Securities Law & Instruments
Reporting Issuer and Issuer Forms
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| 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 |
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| 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. PDF Version |
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Form 13-502F2 |
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| 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. PDF Version |
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Form 13-502F2A |
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| 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. PDF Version |
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Form 13-502F3A |
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| 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. PDF Version |
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Form 13-502F3B |
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| 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. PDF Version |
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Form 13-502F3C |
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| 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. PDF Version |
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Form 13-502F6 |
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| 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. PDF Version |
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Form 41-101 PIF (Personal Information Form) |
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| 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 |
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Form 45-102F1 |
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| This form is to be used for Notice of Intention to Distribute Securities under Section 2.8 of NI 45-102 Resale of Securities HTML Version |
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Form 45-106F1 |
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| 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(1) [Accredited investor]; (b) section 2.10(1) [Minimum amount investment]; (c) section 2.12 [Asset acquisition]; (d) section 2.13 [Petroleum, natural gas and mining properties]; (e) section 2.14 [Securities for debt]; (f) section 2.19 [Additional investment in investment funds]; (g) section 2.30 [Isolated trade by issuer]. PDF Version We have also provided electronic versions of the form for issuers that wish to file the report of exempt distribution electronically. E-Form 45-106F1 for Non-Investment Fund Issuer E-Form 45-106F1 for Investment Fund Issuer |
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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. |
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Form 52-109F1 - Certification of Annual Filings - Full Certificate |
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| 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. For financial years beginning on or after January 1, 2011: HTML Version For financial years beginning before January 1, 2011: HTML Version |
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Form 52-109FV1 - Certification of Annual Filings - Venture Issuer Basic Certificate |
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| 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. For financial years beginning on or after January 1, 2011: HTML Version For financial years beginning before January 1, 2011: HTML Version |
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Form 52-109F1 - IPO/RTO - Certification of Annual Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer |
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| 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. For financial years beginning on or after January 1, 2011: HTML Version For financial years beginning before January 1, 2011: HTML Version |
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Form 52-109F1R - Certification of Refiled Annual Filings |
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| 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. For financial years beginning on or after January 1, 2011: HTML Version For financial years beginning before January 1, 2011: HTML Version |
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Form 52-109F1 - AIF - Certification of Annual Filings in Connection with Voluntarily Filed AIF |
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| 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. For financial years beginning on or after January 1, 2011: HTML Version For financial years beginning before January 1, 2011: HTML Version |
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Form 52-109F2 - Certification of Interim Filings - Full Certificate |
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| 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. For financial years beginning on or after January 1, 2011: HTML Version For financial years beginning before January 1, 2011: HTML Version |
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Form 52-109FV2 - Certification of Interim Filings - Venture Issuer Basic Certificate |
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| 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. For financial years beginning on or after January 1, 2011: HTML Version For financial years beginning before January 1, 2011: HTML Version |
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Form 52-109F2 - IPO/RTO - Certification of Interim Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer |
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| 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. For financial years beginning on or after January 1, 2011: HTML Version For financial years beginning before January 1, 2011: HTML Version |
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Form 52-109F2R - Certification of Refiled Interim Filings |
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| 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. For financial years beginning on or after January 1, 2011: HTML Version For financial years beginning before January 1, 2011: HTML Version |
