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Securities Law

NIN 99/26 - Revised Indices of Policies and Other Instruments under the Securities Act [NIN - Rescinded]

Published Date: 1999-07-02
Effective Date: 1999-06-30
Effective June 30, 1999, the Commission rescinded the indices dated effective January 31, 1999 (NIN#99/4) of:
  • 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#99/25.

The indices list only the instruments that are in effect and that have been lapsed, rescinded or revoked since January 31, 1999. The lapsing of a particular Notice does not imply that any material introduced or referred to in the Notice is no longer in effect.

Effective January 1, 1996, the Commodity Contract Act, R.S.B.C. 1979, c. 56 ("CCA"), was repealed.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 June 30, 1999.

Douglas M. Hyndman
Chair

Ref: NIN#96/13
NIN#99/4
NIN#99/25

 
SECURITIES ACT
INDEX OF NOTICES AND INTERPRETATION NOTES
Effective June 30, 1999
NIN #Date of
NIN
(mm/dd/yy)		DescriptionStatus
(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

89/13
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

95/12
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

96/26
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
lapsed 03/18/99

(see NIN#99/9)


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

97/35
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

97/39
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

97/48
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

97/52
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

98/4
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

98/8
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

98/11
02/19/98
Proposed National Instrument 44-101 and Companion Policy 44-101CP Prompt Offering Qualification System
in effect

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

98/20
04/23/98
Government Strip Bonds - Information Statement, Local Policy Statement 3-43, Blanket Order #91/12
in effect

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

98/36
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

98/46
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
lapsed 04/28/99

(see NIN#99/15)


98/49
08/13/98
Notice of Amendments to Mortgage Brokers Act
in effect

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
lapsed 03/25/99

(see NIN#99/10)


98/58
09/10/98
Notice of Proposed Amendment to National Instrument 14-101 - Definitions
lapsed 03/25/99

(see NIN#99/11)


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

98/64
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
revoked 06/30/99 (see BOR#99/4)

99/1
01/07/99
CSA Staff Report on the Year 2000 Disclosure Review Program
in effect

99/2
02/11/99
Amendments to Form 14
lapsed 06/30/99 (see NIN#99/25)

99/3
02/11/99
Respecification of Required Forms under the Securities Act, Securities Regulation and Securities Rules
lapsed 06/30/99 (see NIN#99/25)

99/4
02/11/99
Revised Indices of Policies and Other Instruments under the Securities Act
lapsed 06/30/99 (see NIN#99/25)

99/5
02/25/99
Proposed Amendments to National Instrument 13-101 "System for Electronic Document Analysis and Retrieval" ("SEDAR") and the SEDAR Filer Manual
in effect

99/6
02/25/99
Publication by Other CSA members of Lists of Non-Complying Registered Firms under National Instrument 33-106
in effect

99/7
03/01/99
Permission to Make Written Listing Representations
in effect

99/8
03/04/99
Concept Paper on A Framework for Market Regulation in Canada
in effect

99/9
03/18/99
Republication for Comment of Proposed National Instrument 81-102 and Companion Policy 81-102CP
in effect

99/10
03/25/99
Rescission of Certain National Policy Statements
in effect

99/11
03/25/99
Advance Notice Amendment to National Instrument 14-101 Definitions
lapsed 06/24/99 (see NIN#99/23)

99/12
04/14/99
Non-Compliant Registered Firms under National Instrument 33-106
in effect

99/13
04/22/99
Updated List of Non-Compliant Registered Firms under National Instrument 33-106
in effect

99/14
04/28/99
Short Form Offerings for Qualifying Issuers
in effect

99/15
04/28/99
Republication for Comment of Proposed National Instrument 81-101, Form 81-101F1, Form 81-101F2 and Companion Policy 81-101CP Mutual Fund Prospectus Disclosure
in effect

99/16
05/05/99
Report on Comparison of Segregated Funds and Mutual Funds
in effect

99/17
06/02/99
Securities Amendment Act, 1999
in effect

99/18
06/02/99
Revamping the Exempt Market - Proposals of Staff of the Ontario Securities Commission
in effect

99/19
06/24/99
Rescission of Local Policy Statements 3-01, 3-03, 3-21, 3-25, 3-31 and 3-41
in effect

