Securities Law

33-109F2 - Change or Surrender of Individual Categories [F Amendment Proposed - Lapsed]

Published Date: 2008-02-29

Concurrently Published:

Enter the following information using the online version of this submission at the NRD web site ( If the NRD filer is relying on the temporary hardship exemption in NI 31-102 this form is required to be delivered to the regulator in paper format.


1. Individual

Name of individual:                                                                                                                  

NRD number of individual:                                                                                                       


2. Individual categories

Indicate the individual categories that the individual is adding or removing:                                                                                                                                                                     


3. Details of surrender

If the individual is surrendering his or her registration with the sponsoring firm in the local jurisdiction, include details regarding any:

  • unresolved client complaints:                                                                                                       
  • internal discipline matters:                                                                                                       
  • restrictions for violation of regulatory requirements that occurred at any time during the individual's employment with the firm:                                                                                                      
  • financial obligations the individual has to clients:                                                                                                    

Notice of Collection and Use of Personal Information

The personal information required under this form is collected on behalf of and used by the securities regulatory authorities set out below for the administration and enforcement of certain provisions of the securities legislation in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, Nova Scotia, New Brunswick, Prince Edward Island, Newfoundland and Labrador, Northwest Territories, Yukon Territory, and Nunavut.


By submitting this information you consent to the collection by the securities regulatory authority of the personal information provided above, police records, records from other government or non-governmental regulatory authorities or self-regulatory organizations, credit records and employment records about you as may be necessary for the securities regulatory authority to complete its review of the information submitted above including your continued fitness for registration, if applicable, in accordance with the legal authority of the securities regulatory authority for the duration of the period which you remain registered or approved by the securities regulatory authority. The sources the securities regulatory authority may contact include government and private bodies or agencies, individuals, corporations and other organizations.


If you have any questions about the collection and use of this information, you may contact the securities regulatory authority in any jurisdiction in which the required information is filed, at the address or telephone number provided in Schedule “A”.



It is an offence to submit information that, in a material respect and at the time and in the light of the circumstances in which it is submitted, is misleading or untrue.



The following certification is to be used when submitting this form in NRD format:

Square  I am making this submission as agent for the individual to whom this submission relates. By checking this box I certify that all statements of fact in this submission were provided to me by the individual.


Both of the following certifications are to be used when submitting this form in paper format:

I, the undersigned, certify that I have read and that I understand the questions in this form and the warning set out above.


I also certify that all statements of fact provided in this application are true.


Signature of applicant or non-registered individual    Date


I, the undersigned, certify on behalf of the sponsoring firm that the individual will be engaged by the sponsoring firm as a registered individual or a non-registered individual. I certify that I have, or a branch manager or another officer or partner has, discussed the questions set out in this form and I am satisfied that the individual fully understands the questions.


Signature of authorized officer or partner                          Date

Firm name                                                                                                                               


Schedule “A”

Notice and Collection and Use of Personal Information


Contact Information



Alberta Securities Commission,

4th Floor, 300 B 5th Avenue S.W.

Calgary, AB T2P 3C4

Attention: Information Officer

Telephone: (403) 297-6454


British Columbia

British Columbia Securities Commission

P.O. Box 10142, Pacific Centre

701 West Georgia Street

Vancouver, BC V7Y 1L2

Attention: Freedom of Information Officer

Telephone: (604) 899-6500 or (800) 373-6393 (in BC)



The Manitoba Securities Commission

1130-405 Broadway

Winnipeg, MB R3C 3L6

Attention: Director - Legal

Telephone: (204) 945-4508


New Brunswick

New Brunswick Securities Commission

Suite 300, 85 Charlotte Street

Saint John, NB  E2L 2J2

Attention: Director, Market Regulation

Telephone: (506) 658-3021


Newfoundland and Labrador

Securities Commission of Newfoundland and Labrador

P.O. Box 8700, 2nd Floor, West Block

Confederation Building

St. John's, NF A1B 4J6

Attention: Director of Securities

Tel: (709) 729-4189


Nova Scotia

Nova Scotia Securities Commission

2nd Floor, Joseph Howe Building

1690 Hollis Street

P.O. Box 458

Halifax, NS B3J 3J9

Attention: FOI Officer

Telephone: (902) 424-7768


Northwest Territories

Government of the Northwest Territories

P.O. Box 1320

Yellowknife, NWT X1A 2L9

Attention: Deputy Registrar of Securities

Telephone: (867) 920-8984



Legal Registries Division

Department of Justice

Government of Nunavut

P.O. Box 1000 Station 570

Iqaluit, NU X0A 0H0

Attention: Deputy Registrar of Securities

Telephone: (867) 975-6190



Ontario Securities Commission

Suite 1903, Box 55

20 Queen Street West

Toronto, ON M5H 3S8

Attention: FOI Coordinator

Telephone: (416) 593-8314


Prince Edward Island

Securities Registry

Office of the Attorney General B Consumer, Corporate and

Insurance Services Division

P.O. Box 2000

Charlottetown, PE C1A 7N8

Attention: Deputy Registrar of Securities

Telephone: (902) 368-4569



Autorité des marchés financiers

Stock Exchange Tower

P.O. Box 246, 22nd Floor

800 Victoria Square

Montréal, PQ H4Z 1G3

Attention: Responsable de l’accès à l’information

Telephone: (514) 940-2150 or

(800) 361-5072 (in Québec)



Saskatchewan Securities Commission

800 B1920 Broad Street

Regina, SK S4P 3V7

Attention: Director

Telephone: (306) 787-5842



Department of Community Services Yukon

P.O. Box 2703

Whitehorse, YU Y1A 2C6

Attention: Registrar of Securities

Telephone: (867) 667-5225