 | Proposed National Instrument 44-101 and Companion Policy 44-101CP Prompt Offering Qualification System | in effect |
98/12 | 02/25/98 | Notice of Proposed National Instrument 54-101 Forms 54-101F1, 54-101F2, 54-101F3, 54-101F4, 54-101F5, 54-101F6, 54-101F7 and 54-101F8 and Companion Policy 54-101CP Communication with Beneficial Owners of Securities of a Reporting Issuer | lapsed 07/16/98 (see NIN#98/40) |
98/13 | 02/25/98 | Notice of Proposed National Instrument 54-102 Supplemental Mailing List And Interim Financial Statement Exemption | in effect |
98/14 | 02/26/98 | Notice of Public Forum To Discuss "NETS" and Market Fragmentation | in effect |
98/15 | 03/04/98 | Designated Jurisdictions of Issuers Eligible to Participate in the POP System | in effect |
98/16 | 03/24/98 | Repeal and Replacement of Local Policy Statement 3-22 (Registration Requirements) | lapsed 01/31/99 |
98/17 | 03/31/98 | Rescission of Uniform Act Policy No. 2-11: Applications to Omit Certain Financial Information | lapsed 01/31/99 |
98/18 | 03/31/98 | Rescission of Form 29: Finance Company Questionnaire and Financial Report | lapsed 01/31/99 |
98/19 | 04/23/98 | Adoption of National Instrument 81-105 and Companion Policy 81-105CP Mutual Fund Sales Practices and Revocation of Canadian Securities Administrators Notices | lapsed 01/31/99 |
98/20 | 04/23/98 | Government Strip Bonds - Information Statement, Local Policy Statement 3-43, Blanket Order #91/12 | in effect |
98/21 | 04/30/98 | Rescission of Uniform Act Policy No. 2-10: Insider Trading Reports - Persons Required to Report in More than One Capacity | lapsed 01/31/99 |
98/22 | 05/06/98 | Proposal for a National Escrow Regime Applicable to Initial Public Distributions | in effect |
98/23 | 05/15/98 | Disclosure Obligations and Insider Trading Prohibitions in the Context of Material Facts and Material Changes | in effect |
98/24 | 05/27/98 | Proposed National Instrument 52-102 Use of Currencies | in effect |
98/25 | 05/27/98 | Proposed National Instrument 52-103 Change of Auditor | in effect |
98/26 | 05/27/98 | Proposal for a Statutory Civil Remedy for Investors in the Secondary Market | in effect |
98/27 | 06/11/98 | Venture Capital Pool Offerings Amendments to Local Policy Statement 3-02 | in effect |
98/28 | 06/18/98 | Amendments to the SecuritiesAct | in effect |
98/29 | 06/18/98 | Mutual Reliance Review System Request for Comments on Proposed Memorandum of Understanding | in effect |
98/30 | 06/18/98 | Proposed National Policy 43-201 Mutual Reliance Review System for Prospectuses and Initial AIFs | in effect |
98/31 | 06/18/98 | Proposed National Instrument 31-101 and Companion Policy 31-101CP Mutual Reliance Review System for Registration | in effect |
98/32 | 06/30/98 | Blanket Order #98/5 Mutual Funds and the Purchase and Sale of Mortgages From and To the Account of Responsible Persons and Revocation Order #98/6 | in effect |
98/33 | 06/30/98 | Revised Forms Under the Securities Act | lapsed 01/31/99 (see NIN#99/3) |
98/34 | 06/30/98 | Revised Indices of Policies and Other Instruments under the Securities Act | lapsed 01/31/99 |
98/35 | 06/30/98 | Respecification of Required Forms Under the Securities Act, Securities Regulation and Securities Rules | lapsed 01/31/99 (see NIN#99/3) |
98/36 | 07/02/98 | Proposed National Instrument 43-101 and Companion Policy 43-101CP Standards of Disclosure for Mineral Exploration and Development and Mining Properties | in effect |
98/37 | 07/02/98 | Mutual Reliance Review System for Applications - Extension of Testing | in effect |
98/38 | 07/09/98 | Regulatory Review of Continuous Disclosure Filings | in effect |
98/39 | 07/09/98 | Proposed Rule Amendments to Require Membership in a Self-Regulatory Organization for Mutual Fund Dealers and Securities Dealers | in effect |
