Securities Law

Forms

1 – Procedure & Related Matters

2 – Certain Capital Market Participants

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

3 – Registration Requirements & Related Matters

Document Effective
31-103F1 Calculation of Excess Working Capital [F] 2018-06-12
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F] 2015-01-11
31-103F3 Use of Mobility Exemption [F] 2015-01-11
31-103F4 Net Asset Value Adjustments [F] 2015-01-11
33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals [F] 2015-01-11
33-109F2 Change or Surrender of Individual Categories [F] 2015-01-11
33-109F3 Business Locations Other than Head Office [F] 2015-01-11
33-109F4 Registration of Individuals and Review of Permitted Individuals [F] 2015-01-11
33-109F5 Change of Registration Information [F] 2015-01-11
33-109F6 Firm Registration [F] 2018-06-12
33-109F7 Reinstatement of Registered Individuals and Permitted Individuals [F] 2015-01-11
33-902F Joint Regulatory Financial Questionnaire and Report [F] 2001-03-28
33-903F Report Of Risk Adjusted Capital [F] 2001-03-28
33-904F Subordination Agreement [F] 2001-03-28
33-905F Report of working capital [F] 2001-03-28
33-906F Statement of Financial Condition (Audited) [F] 2005-06-01
35-101F1 Form Of Submission To Jurisdiction And Appointment Of Agent For Service Of Process By Broker-Dealer [F] 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] 2001-01-01

4 – Distribution Requirements

Document Effective
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 [F] 2013-08-13
41-101 (Appendix B) General Prospectus Requirements - Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process [F] 2013-08-13
41-101 (Appendix C) General Prospectus Requirements - Non-Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process [F] 2013-08-13
41-101F1 Information Required in a Prospectus [F] 2015-11-17
41-101F2 Information Required in an Investment Fund Prospectus [F] 2019-01-03
41-101F3 Information Required in a Scholarship Plan Prospectus [F] 2014-09-22
41-101F4 Information Required in an ETF Facts Document [F] 2019-01-03
43-101F1 Technical Report [F] 2011-06-30
44-101F1 Short Form Prospectus [F] 2013-08-13
45-102F1 Notice of Intention to Distribute Securities under Section 2.8 of NI 45-102 Resale of Securities [F] 2017-04-01
45-106F1 Report of Exempt Distribution [F] 2018-10-05
45-106F2 Offering Memorandum for Non-Qualifying Issuers [F] 2016-04-30
45-106F3 Offering Memorandum for Qualifying Issuers [F] 2016-04-30
45-106F4 Risk Acknowledgement [F] 2016-04-30
45-106F5 Risk Acknowledgement Saskatchewan Close Personal Friends and Close Business Associates [F] 2009-09-28
45-106F7 Information Memorandum for Short-term Securitized Products Distributed under Section 2.35.1 [F] 2015-05-05
45-106F8 Monthly Disclosure Report for Short-term Securitized Products Distributed under Section 2.35.1 [F] 2015-05-05
45-106F9 Form for Individual Accredited Investors [F] 2015-05-05
45-106F12 Risk Acknowledgement Form for Family, Friend and Business Associate Investors [F] 2016-05-05
45-106F14 Rights Offering Notice for Reporting Issuers [F] 2015-12-08
45-106F15 Rights Offering Circular for Reporting Issuers [F] 2015-12-08
45-106F16 Notice of Use of Proceeds [F] 2016-04-30
45-106F17 Notice of Specified Key Events [F] 2016-04-30
45-505F1 Notice of Intention to Rely on BC Instrument 45-505 [F] 2016-06-30
45-505F2 Report Of Exempt Distribution in Respect of Eligible Pooled Funds [F] 2016-06-30
45-535 Form 1 - Start-Up Crowdfunding – Offering Document [F] 2016-06-30
45-535 Form 2 - Start-Up Crowdfunding – Risk Acknowledgement [F] 2015-05-14
45-535 Form 4 - Start-up Crowdfunding – Funding Portal – Individual Information Form [F] 2016-06-30
45-535 Form 3 - Start-up Crowdfunding – Funding Portal Information Form [F] 2016-06-30
45-901F Offering Memorandum for Syndicated Mortgages [F] 2005-09-14
45-906F Offering Memorandum - Real Estate Securities [BCF] 2005-09-14
46-201F1 Escrow Agreement [F] 2015-11-17

