Ontario Securities Commission Bulletin
Issue 34/43 - October 28, 2011
Ont. Sec. Bull. Issue 34/43
Table of Contents
Chapter 1 -- Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
Notices of Hearing
• TD Securities Inc. et al. -- s. 21.7
• Ameron Oil and Gas Ltd. et al. -- ss. 37, 127
News Releases
• OSC Introduces New Policy Initiatives to Strengthen Enforcement
Notices from the Office of the Secretary
• TD Securities Inc. et al.
• Ameron Oil and Gas Ltd. et al.
• CI Financial Corp.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Brookfield Asset Management Inc.
• Merrill Lynch Professional Clearing Corp.
• Merrill Lynch Professional Clearing Corp.
• Goodman & Company, Investment Counsel Ltd. et al.
• Cell-Loc Location Technologies Inc.
• Industries Lassonde Inc.
Orders
• Goodman & Company N.Y. Ltd. and Goodman & Company, Investment Counsel Ltd.
• BMO Covered Call Utilities ETF et al. -- s. 1.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• CI Financial Corp. -- ss. 8(3), 21.7
Chapter 4 - Cease Trading Orders
• Temporary, Permanent & Rescinding Issuer Cease Trading Orders
• Temporary, Permanent & Rescinding Management Cease Trading Orders
• Outstanding Management & Insider Cease Trading Orders
Chapter 5 - Rules and Policies
• OSC Rule 21-501 -- Deferral of Information Transparency Requirements for Government Debt Securities in National Instrument 21-101 -- Marketplace Operation
Chapter 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces and Clearing Agencies
SROs
• MFDA -- Proposed Amendments to MFDA Rule 5.3 (Client Reporting)
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