99/20
06/24/99
Streamlining Initiative to Reduce Regulatory Burdens - Request for Input
in effect

99/21
06/24/99
Short Form Offerings of Listed Securities and Units by Qualifying Issuers
in effect

99/22
06/24/99
Revised Local Policy Statement 3-12 (Rules for Proceedings)
in effect

99/23
06/24/99
Adoption of Amendment to National Instrument 14-101 - Definitions
in effect

99/24
06/30/99
Proposed National Instrument 21-101, Forms 21-101F1, 21-101F2, 21-101F3 and 21-101F4, Companion Policy 21-101CP, National Instrument 23-101, Companion Policy 23-101CP and Discussion Paper Entitled "Consolidation Plan for a Consolidated Canadian Market" Marketplace Operation and Trading Rules
in effect

99/25
06/30/99
Respecification of Required Forms under the Securities Act, Securities Regulation and Securities Rules
in effect

99/26
06/30/99
Revised Indices of Policies and Other Instruments under the Securities Act
in effect

 
SECURITIES ACT
INDEX OF BLANKET ORDERS AND RULINGS

Effective June 30, 1999

BOR#Date of
BOR
(mm/dd/yy)		DescriptionStatus
(mm/dd/yy)
88/208/12/88The definition of "exchange issuer"in effect 09/01/88
88/308/12/88Transitional rules respecting securities traded prior to September 1, 1988 under a exemption from section 42 of the Securities Actin effect 09/01/88
88/1111/28/88Conflict of interest rules statement and confirmation and reporting of transactions by registrantsin effect
89/1
(CCA BOR# 89/6)		01/26/89Registration of persons trading in IOCC optionsin effect
89/810/13/89Reporting companies under the British Columbia Company Act and the definition of "reporting issuer"in effect 11/01/89
89/1010/31/89Required form of offering memorandumin effect 11/01/89
90/101/29/90Trades of government warrantsin effect
90/202/27/90Trades in shares issued in accordance with the Employee Investment Actin effect
90/410/11/90Trades in deposit-type or self-directed registered educational savings plansin effect
91/205/03/91Rules for shelf prospectus offerings and for pricing offerings after the prospectus is receiptedin effect 05/10/91
91/506/06/91Resale of rights acquired under a rights offeringin effect 07/01/91
91/606/06/91Recognition of certain countries and political divisions of countries issuing bonds, debentures or other evidence of indebtedness in effect 07/01/91
91/8
(CCA
BOR#
91/2)		08/01/91Registration of persons trading in TCO commodity options in effect 05/17/91
91/1008/08/91First renewal prospectuses filed by mutual funds under National Policy Statement No. 36in effect
91/1212/12/91Government strip bondsin effect
92/104/23/92Fees payable by members of the press for a subscription to the Weekly Summary and for search of a file in effect
92/208/06/92Limitations on a registrant underwriting securities of a related party or connected party of the registrantin effect
92/311/18/92Revocation of BOR#91/11 and recognized options traded through recognized clearing agencies (recognized options rationalization order)revoked 06/30/99 (BOR#99/4)
93/102/17/93Prompt offering qualification systemin effect
02/19/93 (see NIN#93/12)
93/412/22/93Networking arrangements governed by the principles of regulation in effect
94/111/23/94Prompt 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)
95/510/26/95Filing insider reports by facsimilein effect 11/01/95
95/612/7/95Continuing relief from certain registration requirementsin effect 01/01/96
95/812/15/95Transitional reliefin effect 01/01/96
95/912/14/95Continuing relief for financial statements of certain foreign issuersin effect 01/01/96
95/1012/21/95The summary prospectus disclosure systemin effect 01/01/96 (see LPS 3-02)
95/1512/21/95Acting as an adviser with respect to certain securitiesin effect 01/01/96
95/1612/21/95Trades of negotiable promissory notes or commercial paper to individualsin effect 01/01/96
95/1712/21/95Legending of certificatesin effect 01/01/96
95/2012/21/95Transitional relief from recognized resale requirementsin effect
95/2112/28/95Trades in securities of non reporting issuersin effect
