Filing documents online

OSC Rule 11-501 - Electronic Delivery of Documents to the Ontario Securities Commission (OSC Rule 11-501) requires that as of February 19, 2014 certain documents identified under Ontario’s securities rules be filed electronically through the OSC’s web filing portal. You can submit these documents to the OSC through this website.

• Form 94-102F1 Customer Collateral Report: Direct Intermediary;
• Form 94-102F2 Customer Collateral Report: Indirect Intermediary; and
• Form 94-102F3 Customer Collateral Report: Regulated Clearing Agency
• Form 94-101F1 Intragroup Exemption
• Form 94-101F2 Derivatives Clearing Service
• *Applications (including, applications for exemptive relief and notices filed pursuant to sections 11.9 or 11.10 of National Instrument 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations)
  • **Please note that certain applications are required to be filed through SEDAR+. In general, the application is required to be filed through SEDAR+ if either of the following apply:
    • the section or instrument from which or under which relief is required is not listed in Column A of the Appendix to National Instrument 13-103, or 
    • the type of application is listed in Column B of the Appendix to National Instrument 13-103.
• **Pre-filings for Applications
  • **Please note that pre-filings or waiver applications for prospectuses, and pre-filings for applications where the application is required to be filed through SEDAR+, are required to be filed through SEDAR+.
• Forms 13-502F4, Form 13-502F5, Form 13-503F1, Form 13-503F2 Capital Markets Participation Fee Calculation and Adjustment for Registrant Firms, Unregistered Exempt International Firms and firms registered under the Commodity Futures Act
• Form 13-502F7 Annual participation fee calculation for marketplaces, clearing agencies and trade repositories.
• Form 13-502F9 Derivatives Participation Fee, for reporting counterparties required to pay the derivatives participation fee
• Form 21-101F3 Quarterly Report of Marketplace Activities
• Form 24-101F1 Registered Firm Exception Report of DAP/RAP Trade Reporting and Matching
• Form 31-103F1 Calculation of Excess Working Capital, together with associated financial information as required by sections 12.12, 12.13 and 12.14 of NI 31-103
• Notice of repayment of subordinated loan or termination of subordination agreement pursuant to section 12.2 of NI 31-103
• Notice of change in claim made under or cancellation of insurance policy pursuant to section 12.7 of NI 31-103

Any documents or notices that are required to be filed electronically under OSC Rule 11-501 but are not listed above as web-based forms must be submitted in PDF Format by clicking here.

Please submit Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligation by using this online form.

For registration forms and other related notices required to be completed and filed with the OSC under the Securities Act (Ontario) or the Commodity Futures Act (Ontario) please refer to our Forms and Documents page.

Marketplaces, SROs & Clearing Agencies should coordinate directly with the OSC’s Market Regulation Branch for electronic submission of required documents. Unless otherwise arranged, documents may be submitted by email to: [email protected].

Please note that documents that are required to be filed through SEDAR+, SEDI and NRD must continue to be filed through those systems.

Reports on the aggregate value of structured notes distributed under the shelf prospectus system can be submitted through the electronic filing portal.

We request that such reports be submitted on a quarterly basis within 30 days from the end of each quarter. The report must be filed in .xlsx format in accordance with the template that was provided to issuers of structured notes.

Activity fees, if any, in connection with electronically filed documents can be paid by credit or debit card. Please ensure you have your payment information ready before submitting the document. For further information regarding fee payment, if applicable, please refer to the payment instruction page that is displayed after filing your submission.

For dealers, advisers and investment fund managers, please see Fees for specific instructions on fee payments.

This electronic filing portal including all electronic forms available through the portal (the Portal) is provided as a non-commercial public service and may be used only for complying with the requirements of OSC Rule 11-501. The Portal is made available through this website for convenience only and is provided “AS IS” and “AS AVAILABLE” without any representations, warranties or conditions, whether express or implied, including warranties or conditions of merchantability or fitness for a particular purpose. Users are solely responsible for their use of the Portal. Use of the Portal is subject to the OSC website's Terms of Use.

The Ontario Securities Commission and its members, officers, staff, agents and service providers are not responsible or liable for the unavailability of any form, the Portal or the website, for any errors or omissions of any kind which may occur through use of a form, the Portal or the website, or for any damages which may arise from use of a form, the Portal or the website.