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BCN 2010/08 Adoption of BC Instrument 32-513 Registration exemption for trades in connection with certain prospectus-exempt distributions and its companion policy [BCN]

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2010-08 [BCN]
Published: 2010-02-26

Concurrently Published

Document
32-513 32-513 Registration exemption for trades in connection with certain prospectus-exempt distributions [BCI - Rescinded]
32-513CP 32-513CP Registration exemption for trades in connection with certain prospectus-exempt distributions [CP - Rescinded]

Introduction
Effective March 27, 2010, the Commission is adopting:

  • BC Instrument 32-513 Registration exemption for trades in connection with certain prospectus-exempt distributions, and
  • BC Companion Policy 32-513CP Registration exemption for trades in connection with certain prospectus-exempt distributions.

The order provides an exemption from the dealer registration requirement for trades in securities in connection with certain prospectus-exempt distributions under National Instrument 45-106 Prospectus and Registration Exemptions.

Advance Notice
We provided advance notice of adoption in the CSA Notice Notice of National Instrument 31-103Registration Requirements (CSA Notice - July 2009 PDF), and in the BC Notice Advance Notice of National Instrument31-103 Registration Requirements and Exemptions, Companion Policy 31-103CP Registration Requirement and Exemptions, BC Interpretation Note XX, and BC Instrument 33-5xx and its companion policy, and consequential amendments to national and local instruments (BC Notice - July 2009), both dated July 17, 2009. Please see those notices for more information.

Questions
You may refer questions to:

Laura Bliss
Senior Legal Counsel
British Columbia Securities Commission
(604) 899-6666
(800) 373-6393 (toll free across Canada)
lbliss@bcsc.bc.ca

Mark Wang
Manager
British Columbia Securities Commission
(604) 899-6658
(800) 373-6393 (toll free across Canada)
mwang@bcsc.bc.ca


February 26, 2010

 

Brenda M. Leong
Chair

Ref:National Instrument 45-106 Prospectus and Registration Exemptions
National Instrument 31-103 Registration Requirements and Exemptions
Companion Policy 31-103CP Registration Requirements and Exemptions
BC Notice 2009/12 - Advance Notice of National Instrument 31-103 Registration Requirements and Exemptions, Companion Policy 31-103CP Registration Requirements and Exemptions, BC Interpretation Note XX, and BC Instrument33-5xx and its companion policy, and consequential amendments to national and local instruments
Appendices P and Q to BCN 2009/12 - Form of blanket order providing registration exemption for capital raising and guidance to that order
CSA Notice of National Instrument 31-103 Registration Requirements and Exemptions
Appendix D to that CSA Notice Alternative approach to regulating exempt market intermediaries in certain jurisdictions
This Notice may refer to other documents. These documents can be found at the B.C. Securities Commission public website at www.bcsc.bc.ca in the section Securities Law & Policy: Policies & Instruments.