98/40 | 07/16/98 | Republication for Comment of Proposed National Instrument 54-101 and Related Documents Communication With Beneficial Owners of Securities of a Reporting Issuer | in effect |
98/41 | 07/22/98 | Selective Review of Prospectus Filings | in effect |
98/42 | 07/22/98 | Regulatory Initiatives Relating to the Year 2000 | in effect |
98/43 | 07/22/98 | Industry Responsibility Regarding the Year 2000 | in effect |
98/44 | 07/22/98 | Revised Forms under the Securities Act | lapsed 01/31/99 (see NIN#99/3) |
98/45 | 07/22/98 | Proposed Rescission of Certain Uniform Act Policies | lapsed 12/16/98 (see NIN#98/70) |
98/46 | 07/30/98 | Materials Required to be Filed under Proposed National Policy 43-201 - Mutual Reliance Review System for Prospectuses and Initial AIFs | in effect |
98/47 | 07/30/98 | Proposed National Instrument 81-101, Companion Policy 81-101CP and Forms 81-101F1 and 81-101F2 Mutual Fund Prospectus Disclosure | in effect |
98/48 | 08/12/98 | Revised Indices of Policies and Other Instruments under the Securities Act | lapsed 01/31/99 (see NIN#99/4) |
98/49 | 08/13/98 | Notice of Amendments to Mortgage Brokers Act | in effect |
98/50 | 08/13/98 | Advance Notice - National Instrument 71-101, Companion Policy 71-101CP, Implementation Rule 71-801 and Form 71-101F1 The Multijurisdictional Disclosure System | lapsed 10/21/98 (see NIN#98/67) |
98/51 | 08/20/98 | Consequential Amendments To the SecuritiesRules Relating to Insider Reports and Take Over Bids Request for Comments | in effect |
98/52 | 08/27/98 | Revised Shorter Hold Period with AIF and New Exemption for Certain Distributions Outside British Columbia | in effect |
98/53 | 09/03/98 | Proposed National Instruments 62-101, 62-102 and 62-103 Early Warning System and Related Matters | in effect |
98/54 | 09/03/98 | Permanent Registration System | in effect |
98/55 | 09/03/98 | International Associates of the Vancouver Stock Exchange | in effect |
98/56 | 09/09/98 | Trading by Registrants under Certain Prospectus and Registration Exemptions | in effect |
98/57 | 09/10/98 | Proposed Rescission of Certain National Policy Statements | in effect |
98/58 | 09/10/98 | Notice of Proposed Amendment to National Instrument 14-101 - Definitions | in effect |
98/59 | 10/01/98 | CSA Year 2000 Summit | lapsed 10/22/98 |
98/60 | 10/01/98 | Proposed National Instrument 44-102, Companion Policy 44-102CP and Rule 44-802 Shelf Distributions | in effect |
98/61 | 10/01/98 | Proposed National Instrument 44-103, Companion Policy 44-103CP and Rule 44-803 Post-Receipt Pricing | in effect |
98/62 | 10/14/98 | Revised Exemption for Certain Distributions outside British Columbia | in effect |
98/63 | 10/14/98 | Advance Notice - National Instrument 33-106 Year 2000 Preparation Reporting | lapsed 10/21/98 (see NIN#98/65) |
98/64 | 10/14/98 | National Policy 34-201 and Multilateral Policy 34-202 Governing Conduct of Registrants and Rescission of National Policy Statements Nos. 17 and 18 | in effect |
98/65 | 10/21/98 | Adoption of National Instrument 33-106 Year 2000 Preparation Reporting | in effect |
98/66 | 10/21/98 | Adoption of Rule Restricting Exemption to Mortgages on Land in British Columbia | in effect |
98/67 | 10/21/98 | Adoption of National Instrument 71-101, Companion Policy 71-101CP Rule 71-801, Rule 71-802 and BOR#98/14 The Multijurisdictional Disclosure System and Revocation of National Policy Statement No. 45 and Certain Blanket Orders | in effect |
98/68 | 11/19/98 | Proposed National Policy 12-201 Mutual Reliance Review System for Exemptive Relief Applications | in effect |
98/69 | 12/03/98 | Calls To Persons At Their Places Of Residence ("Cold Calling") | in effect |
98/70 | 12/16/98 | Rescission of Certain Uniform Act Policies | in effect |
