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Securities

  File Format Updated

Appendix A - Report on the exemption to registerd as a broker-dealers or advisors servicing U.S. clients

PDF

8 1/2 x 11

May 2015

Appendix 1 - Monthly Report on Net Free Capital

PDF 8 1/2 x 11 October 2012

Form 31-103F1 - Calculation of Excess Working Capital and Appendix B - Subordination Agreement

PDF

8 1/2 x 11

April 2015

Form 31-103F2 - Submission to Jurisdiction and Appointment of Agent for Service

PDF

8 1/2 x 14

August 2011

Form 31-103F3 - Use of Mobility Exemption

PDF

8 1/2 x 14

August 2011

Form 31-103F4 - Net Asset Value Adjustments

PDF

8 1/2 x 14

January 2015

Form 33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals

PDF

8 1/2 x 14

January 2015

Form 33-109F2 - Change or Surrender of Individual Categories

PDF

8 1/2 x 14

January 2015

Form 33-109F3 - Business Locations Other than Head Office

PDF

8 1/2 x 14

January 2015

Form 33-109F4 - Registration of Individuals and Review of Permitted Individuals

PDF

8 1/2 x 14

January 2015

Form 33-109F5 - Change of Registration Information

PDF

8 1/2 x 14

January 2015

Form 33-109F6 - Firm Registration

PDF

8 1/2 x 14

January 2015

Form 33-109F7 - Reinstatement of registered Individuals and Permitted Individuals

PDF

8 1/2 x 14

January 2015

Annual Fees Form - Calculation of the annual fees payable

PDF

8 1/2 x 11

March 2016

Securities Fraud Information Centre Request

PDF 8 1/2 x 11 N/A

 

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