Forms

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Index of Forms PDF

1 - Procedure and Related Matters
2 - Certain Capital Market Participants
3 - Registration Requirements and Related Matters
4 - Distribution Requirements
5 - Ongoing Requirements for Issuers and Insiders
6 - Take-Over Bids and Special Transctions
7 - Securities Transactions Outside the Jurisdiction
8 - Mutual Funds
9 - Derivatives

1 - Procedure and Related Matters

11-901F - Fee Checklist
15-601F - Summons to Attend Before Commission
15-901F - Summons to Attend Before an Investigator Under Section 144
15-902F - Demand for Production under Section 144
15-903F - Affidavit of Service
15-904F - Endorsement of Warrant

2 - Certain Capital Market Participants Top

21-101F1 - Information Statement Exchange or Quotation and Trade Reporting System
21-101F2 - Initial Operation Report Alternative Trading System
21-101F3 - Quarterly Report of Marketplace Activities
21-101F4 - Cessation of Operations Report for Alternative Trading System
21-101F5 - Initial Operation Report for Information Processor
21-101F6 - Cessation of Operations Report for Information
24-101F1 - Registered Firm Exception Report of DAP/RAP Trade Reporting and Matching
24-101F2 - Clearing Agency Quarterly Operations Report of Institutional Trade Reporting and Matching
24-101F3 - Matching Service Utility Notice of Operations
24-101F4 - Matching Service Utility Notice of Cessation of Operations
24-101F5 - Matching Service Utility Quarterly Operations Report of Institutional Trade Reporting and Matching
25-101F1 - Designated Rating Organization Application and Annual Filing
25-101F2 - Submission to Jurisdiction and Appointment of Agent for Service of Process

3 - Registration Requirements and Related Matters Top

31-103F1 - Calculation of Excess Working Capital
31-103F1 - Calculation of Excess Working Capital - For financial years beginning before January 1, 2011
31-103F2 - Submission to Jurisdiction and Appointment of Agent for Services
31-103F3 - Use of Mobility Exemption
33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals
33-109F2 - Change or Surrender of Individual Categories
33-109F3 - Business Locations other than Head Office
33-109F4 - Registration of Individuals and Review of Permitted Individuals
33-109F5 - Change of Registration Information
33-109F6 - Firm Registration
33-109F7 - Reinstatement of Registered Individuals and Permitted Individuals
33-902F - Joint regulatory financial questionnaire and report
33-903F - Report of risk adjusted capital
33-904F - Subordination agreement
33-905F - Report of working capital
33-906F - Statement of financial condition (audited)
35-101F1 - Form Of Submission To Jurisdiction And Appointment Of Agent For Service Of Process By Broker-Dealer
35-101F2 - Form Of Submission To Jurisdiction And Appointment Of Agent For Service Of Process By Agents Of The Broker-Dealer

4 - Distribution Requirements Top

41-101 (Appendix A - Schedule 1 Part A) - General Prospectus Requirements - Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information
41-101 (Appendix B) - General Prospectus Requirements - Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process
41-101 (Appendix C) - General Prospectus Requirements - Non-Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process
41-101F1 - Information Required in a Prospectus
41-101F1 - Information Required in a Prospectus
41-101F2 - Information Required in an Investment Fund Prospectus
43-101F1 - Technical Report
44-101F1 - Short Form Prospectus Distributions
44-101F1 - Short Form Prospectus Distributions
45-101F - Information Required in a Rights Offering Circular
45-102F1 - Notice of Intention to Distribute Securities under Section 2.8 of NI 45-102 Resale of Securities (Formerly Form 23)
45-106F1 - Report of Exempt Distribution
45-106F2 - Offering Memorandum for Non-Qualifying Issuers - For financial years beginning on or after January 1, 2011
45-106F2 - Offering Memorandum for Non-Qualifying Issuers - For financial years beginning before January 1, 2011
45-106F3 - Offering Memorandum for Qualifying Issuers - For financial years beginning on or after January 1, 2011
45-106F3 - Offering Memorandum for Qualifying Issuers - For financial years beginning before January 1, 2011
45-106F4 - Risk Acknowledgement
45-106F5 - Risk Acknowledgement Saskatchewan Close Personal Friends and Close Business Associates
45-106F6 - British Columbia Report of Exempt Distribution
45-505F1 - Notice Of Intention To Rely On BC Instrument 45-505
45-505F2 - Report Of Exempt Distribution In Respect Of Eligible Pooled Funds
45-901F (BC) - Offering Memorandum For Syndicated Mortgages
45-906F - Offering Memorandum - Real Estate Securities
46-201F1 - Escrow Agreement

