Forms - Securities dealers, advisers and investment funds manager

Here are the forms for dealers, advisers, investment fund managers, and registrants and approved persons.

We also offer specific forms for: 

  • Issuers
  • Insiders
  • Securities crowdfunding

National Registration Database (NRD) and fees payable

Insight

Notices of acquisition: You can prepare them using this template

Canadian Securities Authorities staff have prepared this template to assist filers in preparing notices of acquisition transactions involving registered firms. This template, whose use is optional, is designed to help filers provide the type of information that staff typically review when considering such notices.

Notices (pdf - 194 KB)This link will open in a new windowUpdated on February 16, 2021This voluntary document (the Notice) is intended to assist filers in complying with the notice requirements in sections 11.9 and 11.10 of Regulation 31-103. You do not need to use this format to comply with the notice requirement but can choose to use this Notice or provide the information in another manner.

End of the insight

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