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Securities Law

Forms

1 – Procedure & Related Matters

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11-901F Securities Regulation Fee Checklist [F]
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2024-04-08
15-601F Summons to Attend before Commission [BCF]
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15-901F Summons to Attend before an Investigator Under Section 144 [BCF]
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2014-03-18
15-902F Demand for Production under Section 144 [BCF]
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2014-03-18
15-903F Affidavit of Service [BCF]
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2001-03-15
15-904F Endorsement Of Warrant [BCF]
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2001-04-26
15-905F Schedule [F]
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2021-07-16
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2 – Certain Capital Market Participants

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21-101F1 Information Statement Exchange or Quotation and Trade Reporting System [F]
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2020-09-14
21-101F2 Information Statement Alternative Trading System [F]
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2020-09-14
21-101F3 Quarterly Report of Marketplace Activities [F]
PDF
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2020-09-14
21-101F4 Cessation of Operations Report for Alternative Trading System [F]
Word
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2015-10-01
21-101F5 Information Statement Information Processor [F]
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2020-09-14
21-101F6 Cessation Of Operations Report For Information Processor [F]
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2015-10-01
24-101F1 Registered Firm Exception Report of DAP/RAP Trade Reporting and Matching [F]
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2017-09-05
24-101F2 Clearing Agency Quarterly Operations Report of Institutional Trade Reporting and Matching [F]
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2017-09-05
24-101F3 Matching Service Utility Notice of Operations [F]
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2017-09-05
24-101F4 Matching Service Utility Notice of Cessation of Operations [F]
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2017-09-05
24-101F5 Matching Service Utility Quarterly Operations Report of Institutional Trade Reporting and Matching [F]
PDF
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Word
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2017-09-05
24-102F1 Clearing Agency Submission to Jurisdiction and Appointment of Agent for Service of Process [F]
PDF
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2020-06-19
24-102F2 Cessation of Operations Report for Clearing Agency [F]
PDF
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2020-06-19
25-101F1 Designated Rating Organization Application and Annual Filing [F]
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2012-04-20
25-101F2 Submission to Jurisdiction and Appointment of Agent for Service of Process [F]
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2012-04-20
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3 – Registration Requirements & Related Matters

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31-103F1 Calculation of Excess Working Capital [F]
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2023-09-13
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F]
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Word
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2015-01-11
31-103F3 Use of Mobility Exemption [F]
PDF
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2015-01-11
31-103F4 Net Asset Value Adjustments [F]
PDF
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2015-01-11
33-109F1 Notice of End of Individual Registration or Permitted Individual Status [F]
PDF
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2022-06-06
33-109F2 Change or Surrender of Individual Categories [F]
PDF
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2022-06-06
33-109F3 Business Locations Other than Head Office [F]
PDF
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2022-06-06
33-109F4 Registration of Individuals and Review of Permitted Individuals [F]
PDF
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2022-06-06
33-109F5 Change of Registration Information [F]
PDF
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2022-06-06
33-109F6 Firm Registration [F]
PDF
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2023-09-13
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F]
PDF
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2022-06-06
33-902F Joint Regulatory Financial Questionnaire and Report [F]
PDF
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Word
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2001-03-28
33-903F Report Of Risk Adjusted Capital [F]
PDF
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2001-03-28
33-904F Subordination Agreement [F]
PDF
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Word
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2001-03-28
33-905F Report of working capital [F]
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Word
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2001-03-28
33-906F Statement of Financial Condition (Audited) [F]
PDF
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2005-06-01
35-101F1 Form Of Submission To Jurisdiction And Appointment Of Agent For Service Of Process By Broker-Dealer [F]
PDF
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Word
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2001-01-01
35-101F2 Form Of Submission To Jurisdiction And Appointment Of Agent For Service Of Process By Agents Of The Broker-Dealer [F]
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2001-01-01
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4 – Distribution Requirements

