Forms Related to the Registration of Individuals:
The following forms are required to be accessed and submitted electronically through the National Registration Database (NRD). These forms are provided to you for your convenience. To view the forms, you must have Adobe Acrobat installed.
- Form 33-109F4 Registration of Individuals and Review of Permitted Individuals
- Form 33-109F2 Change or Surrender of Individual Categories
- Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individual
- Template for notices pursuant to sections 11.9 and 11.10 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103)
Forms Related to the Registration of Firms:
The following forms are required to be submitted in paper format to the principal regulator. These forms are provided to you for your convenience. To use the forms, you must have Adobe Acrobat installed.
- Form 33-109F6 Firm Registration
- Form 33-109F3 Business Locations Other Than Head Office
- Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals
- Form 31-103F2 Submission to Jurisdiction and Appointment of Agent
- Form 33-109F5 Change of Registration Information
- Monthly Suppression of Terrorism and UN Sanctions Report