Securities Law & Instruments

OSC Bulletin Volume 37, Issue 44 (October 30, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9671
1.1 Notices (nil)
1.2 Notices of Hearing 9671
1.2.1 Julian Robert Ricci – s. 21.7 9671
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 9671
1.4.1 International Strategic Investmentset al 9671
1.4.2 Julian Robert Ricci 9672
1.4.3 Conrad M. Black et al. 9672
Chapter 2 Decisions, Orders and Rulings 9673
2.1 Decisions 9673
2.1.1 Northampton Group Inc. 9673
2.1.2 BLF Limited Partnership 9674
2.1.3 Equal Energy Ltd. 9676
2.1.4 Marret Asset Management Inc. et al 9679
2.1.5 Chop Exploration Inc 9683
2.2 Orders 9686
2.2.1 International Strategic Investments et al. 9686
2.2.2 First Trust AlphaDEX™ U.S. Financial Sector Index ETF et al. – s. 1.1 9689
2.2.3 RBC Quant EAFE Dividend Leaders(CAD Hedged) ETF et al. - s. 1.1 9690
2.2.4 Purpose US Dividend Fund et al 9691
2.2.5 Northampton Group Inc.- s. 1(6) of the OBCA 9692
2.2.6 Canadian National Railway Company- s. 104(2)(c) 9693
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.1.1  Conrad M. Black et al.  
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 9703
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9703
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9703
4.2.2 Outstanding Management & Insider Cease Trading Orders 9703
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9705
Chapter 8 Notice of Exempt Financings 9757
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 9757
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9759
Chapter 12 Registrations 9767
12.1.1 Registrants 9767
Chapter 13 SROs, Marketplaces, and Clearing Agencies 9769
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 9769
13.3.1 Notice of Effective Date - Technical Amendments to CDS Procedures - Updates to CDS Sponsorship Service: Access to FINRA OTC Reporting Facility 9769
13.3.2 Notice of Effective Date - Technical Amendments to CDS Procedures - Changes to the Collateral Haircuts for Debt Instruments 9770
13.3.3 Notice of Effective Date - Technical Amendments to CDS Procedures - Changes to Eligible Collateral for Collateral Pools and Participant Funds 9771
13.3.4 OSC Staff Notice of Request for Comment - CDS Clearing and Depository Services - Material Amendments to CDS Procedures - Methodology Enhancement to TRAX Entitlements Tracking System and Fee Increase 9772
13.3.5 OSC Staff Notice of Request for Comment - CDS Clearing and Depository Services Inc. - Material Amendments to the Fee for the Entitlement Messages - MT564 Service 9773
Chapter 25 Other Information (nil)
Index 9775