Reporting issuer and issuer forms

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For instructions on how to file forms and documents in Ontario, refer to the OSC's electronic filing portal.

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OSC Rule 13-502 Fees prescribes corporate finance participation fees payable by issuers, as well as activity fees. The following forms are required to be filed by reporting issuers.

Appendix A to the Rule lists the Participation Fee payable according to market capitalization.

Forms and information

Form Use this form to: Submission method
Form 13-502F1 This form must be used by Class 1 and Class 3B Reporting Issuers to determine their total capitalization which is then used to calculate the Participation Fee owing. Please refer to OSC Rule 13-502 for the definition of a Class 1 and Class 3B Reporting Issuer. PDF Version
Form 13-502F2 This form must be used by Class 2 Reporting Issuers to determine their total capitalization which is then used to calculate the Participation Fee owing. Please refer to OSC Rule 13-502 for the definition of a Class 2 Reporting Issuer. PDF Version
Form 13-502F2A This form must be used by Class 2 Reporting Issuers for an adjustment to the Participation Fee that was estimated at the time of payment. Please refer to OSC Rule 13-502 for further information. PDF Version
Form 13-502F3A This form must be used by Class 3A Reporting Issuers to determine their total capitalization which is then used to calculate the Participation Fee owing. Please refer to OSC Rule 13-502 for the definition of a Class 3A Reporting Issuer. PDF Version
Form 13-502F6 This form must be used by Reporting Issuers to provide notice of exemption from the payment of Participation Fee for a subsidiary entity. Please refer to OSC Rule 13-502 for further information. PDF Version
Form 41-101 PIF (Personal Information Form) This form, to be submitted in PDF format, may be required under Part 9 of NI 41-101 or Part 4 of NI 44-101 in connection with an issuer's filing of a prospectus. This form may also be required under Part 4 of NP 12-202 in connection with an application to revoke a compliance-related cease trade order. Word Version
Form 45-102F1 This form is to be used for Notice of Intention to Distribute Securities under Section 2.8 of NI 45-102 Resale of Securities HTML Version
Form 45-106F1

This form is to be used to report a distribution under the following exemptions:

  • NI 45-106-section 2.3 [Accredited investor];
  • NI 45-106 section 2.5 [Family, friends and business associates]
  • NI 45-106 section 2.9 [Offering memorandum]
  • NI 45-106 section 2.10 [Minimum amount investment];
  • NI 45-106 section 2.12 [Asset acquisition];
  • NI 45-106 section 2.13 [Petroleum, natural gas and mining properties];
  • NI 45-106 section 2.14 [Securities for debt];
  • NI 45-106 section 2.19 [Additional investment in investment funds];
  • NI 45-106 section 2.30 [Isolated distribution by issuer]
  • NI 45-106 section 5.2 [TSX Venture Exchange offering]
  • OSC Rule 45-501 section 2.9 [Existing security holder]
  • MI 45-108 Crowdfunding
  • section 73.5(2) of the Securities Act (Ontario) [Government incentive security]
Under OSC Rule 11-501 Electronic Delivery of Documents to the Ontario Securities Commission, Form 45-106F1 is required to be filed electronically through the following link:
File a Form 45-106F1
Form 52-109F1 - Certification of Annual Filings - Full Certificate Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version
Form 52-109FV1 - Certification of Annual Filings - Venture Issuer Basic Certificate Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version
Form 52-109F1 - IPO/RTO - Certification of Annual Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version
Form 52-109F1R - Certification of Refiled Annual Filings Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version
Form 52-109F1 - AIF - Certification of Annual Filings in Connection with Voluntarily Filed AIF Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version
Form 52-109F2 - Certification of Interim Filings - Full Certificate Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version
Form 52-109FV2 - Certification of Interim Filings - Venture Issuer Basic Certificate Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version
Form 52-109F2 - IPO/RTO - Certification of Interim Filings Following an Initial Public Offering, Reverse Takeover or Becoming a Non-Venture Issuer Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version
Form 52-109F2R - Certification of Refiled Interim Filings Please refer to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and Companion Policy 52-109CP for further information regarding the filing of this form. For financial years beginning on or after January 1, 2011:
HTML Version

For financial years beginning before January 1, 2011:
HTML Version
Form 72-503F - Report of Distributions Outside Canada

This form is to be used to report a distribution under the following exemptions:

  • OSC Rule 72-503 section 2.3 [Distributions by Reporting Issuers]
  • OSC Rule 72-503 section 2.4 [Other Distributions]

For filing instructions, please refer to the OSC’s electronic filing portal.

PDF Version