Industry

Registration forms and other related notices

The following forms and documents are required to be completed and filed with the Ontario Securities Commission (OSC) under the Securities Act (Ontario) or the Commodity Futures Act (Ontario). You may need to consider whether you are, or your firm is, required to submit information with other jurisdictions.

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

Where a fee is due with any of the filings below or for annual participation fees, please refer to further instructions on paying registrant-related fees.


Firms


Form Use this form to: Submission method
Form 33-109F6/Form 33-506F6 Firm Registration
  • Apply for initial registration as a dealer, adviser or investment fund manager
  • Apply to add a category or jurisdiction to an existing registration
Complete the relevant form and submit a copy online.

PDF: Form 33-109F6

PDF: Form 33-506F6
Form 33-109F3/Form 33-506F3 Business Locations other than Head Office
  • Notify the OSC of the opening of, or any change to, a business location of the firm
NRD

PDF: Form 33-109F3 *
Form 33-109F5/Form 33-506F5 Change of Information
  • Notify the OSC of a change to previously submitted registration information
  • * For a change to insurance information, refer to the Insurance information section below for instructions
Complete the relevant form and submit a copy online.

PDF: Form 33-109F5

PDF: Form 33-506F5
Insurance information
  • Notify the OSC of a change in, claim made under, or cancellation of an insurance policy (including renewal of an existing policy)
Online form
Monthly Suppression of Terrorism and UN Sanctions Reporting
  • Consolidated CSA reporting form for all firms to use in complying with their monthly reporting obligations under the Criminal Code, UN SupTerror, the UN Al-Qaida, the UN NKorea and the UN Iran
Online form
Voluntary surrender
  • Notify the OSC of an application by a firm to voluntarily surrender registration
Submit documents online
Form or document required to be filed or delivered with respect to terms and conditions
  • Submit any forms or documents required to filed or delivered with respect to terms and conditions imposed on a registrant firm's registration.
Complete the relevant form or document and submit a copy online.


Individuals


Form Use this form to: Submission method
Form 33-109F1/Form 33-506F1 Notice of Termination of Registered Individuals and Permitted Individuals
  • Notify the OSC of the termination of a registered or permitted individual’s authority to act on behalf of the firm
NRD

PDF: Form 33-109F1 *
Form 33-109F2/Form 33-506F2 Change or Surrender of Individual Categories
  • Apply for registration or approval in an additional category
  • Surrender a category while maintaining registration in one or more other categories
NRD

PDF: Form 33-109F2 *
Form 33-109F4/Form 33-506F4 Registration of Individuals and Review of Permitted Individuals
  • Apply for registration in individual categories or review as a permitted individual
NRD

PDF: Form 33-109F4 *
Form 33-109F5/Form 33-506F5 Change of Information
  • Notify the OSC of a change to previously submitted registration information
NRD

PDF: Form 33-109F5 *
Form 33-109F7/Form 33-506F7 Reinstatement of Registered Individuals and Permitted Individuals
  • Transfer individual’s registration between sponsoring firms or reinstate an individual’s registration or a permitted individual status
NRD

PDF: Form 33-109F7 *

* PDF form provided for reference purposes only. All filings must be made on NRD.



Funding Portals

The following forms and documents apply to a registrant operating as a registered dealer funding portal or restricted dealer funding portal under Multilateral Instrument 45-108 Crowdfunding (MI 45-108).

Form Use this form to: Submission method
Notification by funding portal regarding termination of a distribution pursuant to s. 38(1) of MI 45-108 Crowdfunding
  • Notify the OSC if, at any time during the distribution period, the funding portal terminates a distribution pursuant to subsection 28(2) Denial of issuer access and termination of MI 45-108.
Prepare the notification and submit the notification online.
Report required to be delivered by a funding portal pursuant to s. 38(2) of MI 45-108 Crowdfunding
  • Deliver a report to the OSC within 30 days of the end of the second and fourth quarters of the funding portal’s financial year containing information required under subsection 38(2) of MI 45-108.
Prepare the report and submit the report online.


Capital and financial requirements

Form Use this form to: Submission method
Form 31-103F1 Calculation of Excess Working Capital

Annual financial statements, interim financial information and other financial information

Repayment of a subordinated loan or termination of a subordination agreement

Form 31-103F4 Net Asset Value Adjustments
  • Determine and notify the OSC of a firm’s excess working capital as at the end of a financial year or interim period
  • Deliver required financial information to the OSC
  • Notify the OSC of a repayment of a subordinated loan or termination of a subordination agreement
  • Notify the OSC of a net asset value (NAV) adjustment made in respect of an investment fund managed by the investment fund manager in accordance with paragraph 12.14(1)(c) or paragraph 12.14(2)(c) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Online form

PDF: Form 31-103F1**

PDF: Form 31-103F4**
Subordination Agreements
  • Notify the OSC that a firm has executed a subordinated loan agreement and relying on it for the purposes of Form 31-103F1 Calculation of Excess Working Capital
Online form

