Forms and Documents | OSC | 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)

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section--default"> <div class="container"> <div class="row"> <div class="section-header"> </div> <div class="references-wrapper__references"> <div id="block-breadcrumbs" class="block block-system block-system-breadcrumb-block"> <nav class="breadcrumb" aria-labelledby="system-breadcrumb"> <h2 id="system-breadcrumb" class="visually-hidden">Breadcrumb</h2> <ol> <li> <a href="/en">Home</a> </li> <li> <a href="/en/industry">Industry</a> </li> <li> <a href="/en/industry/registration-and-compliance">Registration and compliance</a> </li> <li> Forms and Documents </li> </ol> </nav> </div> </div> </div> <div class="swiper-pagination"></div> </div> </section> <section id="" class="two-column-layout two-column-layout--default sticky layout-2-col--25-75 container section section--default"> <div class="two-column-layout__left"> <section id="" class="references-wrapper references-wrapper--default layout-1-col transparent component-menu-left-sidebar section section--default"> <div class="container"> 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data-drupal-link-system-path="node/456276">OSC Bulletin</a> </li> <li class="menu-item menu-item--expanded menu-item--active-trail"> <a href="/en/securities-law/filing-documents-online" data-drupal-link-system-path="node/464836">Filing documents online</a> <ul class="menu"> <li class="menu-item menu-item--active-trail"> <a href="/en/industry/registration-and-compliance/forms-and-documents" data-drupal-link-system-path="node/456901" class="is-active" aria-current="page">Registration forms and documents</a> </li> <li class="menu-item"> <a href="/en/industry/companies/reporting-issuer-and-issuer-forms" data-drupal-link-system-path="node/464991">Reporting issuer and issuer forms</a> </li> </ul> </li> </ul> </li> </ul> </nav> </div> </div> <div class="swiper-pagination"></div> </div> </section> </div> <div class="two-column-layout__right"> <section id="section427761" class="text-section text-section--default container section section--default has-anchor section427761"> <div class="content"> <p>The following forms and documents are required to be completed and filed with the Ontario Securities Commission (OSC) under the <em>Securities Act</em> (Ontario) or the <em>Commodity Futures Act</em> (Ontario). You may need to consider whether you are, or your firm is, required to submit information with other jurisdictions.</p><p>For further filing instructions in Ontario please refer to the <a href="/en/securities-law/filing-documents-online" data-entity-type="node" data-entity-uuid="23a25222-623b-4498-a69c-4518bae6fa3f" data-entity-substitution="canonical">OSC's electronic filing portal</a>.</p><p>Where a fee is due with any of the filings below or for annual participation fees, please refer to further instructions on <a href="/en/industry/registration-and-compliance/registration-forms-and-documents/fees" data-entity-type="node" data-entity-uuid="640e58c9-7bc2-4f5c-a474-5e5062793a71" data-entity-substitution="canonical">paying registrant-related fees</a>.</p><p>A firm may be both an investment dealer and mutual fund dealer (<strong>dual registered firm</strong>) 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.</p> </div> </section> <section id="section427786" class="text-section text-section--default with-bullet container section section--default has-anchor section427786"> <div class="title"> <h2>Firms</h2> </div> <div class="content"> <p><strong>Please note: </strong>PDF form provided for reference purposes only. All filings must be made using the online form or through the National Registration Database (NRD).</p> <table border="1" cellpadding="1" cellspacing="1" style="width: 100%;"> <thead> <tr> <th scope="col">Form</th> <th scope="col">Use for form to:</th> <th scope="col">Submission method</th> </tr> </thead> <tbody> <tr> <td>Form 33-109F6/Form 33-506F6 <em>Firm Registration</em></td> <td> <ul> <li>Apply for initial registration as a dealer, adviser or investment fund manager</li> <li>Apply to add a category or jurisdiction to an existing registration</li> </ul> Guidance for new firms: <ul> <li>PDF: <a href="/sites/default/files/2020-11/form-registration-guide.pdf">Guide to Completing and Filing an Application for Registration</a>.</li> </ul> </td> <td> <p>Complete the relevant form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a>.