Ontario Securities Commission Bulletin

Issue 36/01 - January 04, 2013

Ont. Sec. Bull. Issue 36/01

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• Current Proceedings before the Ontario Securities Commission

• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments

Notices of Hearing

• Blackwood & Rose Inc. et al. -- ss. 127(7), 127(8)

• Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus -- ss. 60, 60.1 of the CFA

News Releases

• OSC Adopts Amendments to Fee Model

Notices from the Office of the Secretary

• Rezwealth Financial Services Inc. et al.

• American Heritage Stock Transfer Inc. et al.

• Blackwood & Rose Inc. et al.

• Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation)

• Northern Securities Inc. et al.

• Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus

• Normand Gauthier et al.

• Shallow Oil & Gas Inc. et al.

• Global Energy Group, Ltd. et al.

• Bernard Boily

• New Hudson Television LLC and James Dmitry Salganov

• New Hudson Television Corporation et al.

• Knowledge First Financial Inc.

• Heritage Education Funds Inc.

• Colby Cooper Capital Inc. et al.

• Blackwood & Rose Inc. et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• HollyFrontier Corporation

• Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)

• Legumex Walker Inc.

• Chieftain Metals Inc.

• Aston Hill Asset Management Inc. et al.

• Triangle Petroleum Corporation

• GrowthWorks Wv Management Ltd. and GrowthWorks Commercialization Fund Ltd.

• Manulife Securities Investment Services Inc.

• Arbor Memorial Services Inc. -- s. 1(10)

• NAV Canada

• Granite Real Estate Inc. et al.

• Granite Real Estate Inc. et al.

• Scougall Services Limited Partnership

• Franchise Services of North America Inc.

• Scotiabank Subordinated Notes Trust -- s. 1(10)

• United Corporations Limited

• Sino-Forest Corporation

Orders

• Rezwealth Financial Services Inc. et al. -- s. 127

• American Heritage Stock Transfer Inc. et al. -- Rules 1.5.3 and 4.3

• Blackwood & Rose Inc. et al. -- ss. 127(1), 127(5)

• The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. -- s. 144

• White Rock Capital Partners Inc. and Royal Coal Corp. -- s. 144

• Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation)

• Northern Securities Inc. et al. -- s. 21.7 and 8

• Normand Gauthier et al. -- s. 127

• Shallow Oil & Gas Inc. et al. -- ss. 127(1), 127(10)

• Global Energy Group, Ltd. et al. -- ss. 127, 127.1

• Bernard Boily -- s. 127

• New Hudson Television LLC and James Dmitry Salganov -- s. 127

• New Hudson Television Corporation et al. -- ss. 127(1), 127(8)

• Knowledge First Financial Inc.

• Heritage Education Funds Inc.

• Colby Cooper Capital Inc. et al. -- s. 127

• Ellington Management Group, L.L.C. -- s. 80 of the CFA

• Economic Investment Trust Limited -- s. 144

• Security Investors, LLC -- s. 78(1) of the CFA

• Quest Partners LLC -- s. 80 of the CFA

• Blackwood & Rose Inc. et al. -- ss. 127(7), 127(8)

Rulings

• State Street Global Markets, LLC -- s. 38 of the Act and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

• Shallow Oil & Gas Inc. et al. -- ss. 127(1), 127(10)

• Global Energy Group, Ltd. et al. -- s. 127

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 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

• Registrants

Chapter 13 - SROs, Marketplaces and Clearing Agencies

SROs

• MFDA -- Proposed Amendments to MFDA By-Law No. 1 (Definitions), MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 -- Minimum Standards for Account Supervision

Clearing Agencies

• Notice of Approval -- Variation and Restatement of the Recognition Order of the Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.

• CDS -- Notice of Effective Date -- Technical Amendments to CDS Procedures -- QST Rate Changes on CDS Forms

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