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.

A firm may be both an investment dealer and mutual fund dealer (dual registered firm) and may be required to submit certain additional forms or take additional steps with resect to the individuals its sponsors. If you have any questions or are interested in applying for registration as a dual registered firm, please contact your principal regulator and CIRO.

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: PDF: Guide to Completing and Filing an Application for Registration.	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 33-506F3 [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. 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	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.
Authorized Affiliate Certificate pursuant to s. 3.1(2.1) of NI 33-109	Indicate that you are relying on a registered affiliate with the same principal regulator to make certain filings on your behalf pursuant to s. 3.1(2.1) of NI 33-109	Complete the form or document using the OSC’s online general submission form and submit through the OSC Electronic Filing Portal. Multiple Affiliate Certificate [PDF]

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 End of Individual Registration or Permitted Individual Status	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 33-506F1 [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 33-506F2 [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 33-506F4 [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 33-506F5 [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] 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
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.

Derivatives

The following forms and documents apply to derivatives firms (derivatives dealers and derivatives advisers) with respect to requirements under 93-101 Derivatives: Business Conduct.

Form	Use this form to:	Submission method
Form 93-101F1 Submission to Jurisdiction and Appointment of Agent for Service of Process	Notify the OSC of reliance on the exemption under section 39 Foreign derivatives dealers or section 46 Foreign derivatives advisers of Multilateral Instrument 93-101 Derivatives: Business Conduct.	Form 93-101F1 [PDF] Complete PDF form and submit through the OSC Electronic Filing Portal.
Form for derivatives dealers reporting material non-compliance under section 33 of MI 93-101	Notify the OSC of any reportable material non-compliance with the requirements of MI 93-101 Derivatives: Business Conduct or other securities legislation relating to trading in derivatives given the conditions in section 33 Responsibility of a derivatives dealer to report to the regulator or the securities regulatory authority.	Suggested form of report for reportable material non-compliance under section 33 [PDF] Complete PDF form and submit through the OSC Electronic Filing Portal.

Form

Use this form to:

Submission method

Form 93-101F1 Submission to Jurisdiction and Appointment of Agent for Service of Process

Notify the OSC of reliance on the exemption under section 39 Foreign derivatives dealers or section 46 Foreign derivatives advisers of Multilateral Instrument 93-101 Derivatives: Business Conduct.

Form 93-101F1 [PDF]

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

Form for derivatives dealers reporting material non-compliance under section 33 of MI 93-101

Notify the OSC of any reportable material non-compliance with the requirements of MI 93-101 Derivatives: Business Conduct or other securities legislation relating to trading in derivatives given the conditions in section 33 Responsibility of a derivatives dealer to report to the regulator or the securities regulatory authority.

Complete PDF 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]

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 the OSC of participation fees payable. All registered firms, unregistered exempt international firms and unregistered investment fund managers must complete this form by November 1 each year.	Complete Form 13-502F4 using the OSC online submission process and submit through the OSC’s online Electronic Filing Portal. For fees as of April 3, 2023 Form 13-502F4 [PDF] Forms used for years before April 3, 2023 Form 13-502F4 [PDF] Complete Form 13-503F1 using the OSC online submission process and submit through the OSC’s online Electronic Filing Portal. For fees as of April 3, 2023 Form 13-503F1 [PDF] Forms used for years before April 3, 2023 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]

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 the OSC of participation fees payable.
All registered firms, unregistered exempt international firms and unregistered investment fund managers must complete this form by November 1 each year.

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

For fees as of April 3, 2023
Form 13-502F4 [PDF]

Forms used for years before April 3, 2023
Form 13-502F4 [PDF]

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

For fees as of April 3, 2023
Form 13-503F1 [PDF]

Forms used for years before April 3, 2023
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
Angel Investor Group Information Form under Ontario Instrument 32-508 Not-for-profit Angel Investor Group Registration Exemption (Interim Class Order)	Notify the OSC of reliance on Ontario Instrument 32-508 Not-for-profit Angel Investor Group Registration Exemption (Interim Class Order), File annual reports required by Ontario Instrument 32-508 Not-for-profit Angel Investor Group Registration Exemption (Interim Class Order)	Complete and submit through the OSC’s online Electronic Filing Portal
Form 32-509F1 Early-Stage Business Notification	Notify the OSC of reliance on Ontario Instrument 32-509 Early-Stage Business Registration Exemption (Interim Class Order)	Complete and submit through the OSC’s online 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

*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.