Securities Law & Instruments


Registration Forms


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

<><><>
Form 13-502F4 - Capital Markets Participation Fee Calculation
Firms registered under the Securities Act or under both the Securities Act and Commodity Futures Act must complete this form by December 1 each year.

The online Form 13-502F4, to be submitted to the OSC by December 1, 2012.

Online Form

PDF Version (Firms registered under the Securities Act or under both the Securities Act and Commodity Futures Act may use this form for drafting purposes in order to complete the online form above by December 1.)
Adjusted Form 13-502F4 and completed Form 13-502F5 (2012)
Firms registered under the Securities Act and unregistered international exempt firms who provided a Form 13-502F4 in December 2012 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
Form 13-503F1 - Participation Fee Calculation
Firms registered only under the Commodity Futures Act must complete this form by December 1 each year.

Online Form
Adjusted Form 13-503F1 and completed Form 13-503F2 (2012)
Firms registered under the Commodity Futures Act who provided a Form 13-503F1 in December 2012 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 13-502F5
This form is to be used by registrant firms and international exempt firms that filed their participation 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 13-503F2
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 31-103F1 Calculation of Excess Working Capital
This form is to be used by a dealer, adviser or an investment fund manager to deliver financial information to the regulators, as per Part 12 Financial Condition of National Instrument 31-103 Registration Requirements and Exemptions.

PDF Version
Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
This form is to be used by a person or company to advise the regulators on its reliance to an exemption from the registration requirement as per 8.18 International Dealer and 8.26 International Adviser of National Instrument 31-103 Registration Requirements and Exemptions.

PDF Version
Form 31-103F3 Use of Mobility Exemption
This form is to be used by an individual to notify the regulators of reliance to an exemption from the registration requirement as per 2.2 Client mobility exemption - individuals of National Instrument 31-103 Registration Requirements and Exemption .

PDF Version
Form 32-102F1 Submission to Jurisdiction and Appointment of Agent for Service for International Fund Manager
This form is to be used by a person or company to advise the regulators of its reliance on the permitted client exemption for international investment fund managers as per section 4 Permitted clients of Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Managers

PDF Version
Form 32-102F2 Notice of Regulatory Action
This form is to be used by a person or company to advise the regulators of its reliance on the permitted client exemption for international investment fund managers as per section 4 Permitted clients of Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Managers

PDF Version
Form 33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals
This form is to be used to notify the regulators of the termination of a registered or permitted individual’s authority to act on behalf of the firm. This form is to be used for individuals registered or approved under the Securities Act (Ontario).

PDF Version
Form 33-109F2 - Change or Surrender of Individual Categories
This form is to be used to apply for registration or review in an additional category or to surrender a category. However, if an individual has ceased to have authority to act on behalf of their sponsoring firm as a registered or permitted individual in the last jurisdiction of Canada where the individual was so acting, Form 33-109F1 must be submitted. This form is to be used for individuals registered or approved under the Securities Act (Ontario).

PDF Version
Form 33-109F3 - Business Locations other than Head Office
This form is to be used to disclose each business location of the firm and any change in location. This form is to be used for firms registered under the Securities Act (Ontario).

PDF Version
Form 33-109F4 - Registration of Individuals and Review of Permitted Individuals
This form is to be used to apply for registration or review as a permitted individual under the Securities Act (Ontario). This form is used in the following circumstances:

  • Initial Registration, when an individual is seeking registration, or review as a permitted individual, through NRD for the first time.
  • Registration in an Additional Jurisdiction, when an individual is registered or is a permitted individual in a jurisdiction of Canada and is seeking registration, or review as a permitted individual, in an additional jurisdiction.
  • Registration with an Additional Sponsoring Firm, when an individual is registered, or is a permitted individual, on behalf of one sponsoring firm and applies for registration, or seeks review as a permitted individual, to act on behalf of an additional sponsoring firm.
  • Reactivation of Registration, when an individual who has a NRD record is applying for registration or reactivation of registration 90 days after the individual ceased to have authority to act for a firm.
PDF Version
Form 33-109F5 - Change of Information
This form is to be used to advise regulators when there is a change to previously submitted registration information for the firm or a registered or permitted individual under the Securities Act (Ontario).

PDF Version
Form 33-109F6 - Firm Registration
This form is to be used to apply for registration as a dealer, adviser or investment fund manager under the Securities Act (Ontario).

