Canada's international transactions in securities (BP-30Q)

For Information onlyThis is an electronic survey example for information purposes only. This is not a working questionnaire.

INTRODUCTION

Purpose

The series on international transactions in securities cover portfolio transactions in stocks, bonds, and money market securities between non-residents and residents of Canada.

The securities statistics cover issuances and holdings of financial negotiable instruments. Securities include debt instruments designed to be traded in financial markets, such as treasury bills, commercial paper and bonds, as well as equity instruments, such as listed shares. The statistics relate to outstanding amounts (stocks) and net transactions (new issues net of redemptions).

Additional information

The survey data you provide are used to produce estimates on security transactions with non-residents and form an integral part of the official estimates of Canada's Balance of International Payments and Investment Position. Such estimates are used as a major input in the conduct of monetary and exchange rate policies by the Government of Canada. Your information may also be used by Statistics Canada for other statistical and research purposes.

Authority

This information is collected under the authority of the Statistics Act, Revised Statutes of Canada, 1985, Chapter S-19. COMPLETION OF THIS QUESTIONNAIRE IS A LEGAL REQUIREMENT UNDER THIS ACT.

Confidentiality

Statistics Canada is prohibited by law from releasing any information it collects which could identify any person, business, or organization, unless consent has been given by the respondent or as permitted by the Statistics Act. Statistics Canada will use the information from this survey for statistical purposes.

Record linkage

To enhance the data from this survey, Statistics Canada may combine it with information from other surveys or from administative sources.

Security of emails and faxes

If you choose to transmit the questionnaire to Statistics Canada by facsimile or other electronic transmission, please be advised that there could be a risk of disclosure during the communication. However, upon receipt of your information, Statistics Canada will provide the guaranteed level of protection afforded all information collected under the authority of the Statistics Act.

Return procedures

A completed copy of this questionnaire should be returned within three weeks of receipt to:

Statistics Canada
International Accounts and Trade Division
170 Tunney's Pasture Driveway
Ottawa, Ontario
K1A 0T6

Please return the completed form to us in the enclosed envelope or fax it at (613) 951-9031. If you need any clarification about reporting, please call us toll free at 1(866) 765-8143 or e-mail:bop.surveys@statcan.gc.ca.

REPORTING INSTRUCTIONS

REPORTING INSTRUCTIONS - Question identifier:1.

This survey is intended to cover transactions in securities between residents of Canada and non-residents for inclusion in the official estimates of the Canadian balance of payments.

For the purposes of this survey the following transactions are considered to be transactions with non-residents:
(a) transactions in securities executed in Canada for the accounts of non-residents;
(b) transactions in securities executed outside Canada for your own account or for the accounts of clients resident in Canada.

The guiding principle in completing the questionnaire is whether there has been a change in ownership between residents of Canada and non-residents.

REPORTING INSTRUCTIONS - Question identifier:2.

WHO MUST REPORT: All persons or firms in Canada, who, on their own behalf or on behalf of their clients, engage in transactions in securities directly with non-residents are required to report on this questionnaire.* The institution or firm in Canada which actually executes or arranges the security transaction outside Canada is to report the transaction. For example, if a bank in Canada, acting on behalf of a client in London, England, sells a security through a Canadian investment dealer, the bank, rather than the investment dealer, is to report a purchase from the United Kingdom.

REPORTING INSTRUCTIONS - Question identifier:3.

BASIS OF REPORTING:
(a) Aggregate return: Respondents with more than one office in Canada are requested to report for the totality of their offices in Canada.

(b) Currency: Transactions are to be reported in thousands of Canadian dollars. Where transactions are executed in foreign currencies, they should be converted into Canadian currency using the exchange rates prevailing on the days on which the transaction occurred. Conversions based on the noon average for the month, or using exchange rates applied to customers' accounts, are also acceptable. Alternatively, separate questionnaires for individual foreign currencies, appropriately marked, may be submitted.

(c) Commissions and taxes:
(i) For transactions executed outside Canada, report as sales the amount credited on transactions for a Canadian client or for your own account (proceeds of sales less commissions and taxes paid outside Canada). Report as purchases the amount debited for these accounts (cost of purchase plus commissions and taxes paid outside Canada).
(ii) For transactions executed inside Canada, report as sales the amount debited on transactions for a non-resident purchaser (cost of securities plus commissions and taxes paid in Canada). Report as purchases the amount credited on transactions for a non-resident seller (proceeds of sales less commissions and taxes paid in Canada)

(d) Timing: Settlement dates are a more appropriate basis for the completion of this questionnaire than are trade dates. Where practical reasons necessitate the use of trade dates, it is essential that the questionnaire be adjusted to a settlement basis in respect of buy backs and other important deferred settlement transactions.

