Securities Law & Instruments

OSC Bulletin Volume 37, Issue 43 (October 23, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9529
1.1 Notices 9529
1.1.1 OSC Staff Notice 11-737 (Revised) – Securities Advisory Committee –Vacancies 9529
1.2 Notices of Hearing (nil)
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 9531
1.4.1 MountainStar Gold Inc 9531
1.4.2 Quadrexx Hedge Capital Management Ltd. et al 9531
Chapter 2 Decisions, Orders and Rulings 9533
2.1 Decisions 9533
2.1.1 Granite Real Estate Inc.– s. 1(10)(a)(ii) 9533
2.1.2 Pattern Energy Group Inc. 9534
2.1.3 Granite Real Estate Inc.– s. 1(10)(a)(ii) 9536
2.1.4 FortisBC Holdings Inc.– s. 1(10)(a)(ii) 9537
2.1.5 Pimco Canada Corp 9538
2.2 Orders 9537
2.2.1 Nodal Exchange, LLC – s. 147 of the Act and ss. 38 and 80 of the CFA 9547
2.2.2 MountainStar Gold Inc. – s. 127(1) 9559
2.2.3 Quadrexx Hedge Capital Management Ltd. et al. – Rule 6.7 of the OSC Rules of Procedure 9560
2.2.4 Tantalex Resources Corporation – s. 144 9561
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 9577
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9577
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9577
4.2.2 Outstanding Management & Insider Cease Trading Orders 9577
Chapter 5 Rules and Policies 9579
5.1.1 CSA Notice of Approval – Amendments to NI 21-101 Marketplace Operation 9579
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9587
Chapter 8 Notice of Exempt Financings 9639
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 9639
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9641
Chapter 12 Registrations 9645
12.1.1 Registrants 9645
Chapter 13 SROs, Marketplaces, and Clearing Agencies 9647
13.1 SROs (nil)
13.2 Marketplaces 9647
13.2.1 Nodal Exchange, LLC. – Notice of Commission Order – Application for Exemptive Relief 9647
13.2.2 Liquidnet Canada, Inc. – Notice of Proposed Changes and Request for Comment – Changes to the Liquidnet Canada Trading System 9648
13.2.3 Canadian Securities Exchange – Notice of Approval of Proposed Change 9655
13.2.4 Omega ATS – Notice of Proposed Change and Request for Comment 9657
13.2.5 Lynx ATS – Notice of Proposed Change and Request for Comment 9660
13.3 Clearing Agencies 9663
13.3.1 CDS Clearing and Depository Services Inc. – Material Amendments to CDS Rules – Emergency Authority – Request for Comments 9663
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 9669