Appendix B - Subordination Agreement
Capital deficiency
  • Notify the OSC of a capital deficiency (i.e. excess working capital of a registered firm is less than zero)
E-mail to registration@osc.gov.on.ca

** PDF form provided for reference purposes only. All filings must be made using the online form.



Participation Fees

Form Use this form to: Submission method
Form 13-502F4
for firms registered under the Securities Act or under both the Securities Act and Commodity Futures Act

Form 13-503F1
for firms registered only under the Commodity Futures Act
  • Determine and notify the OSC of participation fees payable.
  • All registered firms, unregistered exempt international firms and unregistered investment fund managers must complete this form by December 1 each year.
Form 13-502F4: Online form

PDF: Form 13-502F4**


Form 13-503F1: Online form

PDF: Form 13-503F1**
Adjusted Form 13-502F4 and Form 13-502F5 Adjustment of Fee for Registrant Firms and Unregistered Exempt International Firms / Adjusted Form 13-503F1 and completed Form 13-503F2 Adjustment of Fee Payment

  • Determine and notify the OSC of adjusted participation fees payable. Firms who provided a Form 13-502F4 or Form 13-503F1 (above) 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
Adjusted Form 13-502F4 and Form 13-502F5: Online form

PDF: Form 13-502F4-F5**


Adjusted Form 13-503F1 and Form 13-503F2: Online form

PDF: Form 13-503F1-F2**


Exemptions and applications for exemptive relief

The following forms and documents are required in order to rely on certain exemptions available under the Securities Act or Commodity Futures Act or to apply for exemptive relief from certain registration requirements under the Securities Act or Commodity Futures Act:

Form Use this form to: Submission method
Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
  • Notify the OSC of reliance on the exemption from the registration requirement under sections 8.18 International Dealer and 8.26 International Adviser of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Complete the form and submit a copy online.
Notification to OSC that a firm is no longer relying on an exemption from registration requirements
  • Notify the OSC that a firm is no longer relying on the exemption from the registration requirement under sections 8.18 International Dealer and/or 8.26 International Adviser of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
  • Notify the OSC that a firm is no longer relying on the exemption from the investment fund manager registration available under section 4 of Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Manager
Prepare the notification and submit online.
Form 31-103F3 Use of Mobility Exemption
  • Notify the OSC of an individual’s reliance on an exemption from the registration requirement under section 2.2 Client mobility exemption - individuals
Complete the form and submit a copy online.
Form 32-102F1 Submission to Jurisdiction and Appointment of Agent for Service for International Fund Manager
  • Notify the OSC of reliance on the permitted client exemption for international investment fund managers under section 4 Permitted clients
Complete the form and submit a copy online.
Form 32-102F2 Notice of Regulatory Action
  • Notify the OSC of reliance on the permitted client exemption for international investment fund managers under section 4 Permitted clients
Complete the form and submit a copy online.
Reliance on exemption from investment fund manager registration under Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Managers
  • Notify the OSC of reliance on the permitted client exemption for international investment fund managers under section 4 Permitted clients
  • Notify the OSC of the total assets under management attributable to securities beneficially owned by residents of Ontario as at the most recently completed month.
  • Unregistered international investment fund managers must complete this form by December 1 each year
Prepare the notification and submit on-line.
Form 32-505F1 Information Report for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario
  • Notify the OSC of reliance on the exemptions from registration for United States Broker-Dealers and Advisers under OSC Rule 32-505 Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario
Complete the relevant form and submit a copy online.

Form 32-505F1
Form 35-101F1/Form 35-101F2 Form of Submission to Jurisdiction and Appointment of Agent of Service of Process by Agents of the Broker Dealer
  • To notify the OSC of United States Broker-Dealers and Agent’s reliance on the exemptions from registration under National Instrument 35-101 Conditional Exemption from Registration for United States Broker Dealers and Agents
Complete the relevant form and submit a copy online.

Form 35-101F1

Form 35-101F2
Forms 45-106F1 Report of Exempt Distribution
  • Report a distribution under the exemptions in National Instrument 45-106 Prospectus and Registration Exemptions and OSC Rule 45-501 Ontario Prospectus and Registration Exemptions

Complete the relevant online form and submit a copy using the appropriate link below.

Report of Exempt Distribution

Application for exemptive relief and notices under sections 11.9 and 11.10 of NI 31-103
  • Apply for exemptive relief from an eligible securities section or file a notice under sections 11.9 and 11.10 of NI 31-103
Online form
Application pre-filing
  • Make a pre-filing
Online form
Form or document required to be filed or delivered with respect to orders, rulings and decisions issued by the Commission
  • Submit any forms or documents required to filed or delivered with respect to any orders, rulings and decisions issued by the Commission
Complete the relevant form or document and submit a copy online.