98/71 | 12/29/98 | Proposed National Policy 11-201 Delivery of Documents by Electronic Means | in effect |
98/72 | 12/29/98 | Trading in Securities Using the Internet and Other Electronic Means | in effect |
98/73 | 12/30/98 | New Form of Risk Disclosure Required for Trading in and Advising on Exchange Contracts | in effect |
99/1 | 01/07/99 | CSA Staff Report on the Year 2000 Disclosure Review Program | in effect |
Effective January 31, 1999
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 a 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 | revoked 11/01/98 BOR#98/13 |
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 |
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* |
Note: * The Executive Director intends to revoke BOR#92/3 on or after June 30, 1999 (see NIN#98/73)
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 | revoked 11/01/98 BOR#98/13 |
93/4 | 12/22/93 | Networking arrangements governed by the principles of regulation | in effect |
94/1 | 11/23/94 | Prompt offering qualification system and memorandum of understanding for expedited review of short form prospectuses and renewal AIFs | in effect 11/23/94 (see NIN#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 |
95/20 | 12/21/95 | Transitional relief from recognized resale requirements | in effect |
95/21 | 12/28/95 | Trades in securities of non reporting issuers | in effect |
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 |
96/7 | 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 |
96/20 | 11/21/96 | Continuing Relief Relating to the Application of Section 30 of the Act to Trust Companies | in effect |
97/1 | 02/03/96 | 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 for 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 | revoked 10/01/98 BOR#98/7 |
97/13 | 12/23/97 | Filing Forms 20 Reports By Facsimile | in effect |
98/1 | 03/12/98 | The Hold Period For Securities Issued By An Exchange Issuer Under Section 74(2)(18) Of The Securities Act | in effect |
98/3 | 03/24/98 | Exchange Contracts Dealers Trading in Commodity Pool Securities | in effect |
98/4 | 03/31/98 | Continuous Disclosure Requirements for Finance Issuers | in effect |
98/5 | 06/30/98 | Mutual Funds and the Purchase and Sale of Mortgages From and To the Account of Responsible Persons | in effect |
98/6 | 06/30/98 | Revocation of BOR#96/5 | lapsed 07/01/98 |
98/7 | 08/27/98 | The System for Shorter Hold Period With An Annual Information Form | in effect |
98/8 | 08/27/98 | A Distribution of Securities Outside British Columbia | revoked 10/14/98 BOR#98/12 |
98/9 | 08/31/98 | Underwriting Activities of International Associates | in effect |
98/10 | 09/09/98 | Testing of the Mutual Reliance Review System For Prospectuses Under National Policy 43-201 | in effect |
98/11 | 10/14/98 | A Distribution of Securities Outside British Columbia | in effect |
98/12 | 10/14/98 | Revocation of BOR#98/8 | lapsed 10/15/98 |
98/13 | 10/21/98 | Revocation of BOR#91/7 and BOR#93/3 | lapsed 10/22/98 |
98/14 | 10/21/98 | The Multijurisdictional Disclosure System | in effect |
Effective January 31, 1999
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 the TCO Gold Option | in effect |
CCA BOR#91/2 (BOR#91/8) | 08/01/91 | Registration of Persons Trading in TCO Commodity Options | in effect |
INDEX OF LOCAL POLICY STATEMENTS
Effective January 31, 1999
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 |
3-02 | 12/21/90 | Prospectus filing requirements | in effect 02/04/91; amended effective 01/01/96 (see BOR#95/10); further amended 07/02/98 (see NIN#98/27) |
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 (see NIN#98/22, NIN#98/27) |
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, NIN#98/27) |
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 | 1/06/95 (interim) | Registrant due diligence | in effect (see NIN#98/27) |