5 – Ongoing Requirements for Issuers & Insiders

Document Effective
51-101F1 Statement of Reserves Data and Other Oil and Gas Information [F] 2015-07-01
51-101F2 Report on Reserves Data by Independent Qualified Reserves Evaluator or Auditor [F] 2015-07-01
51-101F3 Report of Management and Directors on Oil and Gas Disclosure [F] 2015-07-01
51-101F4 Notice of Filing of 51-101F1 Information [F] 2010-12-30
51-101F5 Notice of Ceasing to Engage in Oil and Gas Activities [F] 2015-07-01
51-102F1 Management’s Discussion & Analysis [F] 2015-06-30
51-102F2 Annual Information Form [F] 2015-06-30
51-102F3 Material Change Report [F] 2008-07-04
51-102F4 Business Acquisition Report [F] 2011-01-01
51-102F5 Information Circular [F] 2015-06-30
51-102F6 Statement of Executive Compensation [F] 2015-06-30
51-102F6V Statement of Executive Compensation – Venture Issuers [F] 2015-06-30
51-105F1 Notice – OTC Issuer Ceases to be an OTC Reporting Issuer [F] 2012-07-31
51-105F2 Notice of Promotional Activities [F] 2012-07-31
51-105F3A Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information [F] 2012-07-31
51-105F3B Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information [F] 2012-07-31
51-105F4 Notice – Issuer Ceases to be an OTC Reporting Issuer [F] 2012-07-31
52-109F1 AIF Certification of annual filings in connection with voluntarily filed AIF [F] 2008-12-15
52-109F1 Certification of annual filings - full certificate [F] 2011-01-01
52-109F1 IPO/RTO Certification of Annual Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer [F] 2011-01-01
52-109F1R Certification of refiled annual filings [F] 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] 2011-01-01
52-109F2 Certification of interim filings - full certificate [F] 2011-01-01
52-109F2R Certification of Refiled Interim Filings [F] 2011-01-01
52-109FV1 Certification of Annual Filings - Venture Issuer Basic Certificate [F] 2011-01-01
52-109FV2 Certification of Interim Filings - Venture Issuer Basic Certificate [F] 2011-01-01
52-110F1 Audit Committee Information Required in an AIF [F] 2011-01-01
52-110F2 Disclosure by Venture Issuers [F] 2015-06-30
54-101F1 Explanation to Clients and Client Response Form [F] 2011-01-01
54-101F2 Request for Beneficial Ownership Information [F] 2013-02-11
54-101F3 Omnibus Proxy (Depositories) [F] 2002-07-01
54-101F4 Omnibus Proxy (Proximate Intermediaries) [F] 2002-07-01
54-101F5 Electronic Format for NOBO List [F] 2013-02-11
54-101F6 Request for Voting Instructions made by Reporting Issuer [F] 2013-02-11
54-101F7 Request for Voting Instructions made by Intermediary [F] 2013-02-11
54-101F9 Undertaking [F] 2013-02-11
54-101F10 Undertaking [F] 2013-02-11
55-102F1 Insider Profile [F] 2017-04-01
55-102F2 Insider Report [F] 2017-04-01
55-102F3 Issuer Profile Supplement [F] 2017-04-01
55-102F4 Issuer Event Report [F] 2001-10-29
55-102F5 SEDI User Registration Form [F] 2013-12-02
55-102F6 Insider Report [F] 2017-04-01
58-101F1 Corporate Governance Disclosure [F] 2016-12-31
58-101F2 Corporate Governance Disclosure (Venture Issuers) [F] 2011-10-31

6 – Takeover Bids & Special Transactions

7 – Securities Transactions Outside the Jurisdiction

8 – Investment Funds

9 – Derivatives