Registration forms and documents

The following forms and documents are required to be completed and filed with the Ontario Securities Commission (OSC) under the Securities Act (Ontario) or the Commodity Futures Act (Ontario). You may need to consider whether you are, or your firm is, required to submit information with other jurisdictions.

For further filing instructions in Ontario please refer to the OSC's electronic filing portal.

Where a fee is due with any of the filings below or for annual participation fees, please refer to further instructions on paying registrant-related fees.

Firms

Please note: PDF form provided for reference purposes only. All filings must be made using the online form or through the National Registration Database (NRD).

Form Use for form to: Submission method
Form 33-109F6/Form 33-506F6 Firm Registration
  • Apply for initial registration as a dealer, adviser or investment fund manager
  • Apply to add a category or jurisdiction to an existing registration
Guidance for new firms:

Complete the relevant form and submit through the OSC Electronic Filing Portal.

Form 33-109F6 [PDF]

Form 33-506F6 [PDF]

Form 33-109F3/Form 33-506F3 Business Locations other than Head Office
  • Notify the OSC of the opening of, or any change to, a business location of the firm

NRD

Form 33-109F3 [PDF]
 

Form 33-109F5/Form 33-506F5 Change of Information
  • Notify the OSC of a change to previously submitted registration information
  • * For a change to insurance information, refer to the Insurance information section below for instructions

Complete the relevant form and submit through the OSC’s Electronic Filing Portal.

Form 33-109F5 [PDF]

Form 33-506F5 [PDF]
 

Insurance information
  • Notify the OSC of a change in, claim made under, or cancellation of an insurance policy (including renewal of an existing policy)

Complete the notification using the OSC’s online general submission form and submit through the OSC’s online Electronic Filing Portal.

Monthly Suppression of Terrorism and Canadian Sanctions Reporting
  • CSA Reporting Form for complying with the monthly suppression of terrorism and Canadian sanctions reporting obligations under certain federal provisions.

Complete and submit the report using the OSC’s online Electronic Filing Portal.

Voluntary surrender
  • Notify the OSC of an application by a firm to voluntarily surrender registration

Complete the notification using the OSC’s online general submission form and submit through the OSC’s online Electronic Filing Portal.

Form or document required to be filed or delivered with respect to terms and conditions
  • Submit any forms or documents required to filed or delivered with respect to terms and conditions imposed on a registrant firm’s registration.

Complete the form or document using the OSC’s online general submission form and submit through the OSC Electronic Filing Portal.

Individuals

Please note: PDF form provided for reference purposes only. All filings must be made on the National Registration Database (NRD).

Form Use this form to: Submission method
Form 33-109F1/Form 33-506F1 Notice of Termination of Registered Individuals and Permitted Individuals
  • Notify the OSC of the termination of a registered or permitted individual’s authority to act on behalf of the firm

NRD

Form 33-109F1 [PDF]

Form 33-109F2/Form 33-506F2 Change or Surrender of Individual Categories
  • Apply for registration or approval in an additional category
  • Surrender a category while maintaining registration in one or more other categories

NRD

Form 33-109F2 [PDF]
 

Form 33-109F4/Form 33-506F4 Registration of Individuals and Review of Permitted Individuals
  • Apply for registration in individual categories or review as a permitted individual

NRD

Form 33-109F4 [PDF]

Form 33-109F5/Form 33-506F5 Change of Information
  • Notify the OSC of a change to previously submitted registration information

NRD

Form 33-109F5 [PDF]

Form 33-109F7/Form 33-506F7 Reinstatement of Registered Individuals and Permitted Individuals
  • Transfer individual’s registration between sponsoring firms or reinstate an individual’s registration or a permitted individual status

NRD

Form 33-109F7 [PDF]

 

Funding portals

The following forms and documents apply to registrants operating as a registered dealer funding portal or restricted dealer funding portal under Multilateral Instrument 45-108 Crowdfunding (MI 45-108).

Please note: PDF form provided for reference purposes only. All filings must be made using the online form.

