Ontario Securities Commission Bulletin
Issue 35/46 - November 15, 2012
Ont. Sec. Bull. Issue 35/46
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• CSA Staff Notice 11-320 -- Notice of Local Amendments -- Nova Scotia and Yukon
• OSC Staff Notice 51-720 -- Issuer Guide for Companies Operating in Emerging Markets
• OSC Staff Notice 23-701 -- Electronic Trading Risk Analysis
Notices of Hearing
• Sandy Winick et al. -- s. 127
• F. David Radler -- 127 of the Act and Rule 12 of the OSC Rules of Procedure
News Releases
• Canadian Securities Regulators Seek Comment on the Regulation of Market Data Fees
• OSC Publishes Guide for Issuers Operating in Emerging Markets and Provides Update on Emerging Markets Review Recommendations
Notices from the Office of the Secretary
• Sandy Winick et al.
• Global RESP Corporation and Global Growth Assets Inc.
• MBS Group (Canada) Ltd. et al.
• Temporary Change of Location of Ontario Securities Commission Proceedings
• F. David Radler
• Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation)
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Paragon Minerals Corporation -- s. 1(10)(a)(ii)
• Raymond James (USA) Ltd.
• Geomark Exploration Ltd. -- s. 1(10)(a)(ii)
• Fitch, Inc.
• Moody's Canada Inc.
• Standard & Poor's Ratings Services (Canada), a business unit of The McGraw-Hill Companies (Canada) Corporation
• DBRS Limited
• J.P. Morgan Securities LLC
• Avion Gold Corporation and Endeavour Mining Corporation
• Enbridge Income Fund Holdings Inc.
• General Motors Investment Management Corporation
• DWM Securities Inc. and Dundee Private Investors Inc.
• Leader Auto Resources LAR Inc.
• Manulife Securities Investment Services Inc. and Wellington West Financial Services Inc.
• MBS Group (Canada) Ltd. et al.
• CIBC Securities Inc.
• Raging River Exploration Inc.
• Toronto-Dominion Bank et al. -- s. 5.1 of the Rule
• Coventree Inc.
Orders
• Fitch, Inc.
• DBRS Limited
• Standard & Poor's Ratings Services (Canada), a business unit of The McGraw-Hill Companies (Canada) Corporation
• Moody's Canada Inc.
• Global RESP Corporation and Global Growth Assets Inc. -- ss. 127(1)
• theSCORE, INC. -- s. 1(11)(b)
• Putnam Investments Inc. et al. -- s. 80 of the CFA
• iShares Silver Bullion Fund -- s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions
• BMO S&P/TSX Equal Weight Industrials Index ETF et al. -- s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions
• Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation)
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
• Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
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
Clearing Agencies
• CDS -- Notice and Request for Comment -- Material Amendments to CDS Procedures -- Decommissioning of NSCC's OTC Comparison Service
• CDS -- Notice and Request for Comments -- Material Amendments to CDS Procedures Relating to Enhancements to ATON Mutual Fund Transfer Request Process
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