Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 33, Issue 38
-- September 24, 2010 --


Table of Contents


Chapter 1 Notices / News Releases 8461
1.1 Notices 8461
1.1.1 Current Proceedings Before The Ontario Securities Commission 8461
1.1.2 CSA Staff Notice 41-305 – Share Structure Issues – Initial Public Offerings 8469
1.1.3 OSC Staff Notice 11-737 (Revised) – Securities Advisory Committee – Vacancies 8472
1.2 Notices of Hearing 8474
1.2.1 Albert Leslie James et al. – ss. 127(1), 127.1 8474
1.2.2 Abel Da Silva 8475
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 8481
1.4.1 Locate Technologies Inc. et al. 8481
1.4.2 Albert Leslie James et al. 8481
1.4.3 Albert Leslie James et al. 8482
1.4.4 Abel Da Silva 8482
1.4.5 Agoracom Investor Relations Corp. et al. 8483
Chapter 2 Decisions, Orders and Rulings 8485
2.1 Decisions 8485
2.1.1 Zongshen PEM Power Systems Inc. 8485
2.1.2 BNS Split Corp. II 8488
2.1.3 BNS Split Corp. II and Scotia Capital Inc. 8490
2.1.4 Stratic Energy Corporation and EnQuest PLC 8493
2.1.5 Brett Resources Inc. – s. 1(10) 8497
2.1.6 Gerdau Ameristeel Corporation – s. 1(10) 8498
2.1.7 National Bank Securities Inc. 8499
2.2 Orders 8502
2.2.1 Locate Technologies Inc. et al. – s. 127 8502
2.2.2 Albert Leslie James et al. 8503
2.2.3 Dragon Pharmaceutical, Inc. – s. 1(10)(b) 8509
2.2.4 Agoracom Investor Relations Corp. et al. 8510
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 8511
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8511
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8511
4.2.2 Outstanding Management & Insider Cease Trading Orders 8511
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8513
Chapter 8 Notice of Exempt Financings 8587
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 8587
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8591
Chapter 12 Registrations 8597
12.1.1 Registrants 8597
Chapter 13 SROs, Marketplaces, and Clearing Agencies 8601
13.1 SROs (nil)
13.2 Marketplaces 8601
13.2.1 CNSX Notice 2010-005 – Notice and Request for Comments – Amendments to CNSX Rules 1, 3, 4, and 11 including the epeal of Rules 4-107 – Entry of Orders or Market Maker Securities and 4-108 – Fair Prices, and the addition of Rule 12 8601
13.3 Clearing Agencies (nil)
Chapter 25 Other Information 8625
25.1 Exemptions 8625
25.1.1 Sprott Physical Gold Trust 8625
Index 8627