Filing documents online
OSC electronic filing portal
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)
- Pre-filings or waiver applications (for Prospectuses or Applications)
- 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 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
- Form 45-106F1 Report of Exempt Distribution
Except as provided below, 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.
These include any documents or notices that are required to be filed or delivered electronically for distributions made in reliance on the offering memorandum exemption under s.2.9 of NI 45-106 (in force as of January 13, 2016) and the crowdfunding exemption under MI 45-108 (in force as of January 25, 2016).
If you are filing a Form 45-106F1 Report of Exempt Distribution for a distribution made in reliance on these two exemptions, we request that electronic versions of the offering document, related marketing materials and any other offering materials, if applicable, be submitted as attachments to the Form 45-106F1.
Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligation
Please submit Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligation by using this online form.
Dealers, Advisers and Investment Fund Managers
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 and clearing agencies
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].
SEDAR, SEDI and NRD filings
Please note that documents that are required to be filed through SEDAR, SEDI and NRD must continue to be filed through those systems.
Structured notes data reporting
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.
Hours of operation
Required documents may be transmitted to the OSC on any business day between the hours of 7:00a.m. and 11:00p.m. Eastern Time. Electronic filings may also be transmitted outside of those business hours if the system is not shut down for regular maintenance or for any other reason. A document filed in electronic format is, for purposes of securities legislation, filed on the day that the electronic transmission of the document is completed.
If you require assistance, please call the OSC's Inquiries and Contact Centre.
Technical assistance will be available on any business day between the hours of 8:30 a.m. and 5:00 p.m. Eastern Time.
Although the obligation to file electronically falls on the person or company required or permitted by Ontario securities law to file a document under OSC Rule 11-501, the person or company may use an agent, such as its legal counsel, to file the document on its behalf.
The system may not accept files larger than 18 MB. Please contact the OSC’s Inquiries and Contact Centre for direction on how to file a document that exceeds 18 MB.
Please note that if your session remains idle for 30 minutes you will lose any unsaved work.
Supported Web Browsers
The OSC Electronic Filing Portal currently supports the following web browsers.
- Internet Explorer 9, 10 and 11
- Firefox 36 and 31 ESR
- Google Chrome 40
- Safari 8
The eForm may not function properly if used on other browsers.
If you are using Internet Explorer 9 or later, you may see the Compatibility View button on the Address bar. To turn Compatibility View on, click the Compatibility View button to make the icon change from an outline to a solid color.
If unanticipated technical difficulties prevent the timely transmission of an electronic filing you may send the document by e-mail to [email protected] as soon as practical and in any event no later than 2 business days after the day on which the filing was required.
You must include the following legend at the top of the first page:
THIS REPORT IS BEING FILED UNDER A TEMPORARY TECHNICAL DIFFICULTIES EXEMPTION
In addition to sending the document by email, a copy must be transmitted through this portal as soon as practical after the unanticipated technical difficulty has been resolved.
For further information, please refer to Frequently Asked Questions - Technical Difficulties.
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.