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41-101F1 Information Required in a Prospectus [F]
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2024-04-16
41-101F2 Information Required in an Investment Fund Prospectus [F]
PDF
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2023-06-09
41-101F3 Information Required in a Scholarship Plan Prospectus [F]
PDF
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2023-06-09
41-101F4 Information Required in an ETF Facts Document [F]
PDF
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2022-01-06
41-101F-Appendix A Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information (Appendix A) [F]
Word
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2013-08-13
41-101F-Appendix B Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process (Appendix B) [F]
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2013-08-13
41-101F-Appendix C Non-Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process (Appendix C) [F]
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2013-08-13
43-101F1 Technical Report [F]
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2011-06-30
44-101F1 Short Form Prospectus [F]
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2024-04-16
45-102F1 Notice of Intention to Distribute Securities under Section 2.8 of NI 45-102 Resale of Securities [F]
PDF
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2023-06-09
45-106F1 Report of Exempt Distribution [F]
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2023-06-09
45-106F2 Offering Memorandum for Non-Qualifying Issuers [F]
PDF
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2023-03-08
45-106F3 Offering Memorandum for Qualifying Issuers [F]
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2023-06-09
45-106F4 Risk Acknowledgement [F]
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2023-03-08
45-106F5 Risk Acknowledgement Saskatchewan Close Personal Friends and Close Business Associates [F]
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2009-09-28
45-106F7 Information Memorandum for Short-term Securitized Products Distributed under Section 2.35.1 [F]
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2015-05-05
45-106F8 Monthly Disclosure Report for Short-term Securitized Products Distributed under Section 2.35.1 [F]
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2015-05-05
45-106F9 Form for Individual Accredited Investors [F]
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2015-05-05
45-106F12 Risk Acknowledgement Form for Family, Friend and Business Associate Investors [F]
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2016-05-05
45-106F14 Rights Offering Notice for Reporting Issuers [F]
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2023-06-09
45-106F15 Rights Offering Circular for Reporting Issuers [F]
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2023-06-09
45-106F16 Notice of Use of Proceeds [F]
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2016-04-30
45-106F17 Notice of Specified Key Events [F]
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2016-04-30
45-106F18 Supplemental Offering Memorandum Disclosure for Syndicated Mortgages [F]
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Word
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2023-03-08
45-106F19 Listed Issuer Financing Document [F]
PDF
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2023-06-09
45-110F1 Offering Document [F]
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2021-09-21
45-110F2 Risk Acknowledgement [F]
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2021-09-21
45-110F3 Funding Portal Information [F]
PDF
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2021-09-21
45-110F4 Portal Individual Information [F]
PDF
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2021-09-21
45-110F5 Semi-Annual Financial Resources Certification [F]
PDF
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2021-09-21
45-505F1 Notice of Intention to Rely on BC Instrument 45-505 [F]
Word
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PDF
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2016-06-30
45-505F2 Report Of Exempt Distribution in Respect of Eligible Pooled Funds [F]
Word
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PDF
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2016-06-30
45-512 Real Estate Securities [F]
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2023-03-08
46-201F1 Escrow Agreement [F]
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2015-11-17
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5 – Ongoing Requirements for Issuers & Insiders

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51-101F1 Statement of Reserves Data and Other Oil and Gas Information [F]
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2015-07-01
51-101F2 Report on Reserves Data by Independent Qualified Reserves Evaluator or Auditor [F]
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Word
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2015-07-01
51-101F3 Report of Management and Directors on Oil and Gas Disclosure [F]
PDF
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Word
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2015-07-01
51-101F4 Notice of Filing of 51-101F1 Information [F]
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2023-06-09
51-101F5 Notice of Ceasing to Engage in Oil and Gas Activities [F]
PDF
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Word
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2015-07-01
51-102F1 Management’s Discussion & Analysis [F]
PDF
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2023-06-09
51-102F2 Annual Information Form [F]
PDF
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2023-06-09
51-102F3 Material Change Report [F]
PDF
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2023-06-09
51-102F4 Business Acquisition Report [F]
PDF
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2023-06-09
51-102F5 Information Circular [F]
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2023-06-09
51-102F6 Statement of Executive Compensation [F]
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2015-06-30
51-102F6V Statement of Executive Compensation – Venture Issuers [F]
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2015-06-30
51-105F1 Notice – OTC Issuer Ceases to be an OTC Reporting Issuer [F]
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Word
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2012-07-31
51-105F2 Notice of Promotional Activities [F]
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2012-07-31
51-105F3A Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information [F]
PDF
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2023-06-09
51-105F3B Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information [F]
PDF
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Word
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2012-07-31
51-105F4 Notice – Issuer Ceases to be an OTC Reporting Issuer [F]
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2012-07-31
52-109F1 IPO/RTO Certification of Annual Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer [F]
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Word
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2011-01-01
52-109F1 Certification of annual filings - full certificate [F]
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2011-01-01
52-109F1 AIF Certification of annual filings in connection with voluntarily filed AIF [F]
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2008-12-15
52-109F1R Certification of refiled annual filings [F]
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2008-12-15
52-109F2 IPO/RTO Certification of Interim Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer [F]
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2011-01-01
52-109F2 Certification of interim filings - full certificate [F]
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2011-01-01
52-109F2R Certification of Refiled Interim Filings [F]
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2011-01-01
52-109FV1 Certification of Annual Filings - Venture Issuer Basic Certificate [F]
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2011-01-01
52-109FV2 Certification of Interim Filings - Venture Issuer Basic Certificate [F]
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2011-01-01
52-110F1 Audit Committee Information Required in an AIF [F]
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2011-01-01
52-110F2 Disclosure by Venture Issuers [F]
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2015-06-30
54-101F1 Explanation to Clients and Client Response Form [F]
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2011-01-01
54-101F2 Request for Beneficial Ownership Information [F]
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2013-02-11
54-101F3 Omnibus Proxy (Depositories) [F]
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2002-07-01
54-101F4 Omnibus Proxy (Proximate Intermediaries) [F]
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2002-07-01
54-101F5 Electronic Format for NOBO List [F]
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2013-02-11
54-101F6 Request for Voting Instructions made by Reporting Issuer [F]
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2013-02-11
54-101F7 Request for Voting Instructions made by Intermediary [F]
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2013-02-11
54-101F9 Undertaking [F]
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2013-02-11
54-101F10 Undertaking [F]
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2013-02-11
55-102F1 Insider Profile [F]
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2023-06-09
55-102F2 Insider Report [F]
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Word
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2017-04-01
55-102F3 Issuer Profile Supplement [F]
PDF
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2023-06-09
55-102F4 Issuer Event Report [F]
PDF
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2001-10-29
55-102F5 SEDI User Registration Form [F]
PDF
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Word
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2013-12-02
55-102F6 Insider Report [F]
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Word
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2017-04-01
58-101F1 Corporate Governance Disclosure [F]
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2023-06-09
58-101F2 Corporate Governance Disclosure (Venture Issuers) [F]
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2011-10-31
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6 – Takeover Bids & Special Transactions