95/2212/28/95Transitional relief from recognized resale requirements relating to securities of issuers that filed an application for listing with the Vancouver Stock Exchangein effect 01/01/96
96/101/11/96Trades by control persons of securities acquired under section 55(2)(8) of the Actin effect 01/01/96
96/303/14/96The requirement to send interim financial statements and quarterly reports to security holders of a reporting issuerin effect
96/703/27/96Trades in securities acquired under section 117 of the Securities Regulation, B.C. 270/86in effect
96/803/27/96Number of purchasers under sections 89(a) and (g) and 128(a) and (h) of the Securities Rules, B.C. 479/95in effect
96/1005/02/96Further relief respecting audit committee review and board of directors approval of interim financial statementsin effect
04/30/96
96/1508/29/96Trades in Options to Consultantsin effect
96/1609/26/96Further continuing relief for financial statements of certain issuers and the prompt offering qualification systemin effect
96/1710/10/96Mutual funds and the purchases and sales of certain debt securities from and to the account of responsible personsin effect
96/2011/21/96Continuing Relief Relating to the Application of Section 30 of the Act to Trust Companiesin effect
97/102/03/96Real Estate Securitiesin effect
97/302/03/97Resale Relief for Eligible Real Estate Securitiesin effect
97/403/04/97Trust Companies, Insurers and Portfolio Managers in Other Provinces and Territories of Canada and Foreign Portfolio Managersin effect
97/606/25/97Further Continuing Relief for Financial Statements of Certain Foreign Issuersin effect
97/706/25/97Take Over Bids and Going Private Transactionsin effect
97/911/20/97Relief Respecting the Requirement to Send Financial Statements and Quarterly Reports to Securityholders During a Disruption in Mail Servicein effect
97/1011/20/97Further Transitional Relief Relating to Transactions Between a Mutual Fund and Non-Participating Affiliates of Its Responsible Personsin effect
97/1111/27/97Eurobond Offeringsin effect 12/01/97
97/1312/23/97Filing Forms 20 Reports by Facsimilein effect
98/103/12/98The Hold Period For Securities Issued by an Exchange Issuer under Section 74(2)(18) of the Securities Actin effect
98/303/24/98Exchange Contracts Dealers Trading in Commodity Pool Securitiesin effect
98/403/31/98Continuous Disclosure Requirements for Finance Issuersin effect
98/506/30/98Mutual Funds and the Purchase and Sale of Mortgages from and to the Account of Responsible Personsin effect
98/708/27/98The System for Shorter Hold Period with an Annual Information Formin effect
98/908/31/98Underwriting Activities of International Associatesin effect
98/1009/09/98Testing of the Mutual Reliance Review System for Prospectuses under National Policy 43-201in effect
98/1110/14/98A Distribution of Securities outside British Columbiain effect
98/1410/21/98The Multijurisdictional Disclosure Systemin effect
99/104/28/99Short Form Offerings by Qualifying IssuersRevoked 06/24/99 (B0R#99/3)
99/206/24/99Short Form Offerings of Listed Securities and Units by Qualifying Issuersin effect
99/306/24/99Revocation of BOR#99/1in effect
99/406/30/99Revocation of BOR#92/3in effect

 
INDEX OF BLANKET ORDERS AND RULINGS ISSUED UNDER THECOMMODITY CONTRACT ACT

Effective June 30, 1999
 
CCA
BOR #		Date of BOR
(mm/dd/yy)		DescriptionStatus
(mm/dd/yy)
CCA BOR#89/101/26/89Recognition of the Vancouver Stock Exchange as a Commodity Exchange in the Province of British Columbia (see also LPS 3-44)in effect
CCA BOR#89/301/26/89Recognition of Self Regulatory Bodies (see also LPS 3-44)in effect
CCA BOR#89/401/26/89Segregation of Funds by Commodity Contracts Dealersin effect
CCA BOR#89/501/26/89Acceptance of IOCC Optionsin effect
CCA BOR#89/6 (BOR#89/1)01/26/89Registration of Persons Trading in IOCC Optionsin effect
CCA BOR#89/711/09/89Recognition of Commodity Exchanges Situated Outside the Province of British Columbiain effect
CCA BOR#91/108/01/91Acceptance of the TCO Gold Optionin effect
CCA BOR#91/2 (BOR#91/8)08/01/91Registration of Persons Trading in TCO Commodity Optionsin effect

