Formulaires et documents d’inscription
Vous êtes tenu de remplir les formulaires et documents ci-dessous et de les déposer auprès de la Commission des valeurs mobilières de l'Ontario (CVMO) en vertu de la Loi sur les valeurs mobilières (Ontario) ou de la Loi sur les contrats à terme sur marchandises (Ontario). Vous devrez peut-être déterminer si votre société ou vous-même êtes tenu de transmettre des renseignements à d'autres territoires de compétence.
Pour obtenir des directives supplémentaires sur le dépôt de documents en Ontario, veuillez consulter le portail de dépôt électronique de documents de la CVMO (Disponible en anglais seulement).
Si vous devez payer des droits avec le dépôt d'un document ou des droits de participation annuels, veuillez consulter la section sur le paiement des droits d'inscription pour obtenir des directives supplémentaires.
Tous les formulaires ne sont accessibles qu'en anglais. Veuillez consulter la section anglaise du site Web.
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 |
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Form 33-109F6/Form 33-506F6 Firm Registration |
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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 |
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Form 33-109F3 [PDF] Form 33-506F3 [PDF] |
Form 33-109F5/Form 33-506F5 Change of Information |
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Complete the relevant form and submit through the OSC’s Electronic Filing Portal. Form 33-109F5 [PDF] Form 33-506F5 [PDF] |
Insurance information |
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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 |
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Complete and submit the report using the OSC’s online Electronic Filing Portal. |
Voluntary surrender |
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Complete the notification using the OSC’s online general submission form and submit through the OSC’s online Electronic Filing Portal. Guide to Completing and Filing a Voluntary Surrender Application [PDF] |
Form or document required to be filed or delivered with respect to terms and conditions |
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Complete the form or document using the OSC’s online general submission form and submit through the OSC Electronic Filing Portal. |
Authorized Affiliate Certificate pursuant to s. 3.1(2.1) of NI 33-109 |
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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 |
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Form 33-109F1/Form 33-506F1 Notice of Termination of Registered Individuals and Permitted Individuals |
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Form 33-109F1 [PDF] Form 33-506F1 [PDF] |
Form 33-109F2/Form 33-506F2 Change or Surrender of Individual Categories |
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Form 33-109F2 [PDF] Form 33-506F2 [PDF] |
Form 33-109F4/Form 33-506F4 Registration of Individuals and Review of Permitted Individuals |
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Form 33-109F4 [PDF] Form 33-506F4 [PDF] |
Form 33-109F5/Form 33-506F5 Change of Information |
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Form 33-109F5 [PDF] Form 33-506F5 [PDF] |
Form 33-109F7/Form 33-506F7 Reinstatement of Registered Individuals and Permitted Individuals |
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Form 33-109F7 [PDF] Form 33-506F7 [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 |
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Notification by funding portal regarding termination of a distribution pursuant to s. 38(1) of MI 45-108 Crowdfunding |
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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 |
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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 |
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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 |
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Complete and submit the relevant form using the OSC online submission process.
Form 31-103F1 [PDF] Form 31-103F4 [PDF] |
Subordination Agreements |
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Complete and submit the relevant form using the OSC online submission process.
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Capital deficiency |
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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: |
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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 |
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Complete Form 13-502F4 using the OSC online submission process and submit through the OSC’s online Electronic Filing Portal.
Form 13-502F4 [PDF]
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 |
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Complete the participation fee online calculation form and submit through the OSC’s online Electronic Filing Portal.
Form 13-502F4-F5 [PDF]
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 |
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Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service |
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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 |
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Complete the notification using the online general submission form and submit through the OSC’s online Electronic Filing Portal
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Form 31-103F3 Use of Mobility Exemption |
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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 |
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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 |
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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 |
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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 |
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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 |
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Complete Form 45-106F1 [PDF] and submit through the OSC Electronic Filing Portal |
Application for exemptive relief and notices under sections 119 and 1110 of NI 31-103 |
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Complete the online application for exemptive relief [PDF] or file a notice through the OSC Electronic Filing Portal |
Application pre-filing |
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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 |
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Complete the OSC's online general submission form and submit with any forms or documents through the OSC Electronic Filing Portal |
*For more information on the OSC’s service standard timing to acknowledge Notice of End of Individual Registration or Permitted Individual Status, see the OSC Service Commitment.