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	NI 24-101 Institutional Trade Matching and Settlement - Online Exception Reporting (clicking this link takes you out of the OSC website and to the CSA website)
	Registration Forms
	Reporting Issuer Forms
	Complaint Form
	United Nations Suppression of Terrorism and United Nations Act Sanctions Reporting Requirements & Forms
	Other Forms
	Helpful tips on completing the forms

Registration Forms

Renewal Application/Surrender of Registration and Form 13-502F4 – Capital Markets Participation Fee Calculation

Registrant firms registered under the Securities Act must complete this form electronically to apply for renewal or surrender their registration. If applying to renew, you must 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. Registrant firms registered under both the Securities Act and the Commodity Futures Act are required to file this form only. Online Form PDF Version (for reference only)

Adjusted Form 13-502F4 and completed Form 13-502F5

Firms registered under the Securities Act who provided a Form 13-502F4 based on estimated revenues, must complete these forms electronically within 90 days of their fiscal year end only if their participation fee payable has changed. Firms registered under both the Securities Act and the Commodity Futures Act are required to file this form only. Online Form

Renewal Application/Surrender of Registration and 13-503F1 – Participation Fee Calculation

Registrant firms registered under the Commodity Futures Act must complete this form electronically to apply for renewal or surrender their registration. If applying to renew, you must 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. Online Form PDF Version (for reference only)

Adjusted Form 13-503F1 and completed Form 13-503F2

Firms registered under the Commodity Futures Act who provided a Form 13-503F1 based on estimated revenues must complete these forms electronically within 90 days of their fiscal year end only if their participation fee payable has changed. Online Form

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

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

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)

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

If you require assistance with our registration forms, please call the Registration Section at (416) 593-8269.

Reporting Issuer Forms

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.

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 PDF 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 PDF 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 PDF 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 PDF 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 PDF 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 PDF 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 41-101

This form, to be submitted in PDF format, may be required under Part 9 of NI 41-101 or Part 4 of NI 44-101 in connection with an issuer's filing of a prospectus. This form may also be required under Part 4 of NP 12-202 in connection with an application to revoke a compliance-related cease trade order. Word 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

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

Form 52-109F1 - Certification of Annual Filings - Full Certificate

Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. HTML Version

Form 52-109FV1 - Certification of Annual Filings - Venture Issuer Basic Certificate

Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. HTML Version

Form 52-109F1 - IPO/RTO - Certification of Annual Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer

Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. HTML Version

Form 52-109F1R - Certification of Refiled Annual Filings

Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. HTML Version

Form 52-109F1 - AIF - Certification of Annual Filings in Connection with Voluntarily Filed AIF

Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. HTML Version

Form 52-109F2 - Certification of Interim Filings - Full Certificate

Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. HTML Version

Form 52-109FV2 - Certification of Interim Filings - Venture Issuer Basic Certificate

Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. HTML Version

Form 52-109F2 - IPO/RTO - Certification of Interim Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer

Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. HTML Version

Form 52-109F2R - Certification of Refiled Interim Filings

Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. HTML Version

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.

Other Forms

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

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