 
SECURITIES ACT

INDEX OF LOCAL POLICY STATEMENTS

Effective June 30, 1999

Policy #Date of Policy
(mm/dd/yy)		DescriptionStatus
(mm/dd/yy)
3-0102/01/87Factors 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 subscriptionrescinded 06/24/99 (see NIN#99/19)
3-0212/21/90Prospectus filing requirementsin effect 02/04/91; amended effective 01/01/96 (see BOR#95/10); further amended 07/02/98 (see NIN#98/27)
3-0302/01/87Requirements re filing of preliminary prospectuses and prospectuses (national issues)rescinded 06/24/99 (see NIN#99/19)
3-04Rescindedreplaced by
LPS 3-17
3-0502/01/87Rights offerings to shareholdersin effect
3-0602/01/87Prospectus guidelines for the mortgage investment issuerin effect
3-0712/21/89Policy guidelines respecting trading shares, performance shares and other considerationin effect 03/01/90 (see NIN#98/22, NIN#98/27)
3-08Rescindedreplaced by LPS 3-07
3-09Rescindedreplaced by LPS 3-07
3-10Rescindedreplaced by LPS 3-07
3-11Rescinded
3-12
(Revised)		06/24/99Rules for Proceedingsin effect (see NIN#99/22)
3-1302/01/87Policy guidelines for a venture capital issuer planning to make a distributionin effect (see NIN#88/7, NIN#98/27)
3-1409/09/93Application for insider reporting exemptionsin effect 09/09/93
3-1507/07/89Exempt purchaser statusin effect 07/15/89
3-1608/14/90Registration for securities and insurancein effect
3-171/06/95
(interim)		Registrant due diligencein effect (see NIN#98/27)
3-18Reserved
3-1902/01/87Vancouver Stock Exchange listingsin effect
3-20Reserved
3-2102/01/87Share and unit offerings of unlisted issuers and options and warrants available to registrants participating in such offeringsrescinded 06/24/99 (see NIN#99/19)
3-2203/24/98Registration requirements in effect 04/15/98
3-23Reserved
3-2412/21/95
(interim)		Statutory and discretionary exemptionsin effect 01/01/96
3-2502/01/87Re: Natural resource issuer - "best efforts" prospectus and amendments to prospectus arising from market conditions rescinded 06/24/99 (see NIN#99/19)
3-26Rescindedreplaced by amendment to LPS 3-02 (see BOR#95/8)
3-2710/27/98System for Shorter Hold Periods with an Annual Information Form and Exemption for Certain Distributions of Securities Outside British Columbiain effect 10/01/98 (see NIN#98/52)
3-28Reserved
3-29Reserved
3-30Rescinded
3-3102/01/87Incentive options to directors and employees - unlisted issuersrescinded 06/24/99 (see NIN#99/19)
3-32Reserved
3-3302/01/87R.R.S.P.'s administered by brokers on behalf of authorized trusteesin effect
3-3402/01/87Application for non-reporting statusin effect
3-3510/13/89Reactivation of dormant issuers in effect 11/01/89
3-36Reserved
3-3702/01/87Restricted shares (uncommon equities) distributions and disclosurein effect
3-38Rescindedreplaced by LPS 3-22
3-3902/01/87Guidelines for advertising issues of securities and for promotional activities during the course of a distributionin effect
3-40Rescindedreplaced by NP 47 and BOR#93/1
3-4102/01/87Lawyer's conflict of interestrescinded 06/24/99 (see NIN#99/19)
3-42Rescindedreplaced by LPS 3-22
3-4312/12/91
(interim)		Government Strip Bondsin effect (see NIN#98/20)
3-4412/21/95Recognition of self regulatory body, exchanges and jurisdictionsin effect 01/01/96;
amended 12/01/97
3-4504/06/89
(draft)		Designation as a reporting issuer and business investor offeringsin effect
04/07/89 (see NIN#89/17)

 
SECURITIES ACT

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.