REPORTING INSTRUCTIONS - Question identifier:4.

GEOGRAPHICAL DISTRIBUTION: Transactions with non-residents should be reported under the country or geographical area in which the non-resident is domiciled.
- The European Union (apart from the United Kingdom and Germany) includes : Austria, Belgium, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal, Slovakia, Slovenia, Spain, Sweden, Bulgaria, and Romania.
- Middle East refers to: Bahrain, Egypt, Iran, Iraq, Israel, Jordan, Kuwait, Lebanon, Oman, Qatar, Saudi Arabia, United Arab Emirates, and Yemen.

REPORTING INSTRUCTIONS - Question identifier:5.

RESIDENCY:
(a) Individuals - Residency is determined by the normal place of residence or domicile. Hence individuals who are citizens of a foreign country but are domiciled in Canada are considered to be residents of Canada. Similarly, individuals, including Canadian citizens domiciled outside Canada, are to be treated as non-residents of Canada.

(b) Corporations - In general, corporations are classified as residents of the country in which they are incorporated. Thus, subsidiaries in Canada of foreign corporations are to be treated as residents of Canada. Similarly, foreign subsidiaries of Canadian firms are treated as non-residents. There are, however, exceptions:

(i) Unincorporated branches and agencies in Canada of foreign firms are considered to be residents of Canada. Branches and agencies abroad of Canadian firms, particularly branches of investment dealers and banks, are considered to be non-residents of Canada.

(ii) Insurance companies - The insurance activities in Canada of a foreign insurance company are regarded as those of a Canadian branch, and treated as a Canadian resident. Similarly, the business abroad of Canadian insurance companies is regarded as that of a non-resident branch.

REPORTING INSTRUCTIONS - Question identifier:6.

CLASSIFICATION OF SECURITIES:
(a) For purposes of this questionnaire, securities are interpreted broadly including rights, warrants and options, as well as stocks, trust and royalty units, bonds, debentures, asset-backed securities and similar obligations. Both privately placed and publicly offered issues are to be reported.

(b) Country of issue is the country of residence of the issuer. Neither the currency in which a security is denominated nor the currency in which the transaction is settled has significance for the purposes of this questionnaire. Thus, a Canadian issue is a security issued by a resident of Canada regardless of the country of placement, the currency in which it is denominated or the currency used for settlement.

(c) New issues - A new issue represents generally an additional source of funds to the issuing entity and will therefore include the proceeds from the exercise of rights or warrants. However, also included as new issues are refunding and conversion issues. For practical purposes, a new issue may be taken as occurring immediately after wholesale distribution, to include initial distribution to principals.

(d) Outstanding issues - All issues other than those defined as new issues are to be treated as outstanding. Rights, warrants and all mutual funds' units are to be treated as outstanding securities.

(e) Redemption - Maturing bonds or debentures and issues called for complete or partial redemption prior to maturity are to be included as purchases of outstanding securities and the issues identified. Purchases from non-residents by issuers of their own bonds, debentures, or stocks (as, for example, in the case of purchases for sinking fund purposes) are also to be reported in outstanding securities and issues identified.

(f) Short-term securities - The questionnaire BP-30 should be used in conjunction with questionnaires BP-30A and BP-30B (where applicable) to report transactions in short-term instruments. Respondents not receiving questionnaires BP-30A and BP-30B should report these transactions on this questionnaire (BP-30).

(g) Buy backs - Short-term agreements for the sale and purchase of long-term securities should be treated as short-term transactions.

(h) Options - Total premiums paid to, or received from, non-residents for options contracts should be reported. If the option is exercised, the sale or purchase of the underlying security is to be reported as a transaction in an outstanding security.

REPORTING INSTRUCTIONS - Question identifier:*

Chartered banks should exclude transactions in foreign securities with non-residents for their own account (Head Office, Canadian Branches or Canadian subsidiaries) as they are reported elsewhere. However, transactions with non-residents in Canadian securities for their own account should be reported. All transactions with non-residents for the account of bank clients and customers should also be reported.

