Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 23
-- June 10, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 6471
1.1 Notices 6471
1.1.1 Current Proceedings Before The Ontario Securities Commission 6471
1.2 Notices of Hearing 6479
1.2.1 York Rio Resources Inc. et al. – ss. 37, 127 6479
1.2.2 Lehman Brothers & Associates Corp. et al. – ss. 37, 127 6480
1.3 News Releases 6480
1.3.1 OSC Vice-Chair Appointment: Mary G. Condon 6480
1.3.2 OSC Commissioner Appointments: Sarah Kavanagh and Judith Robertson 6481
1.4 Notices from the Office of the Secretary 6482
1.4.1 York Rio Resources Inc. et al. 6482
1.4.2 York Rio Resources Inc. et al. 6483
1.4.3 Lehman Brothers & Associates Corp. et al. 6484
1.4.4 Firestar Capital Management Corp. et al. 6484
1.4.5 Shallow Oil & Gas Inc. et al. 6485
1.4.6 Irwin Boock et al. 6485
1.4.7 Firestar Capital Management Corp. et al. 6485
1.4.8 Peter Sbaraglia 6486
1.4.9 York Rio Resources Inc. et al. 6486
1.4.10 Lehman Brothers & Associates Corp. et al. 6487
Chapter 2 Decisions, Orders and Rulings 6489
2.1 Decisions 6489
2.1.1 Franklin Templeton Investments Corp. et al. 6489
2.1.2 Enbridge Income Fund 6493
2.1.3 RBC Global Asset Management Inc. et al. 6494
2.1.4 Ventana Gold Corp. – s. 1(10) 6497
2.1.5 RBC Global Asset Management Inc. et al. 6497
2.1.6 Northern Trust Global Advisors, Inc. 6500
2.1.7 Brookfield Office Properties Canada 6505
2.1.8 maxill inc. – s. 1(10) 6509
2.1.9 National Bank Securities Inc. 6509
2.1.10 C.S.T. Consultants Inc. et al. 6512
2.1.11 Mark Caranci et al. 6515
2.2 Orders 6517
2.2.1 SeaMiles Limited – s. 144 6517
2.2.2 Firestar Capital Management Corp. et al. – ss. 128, 127(1) 6520
2.2.3 Shallow Oil & Gas Inc. et al. – ss. 127(1), 127(8) 6233
2.2.4 Irwin Boock et al. – ss. 127, 127.1 6535
2.2.5 Firestar Capital Management Corp. et al. – s. 127(8) 6537
2.2.6 TSX Inc. – s. 15.1 of NI 21-101 Marketplace Operation and s. 6.1 of Rule 13-502 Fees 6539
2.2.7 Gavin Management Group, Inc. 6540
2.2.8 Peter Sbaraglia 6541
2.2.9 York Rio Resources Inc. et al. – ss. 37, 127(1) 6542
2.2.10 Lehman Brothers & Associates Corp. et al. – ss. 37, 127(1) 6543
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6545
3.1 OSC Decisions, Orders and Rulings 6545
3.1.1 York Rio Resources Inc. et al. – s. 127 of the Act, and OSC Rules of Procedure, Rule 3 6545
3.1.2 Fox Collins Securities Inc. – s. 31 6558
3.1.3 York Rio Resources Inc. et al. 6560
3.1.4 Lehman Brothers & Associates Corp. et al. 6566
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 6571
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6571
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6571
4.2.2 Outstanding Management & Insider Cease Trading Orders 6571
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6573
Chapter 8 Notice of Exempt Financings 6665
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 6671
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6671
Chapter 12 Registrations 6679
12.1.1 Registrants 6685
Chapter 13 SROs, Marketplaces, and Clearing Agencies (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 6681