Effective June 30, 1999

NumberDate
(mm/dd/yy)		DescriptionStatus
(mm/dd/yy)
11-401
(CSA RC)		06/13/97Delivery of Documents by Issuers Using Electronic Media Concept Proposal - Request for Commentin effect
(see also NIN#98/71 and draft NP 11-201)
12-401
(CSA RC)		01/23/98National Application System Concept Proposal - Request for Commentsin effect
(see also NIN#98/68 and draft NP 12-201)
NI 13-10112/17/96System for Electronic Document Analysis and Retrieval (SEDAR)

SEDAR Filer Manual		in effect
01/01/97
13-301
(CSA N)		05/15/98SEDAR - Use of Incorrect Document Formatsin effect
13-302
(CSA Staff N)		10/02/98Notice of Changes to SEDAR Filer Softwarein effect
13-303
(CSA Staff N)		12/11/98SEDAR Operational Changesin effect
13-304
(CSA Staff N)		02/05/99Changes to SEDAR Filing Service Chargesin effect
03/01/99
NI 14-10102/26/97Definitionsin effect
04/01/97
31-301
(CSA N)		11/21/97The Year 2000 Challengein effect
31-302
(CSA Staff N)		02/19/99Securities Industry Contingency Planningin effect
31-303
(CSA Staff N)		05/07/99System Changes for Market Participants after Completion of Year 2000 Testingin effect
NI 32-10110/30/97Small Securityholder Selling and Purchase Arrangementsin effect
12/01/97
NI 33-10610/21/98Year 2000 Preparation Reportingin effect
10/19/98
33-301
(CSA Staff N)		02/12/99National Instrument 33-106 Year 2000 Preparation Reportingin effect
33-302
(CSA Staff N)		04/16/99National Instrument 33-106 Non-Compliant Registered Firms and Possible Terms and Conditionsin effect
33-303
(CSA Staff N)		05/14/99Trust Accounts for Mutual Fund Securitiesin effect
NP 34-20110/14/98Breach of Requirements of Other Jurisdictionsin effect
10/16/98
MLP 34-20210/14/98Registrants Acting as Corporate Directorsin effect
10/16/98
41-301
(CSA Staff N)		01/30/98The Year 2000 Disclosure Issuesin effect
51-301
(CSA Staff N)		10/10/97Conversion of Corporate Issuers to Trustsin effect
51-302
(CSA Staff N)		01/30/98The Year 2000 Disclosure Issuesin effect
51-303
(CSA Staff N)		02/19/99CSA Follow-up of Inadequate Year 2000 Disclosurein effect
53-301
(CSA N)		09/12/97The TSE Toronto Stock Exchange Committee on Corporate Disclosure - Final Report; CSA Task Force on Civil Remediesin effect
55-301
(CSA N)		01/24/97Filing Insider Reports by Facsimile and Exemption where Minimal Connection to Jurisdictionin effect
NP 62-20106/30/97Bids Made Only in Certain Jurisdictionsin effect
08/04/97
NP 62-20206/30/97Take-Over Bids - Defensive Tacticsin effect
08/04/97
NI 71-10110/19/98The Multijurisdictional Disclosure Systemin effect
11/01/98
CP 71-10110/19/98The Multijurisdictional Disclosure Systemin effect
11/01/98
IR 71-80110/19/98Implementing the Multijurisdictional Disclosure System under National Instrument 71-101in effect
11/01/98
IR 71-80210/19/98Distributions Outside of British Columbia Under the United States Multijurisdictional Disclosure System in effect
11/01/98
71-101F110/19/98Forms of Submission to Jurisdiction and Appointment of Agent for Service of Processin effect
11/01/98
NI 81-10504/17/98Mutual Fund Sales Practicesin effect
05/01/98
81-105CP04/23/98Mutual Fund Sales Practicesin effect
05/01/98
81-301
(CSA N) (RC)		01/31/97Mutual Fund Prospectus Disclosure System Concept Proposal - Request for Commentin effect
(see also NIN#99/15 and Draft NI 81-101)
81-303
(CSA Staff N)		04/30/99Year 2000 Disclosure for Mutual Fundsin effect
81-304
(CSA Staff N)		05/14/99Trust Account for Mutual Fund Securitiesin effect


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