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Forms
This section contains selected frequently used Forms that have been specially formatted for easier use. This is not a complete selection of OSC Forms. If the form you require is not here, please access the text of the relevant rule or instrument under the "Rules, Policies, & Notices" section of the website (under "Policy & Regulation"), or contact an Inquiries Officer for assistance.
Using PDF Forms
These forms are being provided to you for your convenience in PDF (and HTML where appropriate). To use the PDF forms correctly you must have Adobe Reader 6.0 or higher installed.
Here is a link to the latest version.
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Application for Renewal / Surrender of Registration
This form is to be used by every firm registrant seeking renewal of its registration or surrendering its registration in Ontario on December 31.
PDF Version |
Form 3
This form is to be used by every business applicant seeking registration from the Ontario Securities Commission (the "Commission") as a Dealer or Adviser.
PDF Version |
Form 5
This form is to be used by every business applicant seeking registration from the Ontario Securities Commission (the "Commission") as a Futures Commission Merchant, Introducing Broker or Advisor.
PDF Version |
Form 13-502F4
This form must be used by registrants and unregistered investment fund managers to determine the total revenue subject to the participation fee and the portion which is attributable to Ontario capital markets activities. The form also contains an area for management certification attesting to the accuracy and completeness of the information provided.
PDF Version |
Form 13-502F5
This form is to be used by registrant firms and unregistered investment fund managers that filed their particpation fee on Form 13-502F4 using a good faith estimate as a result of their financial statements not being available at the time their participation fee was due. This Form calculates the balance owing or refund due when calculating the participation fee owing compared to the participation fee paid on Form 13-502F4.
PDF Version |
Form 13-503F1
This form must be used by registrant firms to determine the total revenue subject to the participation fee and the portion which is attributable to Ontario capital markets activities. The form also contains an area for management certification attesting to the accuracy and completeness of the information provided.
PDF Version |
Form 13-503F2
This form is to be used by registrant firms that filed their participation fee on Form 13-503F1 using a good faith estimate as a result of their financial statements not being available at the time their participation fee was due. This Form calculates the balance owing or refund due when calculating the participation fee owing compared to the participation fee paid on Form 13-503F1.
PDF Version |
Form 31-101F1
This form is to be used by firms that have elected to use the National Registration System.
PDF Version |
Form 31-101F2
This form is to be used by firms that have elected to use the National Registration System and have changed their principal regulator.
PDF Version |
Form 33-109F1 Notice of Termination
This form is to be used for all terminations and must be filed within 5 days of the effective date of the termination.
PDF Version |
Form 33-109F2 Change or Surrender of Individual Categories
This form must be completed for any individual seeking to change or surrender any registration categories they might hold.
PDF Version |
Form 33-109F3 Business Locations other than Head Office
This form is to be used for the opening, closing or change of information for all business locations other than head office addresses.
PDF Version |
Form 33-109F4 Registration Information for an Individual
This form is to be used by every individual applicant seeking registration from the Commission as a partner, officer, director, salesperson or representative of a Dealer or Adviser.
PDF Version |
Form 33-109F5 Change of Registration Information
This notice must be submitted when notifying a regulator of changes to Form 3 information in accordance with MI 33-109.
PDF Version |
Collection of Personal Information under the Freedom of Information and Protection of Privacy Act forms:
This contains two forms:
- Appendix A of OSC Rule 31-504 - Application for Registration. This form is to be used with Form 3 applications.
- Appendix B of OSC Rule 31-504 - Application for Registration. This form is no longer required to be submitted by applicants as it is now included in the new forms under Multilateral Instrument 33-109.
PDF Version |
RCMP Records/Request Form
Please note that this form is no longer requried to be submitted with Form 33-109F4 applications.
PDF Version
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Salespersons Transfer Notice Form
This form is to be used by Salespersons applying for a transfer of registration within three months of leaving the last sponsoring firm and applying for registration in the same jurisdiction and the same category of registration with the last sponsoring firm.
PDF Version
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United Nations Suppression of Terrorism and United Nations Act Sanctions Reporting Requirements & Forms
Monthly Reporting and other requirements relating to terrorist financing and United Nations Act sanctions on certain countries under the:
- Criminal Code
- Regulations Implementing the United Nations Resolutions on the Suppression of Terrorism
- United Nations Al-Qaida and Taliban Regulations
- Regulations Implementing the United Nations Resolution on the Democratic People’s Republic of Korea
- Regulations Implementing the United Nations Resolution on Iran
Notice to registrants regarding reporting requirements.
