Securities Law

33-511 - Exemptions to extend certain NRD submission dates [BCI - Rescinded]

Published Date: 2003-11-17
Effective Date: 2003-11-14
Rescinded Date: 2007-03-01

British Columbia Securities Commission

 

BC Instrument 33-511

 

The Executive Director, having considered it to be in the public interest, orders that effective immediately the attached BC Instrument 33-511 entitled “Exemptions to extend certain NRD submission dates” is made.

 

 

November 14, 2003

 

 

 

 

L.E. Evans, C.A.

Director, Capital Markets Regulation

 

 

 

________________________________________________________________               

(This part is for administrative purposes only and is not part of the Order)

 

Authority under which Order is made:

Section 171 of the Securities Act

Part 6 of Multilateral Instrument 31-102 National Registration Database

Part 7 of Multilateral Instrument 33-109 Registration Information


BC Instrument 33-511

 

Exemptions to extend certain NRD submission dates

 

Order under and section 171 of the Securities Act

section 6.1 of Multilateral Instrument 31-102 National Registration Database (MI 31-102) and section 7.1 of Multilateral Instrument 33-109 Registration Information (MI 33-109)

 

 

1.     BC Instrument 33-510 Exemptions to further extend certain NRD submission dates is revoked.

 

2.     A transition firm is exempt from the requirements in sections 7.4 of MI 31-102 to submit a completed Form 33-109F3 in NRD format within 30 business days of the NRD access date, if it submits the completed Form 33-109F3 in NRD format by March 31, 2006.

 

3.     A transition firm is exempt from the requirements in sections 7.6 of MI 31-102 to submit a completed Form 33-109F4 in NRD format within 30 business days of the NRD access date, if it submits the completed Form 33-109F4 in NRD format by December 15, 2003.

 

4.     An individual is exempt from the requirement in section 7.9(1)(a) of MI 31-102 to submit a completed Form 33-109F4 in NRD format within 30 business days of the NRD access date, if the individual submits the completed Form 33-109F4 in NRD format by March 31, 2006.

 

5.    if a completed Form 33-109F5 is submitted by a registered individual under section 8.5 of MI 33-109 to notify the regulator about changes to the information found in a previously filed Form 4, the individual is exempt from the requirement to submit a completed Form 33-109F4 under section 7.7 of MI 31-102 and section 8.5 of MI 33-109 provided that the change does not relate to information to be reported under items 1 Name, 2 Residential address where the change is from a residential address in British Columbia to a residential address outside of British Columbia, 14 Criminal Disclosure, 15 Civil Disclosure, and 16 Financial Disclosure of Form 33-109F4.

 

6.    if a completed Form 33-109F5 is submitted on behalf of a non-registered individual under section 8.7 of MI 33-109 to notify the regulator about changes to the information found in a previously filed Form 4, the non-registered individual’s firm is exempt from the requirement to submit a completed Form 33-109F4 under section 7.8 of MI 31-102 and section 8.7 of MI 33-109 provided that the change does not relate to information to be reported under items 1 Name, 2 Residential address where the change is from a residential address in British Columbia to a residential address outside of British Columbia, 14 Criminal Disclosure, 15 Civil Disclosure, and 16 Financial Disclosure of Form 33-109F4.

 

7.    if a registered individual’s location of employment changes, the individual is exempt from the requirement to submit a completed Form 33-109F5 under section 8.5 of MI 33-109 and from the requirement to submit a completed Form 33-109F4 under section 7.7 of MI 31-102 and section 8.5 of MI 33-109 provided that the individual makes a change of location of employment submission in NRD within five business days of the change.

 

8.    if a non-registered individual’s location of employment changes, the individual’s firm is exempt from the requirement to submit a completed Form 33-109F5 under section 8.7 of MI 33-109 and from the requirement to submit a completed Form 33-109F4 under section 7.8 of MI 31-102 and section 8.7 of MI 33-109 provided that the individual’s firm makes a change of location of employment submission in NRD within five business days of the change.