Securities Law & Instruments

Reporting Issuer and Issuer Forms


If you require assistance, please contact us.

For further filing instructions in Ontario please refer to the OSC's electronic filing portal.


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 and 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 1 and Class 3B Reporting Issuer.

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.

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.

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.

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.

PDF Version

Form 41-101 PIF (Personal Information Form)
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 NI 45-102 Resale of Securities

HTML Version

Form 45-106F1
This form is to be used to report a distribution under the following exemptions:
  • NI 45-106 section 2.9 [Offering memorandum]
  • NI 45-106-section 2.3 [Accredited investor];
  • NI 45-106 section 2.5 [Family, friends and business associates]
  • NI 45-106 section 2.10 [Minimum amount investment];
  • NI 45-106 section 2.12 [Asset acquisition];
  • NI 45-106 section 2.13 [Petroleum, natural gas and mining properties];
  • NI 45-106 section 2.14 [Securities for debt];
  • NI 45-106 section 2.19 [Additional investment in investment funds];
  • NI 45-106 section 2.30 [Isolated trade by issuer]
  • OSC Rule 45-501 section 2.9 [Existing security holder]
  • MI 45-108 [Crowdfunding]

Under OSC Rule 11-501 Electronic Delivery of Documents to the Ontario Securities Commission, Form 45-106F1 is required to be filed electronically through the links provided below.

E-Form 45-106F1 for Non-Investment Fund Issuer
E-Form 45-106F1 for Investment Fund Issuer

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.

For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
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.

For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
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.

For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
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.

For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
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.

For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
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.

For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
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.

For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
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.

For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
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.

For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version