Registration and Forms 

For more information on the new registration reform program, registration requirements and the application process, please review NI 31-103, NI 33-109, MI 11-102, and related documents. Firms seeking registration and whose principal jurisdiction is Alberta must file a 33-109F6 with the Alberta Securities Commission.

In order to rely on the relief granted by Blanket Order 31-505 Registration Exemption for Trades in Connection with Certain Prospectus Exempt Distributions, please use the link below that will direct you to the British Columbia Securities Commission e-filing system for such purposes:

Blanket Order 31-505 Appendix B Filings


Forms

31-103F1

Calculation of Excess Working Capital  


31-103F2

Submission to Jurisdiction and Appointment of Agent for Service  


31-103F3

Use of Mobility Exemption  


33-109F1

Notice of Termination of Registered Individuals and Permitted Individuals  


33-109F2

Change or Surrender of Individual Categories  


33-109F3

Business Locations other than Head Office  


33-109F4

Registration of Individuals and Review of Permitted Individuals  


33-109F5

Change of Registration Information  


33-109F6

Firm Registration  

Part 1 – Registration Details  

Part 2 Contact Information 

Part 3 – Business history and structure       

Part 4 – Registration history  

Part 5 – Financial condition    

Part 6 – Client relationships   

Part 7 – Regulatory action     

Part 8 – Legal action            

Part 9 – Certification           


33-109F7

Reinstatement of Registered Individuals and Permitted Individuals

Other Forms

 

Revised Suppression of Terrorism and UN Sanctions Reporting Form 

Published 30 Jul 2010