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
Form Updated

Appendix A (pdf - 592 KB)This link will open in a new window - Report on the exemption to registerd as a broker-dealers or advisors servicing U.S. clients

May 2015

Appendix 1 (pdf - 487 KB)This link will open in a new window - Monthly Report on Net Free Capital

October 2012

Financial Information – Annual (pdf - 2 MB)This link will open in a new window - Form for the annual disclosure filings under Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations

March 2017

Form 31-103F1 (pdf - 580 KB)This link will open in a new window - Calculation of Excess Working Capital and Appendix B - Subordination Agreement

April 2015

Form 31-103F2 (pdf - 24 KB)This link will open in a new window - Submission to Jurisdiction and Appointment of Agent for Service

 October 2011

Form 31-103F3 (pdf - 21 KB)This link will open in a new window - Use of Mobility Exemption

August 2011

Form 31-103F4 (pdf - 70 KB)This link will open in a new window - Net Asset Value Adjustments

January 2015

Form 33-109F1 (pdf - 57 KB)This link will open in a new window - Notice of Termination of Registered Individuals and Permitted Individuals

January 2015

Form 33-109F2 (pdf - 86 KB)This link will open in a new window - Change or Surrender of Individual Categories

January 2015

Form 33-109F3 (pdf - 80 KB)This link will open in a new window - Business Locations Other than Head Office

January 2015

Form 33-109F4 (pdf - 211 KB)This link will open in a new window - Registration of Individuals and Review of Permitted Individuals

January 2015

Form 33-109F5 (pdf - 81 KB)This link will open in a new window - Change of Registration Information

January 2015

Form 33-109F6 (pdf - 242 KB)This link will open in a new window - Firm Registration

January 2015

Form 33-109F7 (pdf - 147 KB)This link will open in a new window - Reinstatement of registered Individuals and Permitted Individuals

January 2015

Annual Fees Form (pdf - 981 KB)This link will open in a new window - Calculation of the annual fees payable

March 2016

Securities Fraud Information Centre Request (pdf - 89 KB)This link will open in a new window

N/A