PURCHASES OF SECURITIES

For the types of security below, please report in thousands of Canadian dollars (CAN$ '000), the purchases from residents of:

1. Outstanding Bonds Debentures, Notes, etc.

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:A)

Canadian Issues

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:01

Government of Canada - Direct(1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:02

Government of Canada - Enterprises(1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:03

Provincial - Direct(1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:04

Provincial - Enterprises (1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:05

Municipal (1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:06

Corporate (1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:07

Other (including mortgages) (1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:B)

United States Issues

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:08

U.S. Government

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:09

Other US (including corporate)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:C)

Other foreign Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

2. Outstanding Common and Preferred Stocks

2. Outstanding Common and Preferred Stocks - Question identifier:11

Canadian

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

2. Outstanding Common and Preferred Stocks - Question identifier:12

United States

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

2. Outstanding Common and Preferred Stocks - Question identifier:13

Other foreign Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

3. New Issues of Canadian Securities (2)

3. New Issues of Canadian Securities (2) - Question identifier:15, 16, &17

Bonds

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

3. New Issues of Canadian Securities (2) - Question identifier:18 &19

Common and preferred stocks

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

4. New Issues of Foreign Securities (2)

4. New Issues of Foreign Securities (2) - Question identifier:20, 21 & 22

Bonds

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

4. New Issues of Foreign Securities (2) - Question identifier:23 & 24

Common and preferred stocks

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B)

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:25

Government of Canada Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:26

Canadian commercial paper

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:27

Canadian finance company paper

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:28

Other Canadian Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:29 & 30

Foreign Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

6. Stock Options (premiums only; see instruction 6 (h)

6. Stock Options (premiums only; see instruction 6 (h) - Question identifier:31

Canadian

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

6. Stock Options (premiums only; see instruction 6 (h) - Question identifier:32

United States

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

6. Stock Options (premiums only; see instruction 6 (h) - Question identifier:33

Other foreign Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

FOOTNOTES

FOOTNOTES - Question identifier:(1)

Identify separately transactions over $500,000; use front cover if insufficient space available in body of form.

FOOTNOTES - Question identifier:(2)

Identify all issues; use front cover if insufficient space available in body of form.

SALES OF SECURITIES

For the types of security below, please report in thousands of Canadian dollars (CAN$ '000), the sales to residents of:

1. Outstanding Bonds Debentures, Notes, etc.

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:A)

Canadian Issues

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:01

Government of Canada - Direct(1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:02

Government of Canada - Enterprises(1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:03

Provincial - Direct(1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:04

Provincial - Enterprises (1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:05

Municipal (1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:06

Corporate (1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:07

Other (including mortgages) (1)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:B)

United States Issues

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:08

U.S. Government

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:09

Other US (including corporate)

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

1. Outstanding Bonds Debentures, Notes, etc. - Question identifier:C)

Other foreign Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

2. Outstanding Common and Preferred Stocks

2. Outstanding Common and Preferred Stocks - Question identifier:11

Canadian

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

2. Outstanding Common and Preferred Stocks - Question identifier:12

United States

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

2. Outstanding Common and Preferred Stocks - Question identifier:13

Other foreign Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

3. New Issues of Canadian Securities (2)

3. New Issues of Canadian Securities (2) - Question identifier:15, 16, &17

Bonds

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

3. New Issues of Canadian Securities (2) - Question identifier:18 &19

Common and preferred stocks

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

4. New Issues of Foreign Securities (2)

4. New Issues of Foreign Securities (2) - Question identifier:20, 21 & 22

Bonds

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

4. New Issues of Foreign Securities (2) - Question identifier:23 & 24

Common and preferred stocks

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B)

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:25

Government of Canada Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:26

Canadian commercial paper

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:27

Canadian finance company paper

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:28

Other Canadian Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

5. Short-term Securities (do not report if filing questionnaires BP-30A and BP-30B) - Question identifier:29 & 30

Foreign Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

6. Stock Options (premiums only; see instruction 6 (h)

6. Stock Options (premiums only; see instruction 6 (h) - Question identifier:31

Canadian

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

6. Stock Options (premiums only; see instruction 6 (h) - Question identifier:32

United States

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

6. Stock Options (premiums only; see instruction 6 (h) - Question identifier:33

Other foreign Issues

  • 1): United States
  • 2): Other America (excluding Canada)
  • 3): United Kingdom
  • 4): Germany
  • 5): Other EU
  • 6): Switzerland
  • 7): Other Europe
  • 8): Japan
  • 9): Middle East
  • 10): All other foreign countries

FOOTNOTES

FOOTNOTES - Question identifier:(1)

Identify separately transactions over $500,000; use front cover if insufficient space available in body of form.

FOOTNOTES - Question identifier:(2)

Identify all issues; use front cover if insufficient space available in body of form.

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