PDF Version (Long Form Version - Terrorist Financing)
PDF Version (Short Form Version - Terrorist Financing)
PDF Version (Long Form Version - Sanctions)
PDF Version (Short Form Version - Sanctions)
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Form of Submission to Jurisdiction and Appointment of Agent for Service of Process for a Non-Resident Business
The form is to be used by firms (registrants) that are not a resident of Ontario. The form can be printed and completed manually (by pen).
PDF Version
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If you require assistance with our registration forms, please call the Registration Section at (416) 593-8269.
OSC Rule 13-502 Fees prescribes corporate finance participation fees payable by issuers, as well as activity fees. The following forms are required to be filed by reporting issuers. To review OSC Rule 13-502 click here.
To see Appendix A to the Rule, which lists the Participation Fee payable according to market capitalization, click here. |
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Form 13-502F1
This form must be used by Class 1 Reporting Issuers to determine their total capitalization which is then used to calculate the Participation Fee owing. Please refer to OSC Rule 13-502 for the definition of a Class 1 Reporting Issuer.
HTML Version |
Form 13-502F2
This form must be used by Class 2 Reporting Issuers to determine their total capitalization which is then used to calculate the Participation Fee owing. Please refer to OSC Rule 13-502 for the definition of a Class 2 Reporting Issuer.
HTML Version |
Form 13-502F2A
This form must be used by Class 2 Reporting Issuers for an adjustment to the Participation Fee that was estimated at the time of payment. Please refer to OSC Rule 13-502 for further information.
HTML Version |
Form 13-502F3A
This form must be used by Class 3A Reporting Issuers to determine their total capitalization which is then used to calculate the Participation Fee owing. Please refer to OSC Rule 13-502 for the definition of a Class 3A Reporting Isuer.
HTML Version |
Form 13-502F3B
This form must be used by Class 3B Reporting Issuers to determine their total capitalization which is then used to calculate the Participation Fee owing. Please refer to OSC Rule 13-502 for the definition of a Class 3B Reporting Issuer.
HTML Version |
Form 13-502F3C
This form must be used by Class 3C Reporting Issuers to determine their total capitalization which is then used to calculate the Participation Fee owing. Please refer to OSC Rule 13-502 for the definition of a Class 3C Reporting Isser.
HTML Version |
Form 13-502F6
This form must be used by Reporting Issuers to provide notice of exemption from the payment of Participation Fee for a subsidiary entity. Please refer to OSC Rule 13-502 for further information.
HTML Version |
Form 45-102F1
This form is to be used for Notice of Intention to Distribute Securities under Section 2.8 of MI 45-102 Resale of Securities
HTML Version |
Form 45-106F1
This form is to be used to report a distribution under the following exemptions in National Instrument 45-106 Prospectus and Registration Exemptions:
(a) section 2.3(2) [Accredited investor];
(b) section 2.10(2) [Minimum amount investment];
(c) section 2.12(2) [Asset acquisition];
(d) section 2.13(2) [Petroleum, natural gas and mining properties];
(e) section 2.14(2) [Securities for debt];
(f) section 2.19(2) [Additional investment in investment funds];
(g) section 2.30(2) [Isolated trade by issuer].
PDF Version |
Form 45-501F1
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This form is to be used to report a distribution under the exemption in section 2.1 [Government incentive security] of OSC Rule 45-501 Ontario Prospectus and Registration Exemptions.
PDF Version
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Form 52-109F1 - Certification of Annual Filings
Form 52-109FT1 - Certification of Annual Filings during Transition Period
Form 52-109F2 - Certification of Interim Filings
Form 52-109FT2 - Certification of Interim Filings during Transition Period
If you require assistance, please call the Inquiries Contact Centre at 416-593-8314 (local Toronto calling area) or using our Toll-Free number (throughout Canada) at 1-877-785-1555.
Complaint Form
You may make a complaint by completing the form below and clicking "submit". Otherwise, you may also direct your complaint to the OSC Contact Centre by calling 416-593-8314 or 877-785-1555 (Toll Free).
Online Version |
Investor Education Brochures Order Form
With this form, you can order a variety of OSC and CSA investor education brochures.
Online Version |
Please note the following
Using PDF Forms
These forms are being provided to you for your convenience in PDF. To use the forms correctly you must have Adobe Reader 6.0+ installed.
Here is a link to the latest version. |
Helpful tips on completing the Forms
| Prior to entering the data in the forms, click on the Clear Button located on the first page of the forms. |
| Use the TAB key or Mouse to go to the next item of the forms. |
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