The requirement to register

The requirement to register is found in securities legislation of each jurisdiction. Firms must register if they are:

  • in the business of trading
  • in the business of advising
  • holding themselves out as being in the business of trading or advising
  • acting as an underwriter, or
  • acting as an investment fund manager
Factors for determining whether a firm is in the business of trading or advising in securities is described in the section 1.3 of the Companion Policy NI 31-103CP.

Completing Form 33-109F6 Firm Registration

Instructions for completing the Form 33-109F6 Firm Registration are found within the form. It is important to follow the instructions carefully. Your application may be returned if it is not properly completed, or if all of the necessary documents have not been submitted.

When using the electronic PDF Form 33-109F6, you may download the PDF version of Parts 1-9 of the Form 33-109F6 by double clicking directly on the Part of the Form that you wish to complete. Each Part of the Form must be downloaded and saved to your computer. You cannot save the form on the OSC website.

It is an offence under securities legislation or derivatives legislation to give false or misleading information on this form.

Submitting the form

You must submit a completed F6. A completed F6 includes all nine parts and supporting documents where required. You may submit this form by mail, email or fax to the firm’s principal regulator or relevant SRO.

You can find contact information for submitting and filing the form in Appendix A of Companion Policy 33-109CP Registration Information.

Disclaimer

The electronic version of the form is made available through this website for convenience only. The form provided as a non-commercial public service and may be used only for complying with the registration requirement under securities legislation. They are provide “AS IS” and “AS Available” without any representations, warranties or conditions, whether expressed or implied, including warranties or conditions of merchantability or fitness for a particular purpose. A firm seeking registration or any representative of the firm seeking registration is solely responsible for their use of the Forms and the submission of the completed form through this service.

The securities regulatory authorities and their respective members, commissioners, officers, staff, agents and service providers are not responsible or liable for the unavailability of the form, the service or the website, or for any damages which may arise from a registrant’s use of the form, the service or the website.

Online PDF Form

PDF Version
Form 33-109F7 - Reinstatement of Registered Individuals and Permitted Individuals
This form is to be used to reinstate an individual’s registration or a permitted individual status under the Securities Act (Ontario).

PDF Version
Form 33-506F1 - Notice of Termination of Registered Individuals and Permitted Individuals
This form is to be used to notify the regulators of the termination of a registered or permitted individual’s authority to act on behalf of the firm. This form is to be used for individuals registered or approved under the Commodity Futures Act.

PDF Version
Form 33-506F2 - Change or Surrender of Individual Categories
This form is to be used to apply for registration or review in an additional category or to surrender a category. However, if an individual has ceased to have authority to act on behalf of their sponsoring firm as a registered or permitted individual in the last jurisdiction of Canada where the individual was so acting, Form 33-109F1 must be submitted. This form is to be used for individuals registered or approved under the Commodity Futures Act.

PDF Version
Form 33-506F3 - Business Locations other than Head Office
This form is to be used to disclose each business location of the firm and any change in location. This form is to be used for firms registered under the Commodity Futures Act.

PDF Version
Form 33-506F4 - Registration of Individuals and Review of Permitted Individuals
This form is to be used to apply for registration or review as a permitted individual under the Commodity Futures Act. This form is used in the following circumstances:

  • Initial Registration, when an individual is seeking registration, or review as a permitted individual, through NRD for the first time.
  • Registration in an Additional Jurisdiction, when an individual is registered or is a permitted individual in a jurisdiction of Canada and is seeking registration, or review as a permitted individual, in an additional jurisdiction.
  • Registration with an Additional Sponsoring Firm, when an individual is registered, or is a permitted individual, on behalf of one sponsoring firm and applies for registration, or seeks review as a permitted individual, to act on behalf of an additional sponsoring firm.
  • Reactivation of Registration, when an individual who has a NRD record is applying for registration or reactivation of registration 90 days after the individual ceased to have authority to act for a firm.

PDF Version
Form 33-506F5 - Change of Information
This form is to be used to advise regulators when there is a change to previously submitted registration information for the firm or a registered or permitted individual under the Commodity Futures Act.

PDF Version
Form 33-506F6 - Firm Registration
This form is to be used to apply for registration as a dealer or adviser under the Commodity Futures Act.

PDF Version
Form 33-506F7 - Reinstatement of Registered Individuals and Permitted Individuals
This form is to be used to reinstate an individual’s registration or a permitted individual status under the Commodity Futures Act (Ontario).

PDF Version