5 - Ongoing Requirements for Issuers and Insiders Top

51-101F1 - Statement of Reserves Data and Other Oil and Gas Information
51-101F2 - Report on Reserves Data by Independent Qualified Reserves Evaluator or Auditor
51-101F3 - Report of Management and Directors on Oil And Gas Disclosure
51-101F4 - Notice of Filing of 51-101F1 Information
51-102F1 - Management’s Discussion & Analysis - For financial years beginning on or after January 1, 2011
51-102F1 - Management’s Discussion & Analysis - For financial years beginning before January 1, 2011
51-102F2 - Annual Information Form - For financial years beginning on or after January 1, 2011
51-102F2 - Annual Information Form - For financial years beginning before January 1, 2011
51-102F3 - Material Change Report
51-102F4 - Business Acquisition Report - For financial years beginning on or after January 1, 2011
51-102F4 - Business Acquisition Report - For financial years beginning before January 1, 2011
51-102F5 - Information Circular - For financial years beginning on or after January 1, 2011
51-102F5 - Information Circular - For financial years beginning before January 1, 2011
51-102F6 - Statement of Executive Compensation - For financial years beginning on or after January 1, 2011
51-102F6 - Statement of Executive Compensation - For financial years beginning before January 1, 2011 and ending on or after October 31, 2011
51-102F6 - Statement of Executive Compensation - For financial years beginning before January 1, 2011
51-105F1 - Notice – OTC Issuer Ceases to be an OTC Reporting Issuer [F]
51-105F2 - Notice of Promotional Activities [F]
51-105F3A - Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information [F]
51-105F3B - Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information [F]
51-105F4 - Notice – Issuer Ceases to be an OTC Reporting Issuer [F]
52-109F1 - Certification of annual filings - full certificate - For financial years beginning on or after January 1, 2011
52-109F1 - Certification of annual filings - full certificate - For financial years beginning before January 1, 2011
52-109F1 - AIF Certification of annual filings in connection with voluntarily filed AIF
52-109F1 - IPO/RTO Certification of Annual Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer - For financial years beginning on or after January 1, 2011
52-109F1 - IPO/RTO Certification of annual filings following an initial public offering, reverse takeover or becoming a non-venture issuer - For financial years beginning before January 1, 2011
52-109F1R - Certification of refiled annual filings
52-109F2 - Certification of interim filings - full certificate - For financial years beginning on or after January 1, 2011
52-109F2 - Certification of Interim Filings - full certificate - For financial years beginning before January 1, 2011
52-109F2 - IPO/RTO Certification of Interim Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer - For financial years beginning on or after January 1, 2011
52-109F2 - IPO/RTO Certification of interim filings following an initial public offering, reverse takeover or becoming a non-venture issuer - For financial years beginning before January 1, 2011
52-109F2R - Certification of Refiled Interim Filings - For financial years beginning on or after January 1, 2011
52-109F2R - Certification of refiled interim filings - For financial years beginning before January 1, 2011
52-109FV1 - Certification of Annual Filings - Venture Issuer Basic Certificate - For financial years beginning on or after January 1, 2011
52-109FV1 - Certification of annual filings - venture issuer basic certificate - For financial years beginning before January 1, 2011
52-109FV2 - Certification of Interim Filings - Ventuer Issuer Basic Certificate - For financial years beginning on or after January 1, 2011
52-109FV2 - Certification of interim filings - venture issuer basic certificate - For financial years beginning before January 1, 2011
52-110F1 - Audit Committee Information Required in an AIF
52-110F2 - Disclosure by Venture Issuers
54-101F1 - Communication with Beneficial Owners of Securities of a Reporting Issuer
54-101F2 - Request for beneficial ownership information
54-101F3 - Omnibus proxy (depositories)
54-101F4 - Omnibus proxy (proximate intermediaries)
54-101F5 - Electronic format for NOBO list
54-101F6 - Request for voting instructions made by reporting issuer
54-101F7 - Request for voting instructions made by reporting issuer
54-101F9 - Undertaking
54-101F10 - Undertaking
55-102F1 - Insider Profile
55-102F2 - Insider Report (Please see 55-102F6 for paper filings)
55-102F3 - Issuer Profile Supplement
55-102F4 - Issuer Event Report
55-102F5 - SEDI User Registration Form
55-102F6 - Insider Report (This form is to be used for paper filings)
58-101F1 - Corporate Governance Disclosure
58-101F2 - Corporate Governance Disclosure (Venture Issuers)

6 - Take-Over Bids and Special Transactions Top

62-104F1 -Take-Over Bid Circular
62-104F2 - Issuer Bid Circular
62-104F3 - Directors' Circular
62-104F4 - Director's or Officer's Circular
62-104F5 - Notice of Change or Notice of Variation

7 - Securities Transactions Outside the Jurisdiction Top

71-101F1 - Forms Of Submission To Jurisdiction And Appointment Of Agent For Service Of Process

8 - Mutual Funds Top

81-101F1 - Contents of Simplified Prospectus
81-101F2 - Contents of Annual Information Form
81-101F3 - Contents of Fund Facts Document
81-106F1 - Contents of Annual and Interim Management Report of Fund Performance
81-903F - Report under Section 126 of the Act

9 - Derivatives Top

91-505F1 - Put option contract
91-505F2 - Call option contract
91-903F - Risk Disclosure Statement (Exchange Contracts)