Ontario Securities Commission Bulletin
Issue 37/44 - October 30, 2014
Ont. Sec. Bull. Issue 37/44
Table of Contents
Chapter 1 - Notices / News Releases
Notices of Hearing
• Julian Robert Ricci -- s. 21.7
Notices from the Office of the Secretary
• International Strategic Investments et al.
• Julian Robert Ricci
• Conrad M. Black et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Northampton Group Inc.
• BLF Limited Partnership
• Equal Energy Ltd.
• Marret Asset Management Inc. et al.
• Chop Exploration Inc.
Orders
• International Strategic Investments et al.
• First Trust AlphaDEXTM U.S. Financial Sector Index ETF et al. -- s. 1.1
• RBC Quant EAFE Dividend Leaders (CAD Hedged) ETF et al. -- s. 1.1
• Purpose US Dividend Fund et al.
• Northampton Group Inc. -- s. 1(6) of the OBCA
• Canadian National Railway Company -- s. 104(2)(c)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Conrad M. Black et al.
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 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
Clearing Agencies
• Notice of Effective Date -- Technical Amendments to CDS Procedures -- Updates to CDS Sponsorhip Service: Access to FINRA OTC Reporting Facility
• Notice of Effective Date -- Technical Amendments to CDS Procedures -- Changes to the Collateral Haircuts for Debt Instruments
• Notice of Effective Date -- Technical Amendments to CDS Procedures -- Changes to Eligible Collateral for Collateral Pools and Participant Funds
• OSC Staff Notice of Request for Comment -- CDS Clearing and Depository Services -- Material Amendments to CDS Procedures -- Methodology Enhancement to TRAX Entitlements Tracking System and Fee Increase
• OSC Staff Notice of Request for Comment -- CDS Clearing and Depository Services Inc. -- Material Amendments to the Fee for the Entitlement Messages -- MT564 Service
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