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#98/27) |
3-22 | 03/24/98 | Registration requirements | in effect 04/15/98 |
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 | ![]() | Rescinded | replaced by amendment to LPS 3-02 (see BOR#95/8) |
3-27 | 10/27/98 | System for Shorter Hold Periods with an Annual Information Form and Exemption for Certain Distributions of Securities Outside British Columbia | in effect 10/01/98 (see NIN#98/52) |
3-28 | ![]() | Reserved | ![]() |
3-29 | ![]() | Reserved | ![]() |
3-30 | ![]() | Rescinded | ![]() |
3-31 | 02/01/87 | Incentive options to directors and employees - unlisted issuers | in effect (see NIN#98/27) |
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 | ![]() | 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 | ![]() | Rescinded | replaced by LPS 3-22 |
3-43 | 12/12/91 (interim) | Government Strip Bonds | in effect (see NIN#98/20) |
3-44 | 12/21/95 | Recognition of self regulatory body, exchanges and jurisdictions | in effect 01/01/96; amended 12/01/97 |
3-45 | 04/06/89 (draft) | Designation as a reporting issuer and business investor offerings | in effect 04/07/89 (see NIN#89/17) |
INDEX OF DOCUMENTS UNDER NATIONAL NUMBERING SYSTEM
(NATIONAL INSTRUMENTS, POLICIES, FORMS, CSA NOTICES,
CSA REQUESTS FOR COMMENT AND IMPLEMENTING RULES)1
1 See NIN#96/23 for a discussion of the National Numbering System.
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 (see also NIN#98/71 and draft NP 11-201) |
12-401 (CSA RC) | 01/23/98 | National Application System Concept Proposal - Request for Comments | in effect (see also NIN#98/68 and draft NP 12-201) |
NI 13-101 | 12/17/96 | System for Electronic Document Analysis and Retrieval (SEDAR) SEDAR Filer Manual | in effect 01/01/97 |
13-301 (CSA Staff N) | 05/15/98 | SEDAR - Use of Incorrect Document Formats | in effect |
13-302 (CSA Staff N) | 10/02/98 | Notice of Changes to SEDAR Filer Software | in effect |
13-303 (CSA Staff N) | 12/11/98 | SEDAR Operational Changes | in effect |
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 |
NI 33-106 | 10/21/98 | Year 2000 Preparation Reporting | in effect 10/19/98 |
NP 34-201 | 10/14/98 | Breach of Requirements of Other Jurisdictions | in effect 10/16/98 |
MLP 34-202 | 10/14/98 | Registrants Acting as Corporate Directors | in effect 10/16/98 |
41-301 (CSA Staff N) | 01/30/98 | The Year 2000 Disclosure Issues | in effect |
51-301 (CSA Staff N) | 10/10/97 | Conversion of Corporate Issuers to Trusts | in effect |
51-302 (CSA Staff N) | 01/30/98 | The Year 2000 Disclosure Issues | 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 |
NI 71-101 | 10/19/98 | The Multijurisdictional Disclosure System | in effect 11/01/98 |
CP 71-101 | 10/19/98 | The Multijurisdictional Disclosure System | in effect 11/01/98 |
IR 71-801 | 10/19/98 | Implementing the Multijurisdictional Disclosure System under National Instrument 71-101 | in effect 11/01/98 |
IR 71-802 | 10/19/98 | Distributions Outside of British Columbia Under the United States Multijurisdictional Disclosure System | in effect 11/01/98 |
71-101F1 | 10/19/98 | Forms of Submission to Jurisdiction and Appointment of Agent for Service of Process | in effect 11/01/98 |
NI 81-105 | 04/17/98 | Mutual Fund Sales Practices | in effect 05/01/98 |
81-105CP | 04/23/98 | Mutual Fund Sales Practices | in effect 05/01/98 |
81-301 (CSA N) | 01/31/97 | Mutual Fund Prospectus Disclosure System Concept Proposal - Request for Comment | in effect (see also NIN#98/47 and Draft NI 81-101) |
Legend
CP - Companion Policy CSA - Canadian Securities Administrators F - Form IR - Implementing Rule MLI - Multilateral Instrument | MLP - Multilateral Policy N - Notice NI - National Instrument NP - National Policy RC - Request for Comment |