Ontario Securities Commission Bulletin
Issue 35/09 - March 02, 2012
Ont. Sec. Bull. Issue 35/09
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• CSA 2011 Enforcement Report
• Ameron Oil and Gas Ltd. et al.
• 2012-2015 Strategic Plan -- The OSC: A 21st Century Regulator
• CSA/IIROC Joint Notice 23-312 -- Transparency of Short Selling and Failed Trades -- Request for Comment
• CSA Staff Notice 41-307 -- Corporate Finance Prospectus Guidance -- Concerns regarding an issuer's financial condition and the sufficiency of proceeds from a prospectus offering
Notices of Hearing
• Ameron Oil and Gas Ltd. et al. -- s. 127
News Releases
• New OSC Strategic Plan: Road Map to a 21st Century Regulator
Notices from the Office of the Secretary
• Ameron Oil and Gas Ltd. et al.
• Ameron Oil and Gas Ltd. et al.
• Ameron Oil and Gas Ltd. et al.
• Nest Acquisitions and Mergers et al.
• Majestic Supply Co. Inc. et al.
• Lyndz Pharmaceuticals Inc. et al.
• Ameron Oil and Gas Ltd. et al.
• Ameron Oil and Gas Ltd. et al.
• North American Financial Group Inc. et al.
• Global Energy Group, Ltd. et al.
• Juniper Fund Management Corporation et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Franklin Templeton Investments Corp. et al.
• Dundee Securities Ltd.
• Investors Tactical Asset Allocation Fund et al.
• Myriad Group AG
• Performance Capital Limited et al.
• First Defined Portfolio Management Co.
Orders
• Dundee Capital Markets Inc. -- s. 1(10)(b)
• Ameron Oil and Gas Ltd. et al.
• Majestic Supply Co. Inc. et al.
• Ameron Oil and Gas Ltd. et al.
• Ameron Oil and Gas Ltd. et al. -- s. 127(1)
• North American Financial Group Inc. et al. -- s. 127
• Global Energy Group, Ltd. et al.
• Juniper Fund Management Corporation et al.
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Nest Acquistions and Mergers et al.
• Ameron Oil and Gas Ltd. et al.
• Anna Pyasetsky -- s. 31
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 6 - Request for Comments
• CSA/IIROC Joint Notice 23-312 -- Transparency of Short Selling and Failed Trades
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
• Notice of Commission Approval -- IIROC Rules Notice -- UMIR -- Provisions Respecting Short Sales and Failed Trades
• OSC Staff Notice of Commission Approval -- MFDA Proposed Amendments to MFDA Rule 5.3 -- Client Reporting
Clearing Agencies
• FundSERV Inc. -- Notice and Request for Comment -- Application for Recognition as a Clearing Agency
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