Form Use this form to: Submission method
Notification by funding portal regarding termination of a distribution pursuant to s. 38(1) of MI 45-108 Crowdfunding
  • Notify the OSC if, at any time during the distribution period, the funding portal terminates a distribution pursuant to subsection 28(2) Denial of issuer access and termination of MI 45-108.

Complete the notification using the online general submission form and submit through the OSC Electronic Filing Portal.

Report required to be delivered by a funding portal pursuant to s. 38(2) of MI 45-108 Crowdfunding
  • Deliver a report to the OSC within 30 days of the end of the second and fourth quarters of the funding portal’s financial year containing information required under subsection 38(2) of MI 45-108.

Complete the report using the online general submission form and submit through the OSC Electronic Filing Portal.

 

Capital and financial requirements

Please note: PDF form provided for reference purposes only. All filings must be made using the online form.

Form Use this form to: Submission method

Form 31-103F1 Calculation of Excess Working Capital

Annual financial statements, interim financial information and other financial information

Repayment of a subordinated loan or termination of a subordination agreement

Form 31-103F4 Net Asset Value Adjustments
 

  • Determine and notify the OSC of a firm’s excess working capital as at the end of a financial year or interim period
  • Deliver required financial information to the OSC
  • Notify the OSC of a repayment of a subordinated loan or termination of a subordination agreement
  • Notify the OSC of a net asset value (NAV) adjustment made in respect of an investment fund managed by the investment fund manager in accordance with paragraph 12.14(1)(c) or paragraph 12.14(2)(c) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Complete and submit the relevant form using the OSC online submission process.

 

Form 31-103F1 [PDF]

Form 31-103F4 [PDF]
 

Subordination Agreements
  • Notify the OSC that a firm has executed a subordinated loan agreement and relying on it for the purposes of Form 31-103F1 Calculation of Excess Working Capital

Complete and submit the relevant form using the OSC online submission process.

 

Appendix B - Subordination Agreement

Capital deficiency
  • Notify the OSC of a capital deficiency (i.e. excess working capital of a registered firm is less than zero)
E-mail to [email protected]

 

Participation Fees

Please note: PDF form provided for reference purposes only. All filings must be made using the online form.

Form Use this form to: Submission method:

Form 13-502F4 for firms registered under the Securities Act or under both the Securities Act and Commodity Futures Act

Form 13-503F1 for firms registered only under the Commodity Futures Act
 

  • Determine and notify t
  •  
  • he OSC of gbparticipation fees payable.
  • All registered firms, unregistered exempt international firms and unregistered investment fund managers must complete this form by December 1 each year.

Complete Form 13-502F4 using the OSC online submission process and submit through the OSC’s online Electronic Filing Portal.

 

Form 13-502F4 [PDF]


Complete Form 13-503F1 using the OSC online submission process and submit through the OSC’s online Electronic Filing Portal.

 

Form 13-503F1 [PDF]

Adjusted Form 13-502F4 and Form 13-502F5 Adjustment of Fee for Registrant Firms and Unregistered Exempt International Firms / Adjusted Form 13-503F1 and completed Form 13-503F2 Adjustment of Fee Payment
  • Determine and notify the OSC of adjusted participation fees payable. Firms who provided a Form 13-502F4 or Form 13-503F1 (above) based on estimated revenues must complete these forms electronically within 90 days of their fiscal year end only if their participation fee payable has changed

Complete the participation fee online calculation form and submit through the OSC’s online Electronic Filing Portal.

 

Form 13-502F4-F5 [PDF]


Complete the participation fee online calculation form and submit through the OSC’s online Electronic Filing Portal.

 

Form 13-503F1-F2 [PDF]

 

Exemptions and applications for exemptive relief

The following forms and documents are required in order to rely on certain exemptions available under Ontario’s Securities Act or Commodity Futures Act or to apply for exemptive relief from certain registration requirements under the Acts.  

Please note: PDF form provided for reference purposes only. All filings must be made using the online form.