Document Effective
62-103F1 Required Disclosure under the Early Warning Requirements [F]
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2016-05-09
62-103F2 Required Disclosure by an Eligible Institutional Investor under Section 4.3 [F]
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2016-05-09
62-103F3 Required Disclosure by an Eligible Institutional Investor under Part 4 [F]
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2016-05-09
62-104F1 Take-Over Bid Circular [F]
PDF
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2023-06-09
62-104F2 Issuer Bid Circular [F]
PDF
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2023-06-09
62-104F3 Directors’ Circular [F]
PDF
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Word
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2016-05-09
62-104F4 Director’s or Officer’s Circular [F]
PDF
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2016-05-09
62-104F5 Notice of Change or Notice of Variation [F]
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2016-05-09
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7 – Securities Transactions Outside the Jurisdiction

Document Effective
71-101F1 Forms Of Submission To Jurisdiction And Appointment Of Agent For Service Of Process [F]
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Word
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1998-11-01

8 – Investment Funds

Document Effective
81-101F1 Contents of Simplified Prospectus [F]
PDF
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2023-06-09
81-101F2 Contents of Annual Information Form [F]
PDF
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2023-06-09
81-101F3 Contents of Fund Facts Document [F]
PDF
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2022-06-01
81-106F1 Contents of Annual and Interim Management Report of Fund Performance [F]
PDF
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2023-06-09
81-903F Report Required under Section 9 of BC Instrument 81-513 Self-Dealing [F]
PDF
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Word
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2009-12-23

9 – Derivatives

Document Effective
91-505F1 Put option contract [F]
PDF
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Word
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2009-09-28
91-505F2 Call option contract [F]
PDF
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Word
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2009-09-28
91-903F Risk Disclosure Statement (Exchange Contracts) [F]
PDF
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Word
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2001-04-26
94-101F1 Intragroup Exemption [F]
PDF
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Word
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2017-04-04
94-101F2 Derivatives Clearing Services [F]
PDF
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Word
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2017-04-04
94-102F1 Customer Collateral Report: Direct Intermediary [F]
PDF
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2022-07-26
94-102F2 Customer Collateral Report: Indirect Intermediary [F]
PDF
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2022-07-26
94-102F3 Customer Collateral Report: Regulated Clearing Agency [F]
PDF
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2022-07-26
96-101F1 Application for Recognition - Trade Repository Information Statement [F]
Word
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PDF
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2016-07-28
96-101F2 Trade Repository Submission to Jurisdiction and Appointment of Agent for Service of Process [F]
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2016-07-28
96-101F3 Cessation of Operations Report for Recognized Trade Repository [F]
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2016-07-28
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