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

Forms

Appendix A - Report on the exemption to registerd as a broker-dealers or advisors servicing U.S. clients (pdf - 592 KB)This link will open in a new windowUpdated on May 21, 2015 Appendix 1 - Monthly Report on Net Free Capital (pdf - 487 KB)This link will open in a new windowUpdated on October 22, 2012 Financial Information – Annual - Form for the annual disclosure filings under Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on July 28, 2017 Form 31-103F1 - Calculation of Excess Working Capital and Appendix B - Subordination Agreement (pdf - 580 KB)This link will open in a new windowUpdated on April 15, 2015 Form 33-103F2 - Submission to Jurisdiction and Appointment of Agent for Service (pdf - 24 KB)This link will open in a new windowUpdated on March 24, 2015 Form 31-103F3 - Use of Mobility Exemption (pdf - 21 KB)This link will open in a new windowUpdated on August 1, 2011 Form 31-103F4 - Net Asset Value Adjustments (pdf - 70 KB)This link will open in a new windowUpdated on January 22, 2015 Form 33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals (pdf - 57 KB)This link will open in a new windowUpdated on January 22, 2015 Form 33-109F2 - Change or Surrender of Individual Categories (pdf - 86 KB)This link will open in a new windowUpdated on January 22, 2015 Form 33-109F3 - Business Locations Other than Head Office (pdf - 80 KB)This link will open in a new windowUpdated on January 22, 2015 Form 33-109F4 - Registration of Individuals and Review of Permitted Individuals (pdf - 211 KB)This link will open in a new windowUpdated on January 22, 2015 Form 33-109F5 - Change of Registration Information (pdf - 81 KB)This link will open in a new windowUpdated on January 22, 2015 Form 33-109F6 - Firm Registration (pdf - 242 KB)This link will open in a new windowUpdated on January 22, 2015 Form 33-109F7 - Reinstatement of registered Individuals and Permitted Individuals (pdf - 147 KB)This link will open in a new windowUpdated on January 22, 2015 Annual Fees Form - Calculation of the annual fees payable (pdf - 981 KB)This link will open in a new windowUpdated on April 7, 2017 Securities Fraud Information Centre Request (pdf - 89 KB)This link will open in a new windowUpdated on July 13, 2005

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