Form Use this form to: Submission method
Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
  • Notify the OSC of reliance on the exemption from the registration requirement under sections 818 International Dealer and 826 International Adviser of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Complete Form 31-103F2  [PDF] and submit through the OSC Electronic Filing Portal

Notification to OSC that a firm is no longer relying on an exemption from registration requirements
  • Notify the OSC that a firm is no longer relying on the exemption from the registration requirement under sections 818 International Dealer and/or 826 International Adviser of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
  • Notify the OSC that a firm is no longer relying on the exemption from the investment fund manager registration available under section 4 of Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Manager

Complete the notification using the online general submission form and submit through the OSC’s online Electronic Filing Portal

 

Form 31-103F3 Use of Mobility Exemption
  • Notify the OSC of an individual’s reliance on an exemption from the registration requirement under section 22 Client mobility exemption - individuals

Complete Form 31-103F3 [PDF] and submit through the OSC Electronic Filing Portal

Form 32-102F1 Submission to Jurisdiction and Appointment of Agent for Service for International Fund Manager
  • Notify the OSC of reliance on the permitted client exemption for international investment fund managers under section 4 Permitted clients

Complete the Form 32-102F1 [PDF] and submit through the OSC Electronic Filing Portal

Form 32-102F2 Notice of Regulatory Action Notify the OSC of reliance on the permitted client exemption for international investment fund managers under section 4 Permitted clients

Complete Form 32-102F2 [PDF] and submit through the OSC Electronic Filing Portal

Reliance on exemption from investment fund manager registration under Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Managers
  • Notify the OSC of reliance on the permitted client exemption for international investment fund managers under section 4 Permitted clients
  • Notify the OSC of the total assets under management attributable to securities beneficially owned by residents of Ontario as at the most recently completed month
  • Unregistered international investment fund managers must complete this form by December 1 each year

Complete the notification using the online general submission form and submit through the OSC Electronic Filing Portal

Form 32-505F1 Information Report for United States Broker-Dealers and Advisers Servicing US Clients from Ontario
  • Notify the OSC of reliance on the exemptions from registration for United States Broker-Dealers and Advisers under OSC Rule 32-505 Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing US Clients from Ontario

Complete Form 32-505F1  [PDF] and submit through the OSC Electronic Filing Portal

Form 35-101F1/Form 35-101F2 Form of Submission to Jurisdiction and Appointment of Agent of Service of Process by Agents of the Broker Dealer
  • To notify the OSC of United States Broker-Dealers and Agent’s reliance on the exemptions from registration under National Instrument 35-101 Conditional Exemption from Registration for United States Broker Dealers and Agents

Complete Form 35-101F1 [PDF] or Form 35-101F2 [PDF] and submit through the OSC Electronic Filing Portal

Form 45-106F1 Report of Exempt Distribution
  • Report a distribution under the exemptions in National Instrument 45-106 Prospectus and Registration Exemptions and OSC Rule 45-501 Ontario Prospectus and Registration Exemptions

Complete Form 45-106F1 and submit through the OSC Electronic Filing Portal

Application for exemptive relief and notices under sections 11.9 and 11.10 of NI 31-103
  • Apply for exemptive relief from an eligible securities section or file a notice under sections 11.9 and 11.10 of NI 31-103

Complete the online application for exemptive relief [PDF] or file a notice through the OSC Electronic Filing Portal

Template form of notice under sections 11.9 and 11.10 of NI 31-103
  • Use this template form to prepare a notice (either in the pdf document or in a separate document) under sections 11.9 or 11.10 of NI 31-103. Attach and submit using the online form in the row above.
Notice 11.9 and 11.10
Application pre-filing
  • Make a pre-filing

Complete the online Application for pre-filing through the OSC Electronic Filing Portal

Form or document required to be filed or delivered with respect to orders, rulings and decisions issued by the Commission
  • Submit any forms or documents required to filed or delivered with respect to any orders, rulings and decisions issued by the Commission

Complete the OSC's online general submission form and submit with any forms or documents through the OSC Electronic Filing Portal