Securities Law

31-904F2 - Application for Bulk Renewal of Registration (Firms & Individuals) [F - Rescinded]

Published Date: 2001-09-05
Effective Date: 2001-09-05
Rescinded Date: 2002-09-05

This form is for informational purposes only. Registration renewal forms are sent to registrants by the commission at renewal time.

This is a form required under section 34(2) of the Securities Act.

BC Form 31-904F2

Application for Bulk Renewal of Registration (Firms & Individuals)

Firm

Your firm’s registration expires _____________________ . Please refer to the attached "Notice to Firm Registrants" that lists the information the firm must file with this renewal form. In addition, if the answer to any of the following questions is YES, please confirm with a check mark in the appropriate box:

Since the date of its last application for registration or for renewal or reinstatement of registration or for an amendment to registration, has the firm:

(a) been subject to proceedings in bankruptcy?

 

(b) had a judgement of a court rendered against it in any civil court in British Columbia or elsewhere, for any reason whatsoever, which is unsatisfied?

 

(c) been subject to any legal proceedings which are now pending?

 

(d) changed any other registration information from that previously submitted?

 

Please attach a schedule with details of any positive responses.

Individuals

The attached list is our record of all individuals registered to trade in or advise on securities or exchange contracts on behalf of the firm, whose registration will expire on _________________________ .

Please review the list and, if there is an individual who is no longer with the firm, please cross out that individual’s name on the list and initial each amendment.

Please remind your registered individuals that they have an obligation to notify us of any change in the registration information they previously submitted. In particular, please ask each of them the following questions:

Since the date of your last registration, renewal or reinstatement application:

(a) have you pleaded guilty or been found guilty under any law of any province, state or country, except minor traffic violations?

(b) have you been charged or indicted under the law of any province, state or country?

(c) have you personally, or has any business of which you are or were an officer, director or partner, been subject to bankruptcy proceedings?

(d) have any legal proceedings been initiated against you or against any business of which you are an officer, director or partner?

(e) has any judgment, which is unsatisfied, been rendered against you personally or against any business of which you were at the time an officer, director or partner, in any civil court in British Columbia, or elsewhere, for any reason whatsoever?

(f) have you changed any other registration information from that previously submitted?

Please confirm below that you have asked your registered individuals to update their responses to the above questions. Please attach a schedule with details of any positive responses.

Filing Requirements

Once you have reconciled the enclosed list with your records and confirmed any positive responses to the above questions, please return by ___________________________ :

  • this Form,
  • the updated list of registered individuals,
  • the schedules of positive responses, and
  • your single cheque for the full amount of all renewal fees (including $50 for each branch office with more than three registered individuals).

Reminder: Securities legislation requires registered firms and individuals to file notices of changes in other registration information previously filed within five business days of the change.

Renewal certificates will not be sent out. However, our registration database atwww.bcsc.bc.ca will show all renewals that have been granted within 24 hours of the renewal.

I, ___________________________________, confirm that I have asked our registered individuals

Name, Title

to update (a) their previously filed responses to the above questions, and (b) their previously filed responses to other registration questions, and that details of any changes to their previous responses (if applicable) are attached.

Freedom of Information and Protection of Privacy Act

The personal information requested on this form is collected under the authority of and used for the purpose of administering the Securities Act. Questions about the collection of or use of this information can be directed to the Registration Supervisor, Registration and Market Regulation Branch, Capital Markets Regulation Division, British Columbia Securities Commission, PO Box 10142, Pacific Centre, 701 West Georgia Street, Vancouver BC V7Y 1L2. Telephone (604) 899-6692. Toll Free within British Columbia 1-800-373-6393.