Securities Law

33-109F3 - Business Locations Other Than Head Office [F - Rescinded]

Published Date: 2007-05-15
Rescinded Date: 2009-09-28

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.

Please select one box:

  • This form is being submitted to notify the regulator of the opening of this business location.  Complete the entire form.
  • This form is being submitted to notify the regulator of the closing of this business location.  Complete the entire form.
  • This form is being submitted to notify the regulator of the change of information previously submitted in respect of this business location. Complete the entire form and describe the information that has changed (for example, "telephone number" or "type of business location"):    

1. Type of business location

____  branch

____  sub-branch

2. Supervisor or branch manager

NRD number of the designated supervisor or branch manager: _____________________________ 

Name of designated supervisor or branch manager: _____________________________________         

3. Business location information

Business address: _______________________________________________________________            

Telephone number: (       ) _______________ 

Facsimile number: (        ) _______________   

Mailing address (if different from business address): ______________________________________         

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.

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:

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

The following certification is 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 notice and the Warning set out above.  I also certify that all statements of fact made in the answers to the questions are true.

______________________________          ________
Signature of authorized officer or partner              Date

Firm name



Notice and collection and use of personal information

Contact Information




AlbertaSecurities Commission,

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

Calgary, AB   T2P 3C4

Attention:  Information Officer

Telephone: (403) 297-6454             

British Columbia


British ColumbiaSecurities Commission

P.O. Box10142, 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


Securities Administration Branch

PO Box5001

606, 133 Prince William Street

Saint John, NB   E2L 4Y9

Attention: Deputy Administrator, Capital Markets

Telephone: (506) 658-3021             

Newfoundland and Labrador


Securities Commission of Newfoundland and Labrador

P.O. Box8700, 2nd Floor, West Block


St. John's, NF   A1B 4J6

Attention:  Director of Securities

Tel: (709) 729-4189


Nova Scotia


Nova ScotiaSecurities Commission

2nd Floor, Joseph Howe Building

1690 Hollis Street

P.O. Box458

Halifax, NS   B3J 3J9

Attention:  FOI Officer

Telephone:  (902) 424-7768

Northwest Territories


Government of the Northwest Territories

P.O. Box1320

Yellowknife, NWT X1A 2L9

Attention:  Deputy Registrar of Securities

Telephone:  (867) 920-8984            




Legal Registries Division

Department of Justice

Government of Nunavut

P.O. Box1000Station 570

Iqaluit, NU X0A 0H0

Attention:  Deputy Registrar of Securities

Telephone: (867) 975-6190



OntarioSecurities Commission

Suite1903, 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. Box2000

Charlottetown, PE C1A 7N8

Attention:  Deputy Registrar of Securities

Telephone:  (902) 368-4569            



Commission des valeurs mobilières du Québec

StockExchange Tower

P.O. Box246, 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)



SaskatchewanSecurities Commission

800 B1920 Broad Street

Regina, SK   S4P 3V7

Attention:  Director

Telephone:  (306) 787-5842




Department of Community Services Yukon

P.O. Box2703

Whitehorse, YU Y1A 2C6

Attention:  Registrar of Securities

Telephone:  (867) 667-5225