Office of the Superintendent of Securities
Decisions and Orders
The following orders apply to trades in securities made in the Northwest Territories.
- February 6, 2009 - Superior Plus Corp.
- October 30, 2008 - Horizons Beta Pro ETFs
- June 30, 2006 - Canfor Corporation
- May 12, 2005 - Chamaelo Energy Inc., Vault Energy Trust and Chamaelo Exploration Ltd.
- April 28, 2005 - Esprit Energy Trust et al.
- April 25, 2005 - Pengrowth Energy Trust, Pengrowth Corporation and Crispin Energy Inc.
- April 22, 2005 - Strongco Inc., Strongco Income Fund and Strongco AcquisitionCo Inc.
- April 15, 2005 - Argo Energy Ltd., Lightning Energy Ltd., Sequoia Oil & Gas Trust and White Fire Energy Ltd.
- April 1, 2005 - Flowing Energy Corporation, Daylight Energy Trust and Daylight Energy Ltd.
- January 12, 2005 - Ketch Resources Ltd. et al.
- December 3, 2004 - Defiant Energy Corporation et al.
- November 18, 2004 - Midnight Oil & Gas Ltd., Daylight Acquisition Corp., Daylight Energy Trust and Midnight Oil Exploration Ltd.
- October 13, 2004 - Royal Trust Corporation of Canada and The Royal Trust Company
- June 22, 2004 - Cequel Energy Inc. et al.
- May 5, 2004 - Investors Group Inc., 4221079 Canada Inc. and IPC Financial Network Inc
- August 25, 2003 - W.W. Grainger, Inc.
- June 1, 2003 - Lanesborough Real Estate Investment Trust
- April 1, 2003 - Inviro Medical Inc.
- February 25, 2003 - Newalta Corporation, Newalta Acquisition Corporation and Newalta Income Fund
- February 12, 2003 - Yellowknife Direct Charge Co-operative Limited
- January 27, 2003 - Crocus Investment Fund
- August 29, 2003 - Sprott Asset Management Inc.
- June 24, 2002 - Arta Enterprises Inc.
- June 12, 2002 - Shear Minerals Ltd.
- July 24, 2001 - Starfield Resources Inc.
Blanket Orders & Amendments
Blanket Order No. 1 provides various exemptions from the prohibition under Subsection 27(2)(b) of the Securities Act from trading in securities in the Northwest Territories, unless a prospectus or statement of material facts is filed with the Registrar. Effective September 14, 2005, this Blanket Order was amended to repeal most exemptions in view of NI 45-106 coming into force on this date.
- Blanket Order No. 1 (consolidated as of September 14, 2005) (PDF)
- Blanket Order No. 1 (PDF)
- Amendment No. 1 to Blanket Order No. 1 (PDF)
- Amendment No. 2 to Blanket Order No. 1 (PDF)
- Amendment No. 3 to Blanket Order No. 1 (revoked) (PDF)
- Amendment No. 4 to Blanket Order No. 1 (revoked) (PDF)
- Amendment No. 5 to Blanket Order No. 1 (PDF)
- Amendment No. 6 to Blanket Order No. 1 (PDF)
- Blanket Order No. 1 (consolidated up to September 13, 2005) (PDF)
- Forms
The following PDF forms can be downloaded, printed, and completed either manually or electronically. As of September 14, 2005, these forms apply only to trades made under a distribution commenced before this date. They must be printed in paper form as we require the original signed form to be sent to our offices by mail or courier.
Blanket Order No. 2 provides various exemptions, in addition to those listed under Section 2 of the Securities Act, from the registration requirements of the Act. Effective September 14, 2005, this Blanket Order was amended to repeal most exemptions in view of NI 45-106 coming into force on this date.
- Blanket Order No. 2 (consolidated as of September 14, 2005) (PDF)
Blanket Order No. 3 provided an extension to certain filing deadlines in the transition sections of the NRD and Registration Information rules to September 30, 2003.
- Blanket Order No. 3 (revoked by Blanket Order No. 4) (PDF)
Blanket Order No. 4 revokes Blanket Order No. 3 and provides a further extension to certain filing deadlines in the transition sections of the NRD and Registration Information rules to November 15, 2003.
- Blanket Order No. 4 (revoked by Blanket Order No. 5) (PDF)
Blanket Order No. 5 revokes Blanket Order No. 4 and provides a further extension to certain filing deadlines in the transition sections of the NRD and Registration Information rules to December 15, 2003 and certain other filing deadlines to March 31, 2006.
Blanket Order No. 6 provides for a registration and prospectus exemption for certain tax assisted capital accumulation plans ("CAP exemption"), such as defined contribution pension plans and group registered retirement savings plans. This is expected to be a temporary order until the CAP exemption is added by amendment to National Instrument 45-106 Prospectus and Registration Exemptions.
- Blanket Order No. 6 (PDF)
Blanket Order No. 7 provides that where a firm filer has elected to use the National Registration System and the Northwest Territories is not the principal regulator, the firm is exempt from the requirement to deliver a director's resolution with the firm's application for renewal of registration.
Blanket Order No. 8 provides an exemption from registration and prospectus requirements for trades under a dividend or distribution reinvestment plan (DRIP) in respect of the purchase of a different class or series of securities of the issuer than those to which the dividends or distributions are attributable.
Blanket Order No. 9 provides an exemption from the prospectus filing requirements for the solicitation of expressions of interest before the filing of a preliminary short form prospectus for securities to be issued under an over-allotment option on a bought deal offering.
- Blanket Order No. 9 (revoked) (PDF)
Blanket Order No. 10 provides an exemption from the requirement to provide certification of disclosure in issuers' annual and interim filings to allow venture issuers to file interim and annual certificates for periods ending on or after December 31, 2007 in a form that reflects proposed changes to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings. The forms are included as appendices to the Order.