</p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="91f30791-fc79-4c38-9e5a-12bd4383042a" href="/sites/default/files/2022-06/form_20220606_33-109F6_unofficial-consolidation_fillable.pdf" title="Unofficial Consolidation: Form 33-109F6 Firm Registration">Form 33-109F6</a> [PDF]</p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="cfd8092f-59a2-4209-a5e2-26e996f0832f" href="/sites/default/files/2022-06/form_20220606_33-506f6_unofficial-consolidation_1.pdf" title="Unofficial Consolidation: Form 33-506F6 Firm Registration">Form 33-506F6</a> [PDF]</p> </td> </tr> <tr> <td>Form 33-109F3/Form 33-506F3 <em>Business Locations other than Head Office</em></td> <td> <ul> <li>Notify the OSC of the opening of, or any change to, a business location of the firm</li> </ul> </td> <td> <p><a href="https://www.nrd.ca/">NRD</a></p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="9b16431c-54f0-4f7a-a151-b7bd6929ce97" href="/sites/default/files/2022-06/form_20220606_33-109F3_unofficial-consolidation-fillable.pdf" title="Unofficial Consolidation: Form 33-109F3 Business Locations Other Than Head Office">Form 33-109F3</a><a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="62dd934b-0db9-4025-aca3-2513f68b329a" href="/en/securities-law/instruments-rules-policies/3/33-109/unofficial-consolidation-form-33-109f3-business-locations-other-head-office"> </a>[PDF]<br>  </p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="01171c1b-6da9-4e8b-9606-e4276f24506c" href="/sites/default/files/2022-06/form_20220606_33-506f3_unofficial-consolidation_0.pdf" title="Unofficial Consolidation: Form 33-506F3 Business Locations Other Than Head Office (section 3.2)">Form 33-506F3</a> [PDF]<br>  </p> </td> </tr> <tr> <td>Form 33-109F5/Form 33-506F5 <em>Change of Information</em></td> <td> <ul> <li>Notify the OSC of a change to previously submitted registration information</li> <li>* For a change to insurance information, refer to the Insurance information section below for instructions</li> </ul> </td> <td> <p>Complete the relevant form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC’s Electronic Filing Portal</a>.</p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="4c60114a-c456-4658-b9cc-524b45e34f69" href="/sites/default/files/2022-06/form_20220606_33-109F5_unofficial-consolidation_0.pdf" title="Unofficial Consolidation: Form 33-109F5 Change of Registration Information">Form 33-109F5</a> [PDF]</p> <p><a href="/sites/default/files/2022-06/form_20220606_33-506f5_unofficial-consolidation-fillable.pdf">Form 33-506F5</a> [PDF]<br>  </p> </td> </tr> <tr> <td>Insurance information</td> <td> <ul> <li>Notify the OSC of a change in, claim made under, or cancellation of an insurance policy (including renewal of an existing policy)</li> </ul> </td> <td> <p>Complete the notification using the OSC’s online general submission form and submit through the <a href="https://portal.osc.ca/efilings/modern/31-103-instructions/">OSC’s online Electronic Filing Portal</a>.</p> </td> </tr> <tr> <td>Monthly Suppression of Terrorism and Canadian Sanctions Reporting</td> <td> <ul> <li>CSA Reporting Form for complying with the monthly suppression of terrorism and Canadian sanctions reporting obligations under certain federal provisions.</li> </ul> </td> <td> <p>Complete and submit the report using the <a href="https://portal.osc.ca/efilings/modern/sot">OSC’s online Electronic Filing Portal</a>.</p> </td> </tr> <tr> <td>Voluntary surrender</td> <td> <ul> <li>Notify the OSC of an application by a firm to voluntarily surrender registration</li> </ul> </td> <td> <p>Complete the notification using the OSC’s online general submission form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC’s online Electronic Filing Portal</a>.</p> <p><a href="https://www.osc.ca/sites/default/files/2021-11/voluntary-surrender-guide.pdf" target="_blank">Guide to Completing and Filing a Voluntary Surrender Application</a> [PDF]</p> </td> </tr> <tr> <td>Form or document required to be filed or delivered with respect to terms and conditions</td> <td> <ul> <li>Submit any forms or documents required to filed or delivered with respect to terms and conditions imposed on a registrant firm’s registration.</li> </ul> </td> <td> <p>Complete the form or document using the OSC’s online general submission form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a>.</p> </td> </tr> <tr> <td>Authorized Affiliate Certificate pursuant to s. 3.1(2.1) of NI 33-109</td> <td> <ul> <li>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</li> </ul> </td> <td> <p>Complete the form or document using the OSC’s online general submission form and submit through the OSC Electronic Filing Portal.</p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="fd3d6550-03d8-476f-8383-23028e3a3824" href="/sites/default/files/2022-06/ni_20220606_33-109_unofficial-consolidation_fillable.pdf" title="Authorized Affiliate Certificate pursuant to subsection 3.1(2.1)) of National Instrument 33-109 Registration Information">Multiple Affiliate Certificate</a> [PDF]</p> </td> </tr> </tbody> </table> </div> </section> <section id="section427791" class="text-section text-section--default with-bullet container section section--default has-anchor section427791"> <div class="title"> <h2>Individuals</h2> </div> <div class="content"> <p style="margin-bottom:11px"><strong>Please note:</strong> PDF form provided for reference purposes only. All filings must be made on the National Registration Database (NRD).</p> <table border="1" cellpadding="1" cellspacing="1" style="width: 100%;"> <thead> <tr> <th scope="col" style="width: 176px;">Form</th> <th scope="col" style="width: 334px;">Use this form to:</th> <th scope="col" style="width: 230px;">Submission method</th> </tr> </thead> <tbody> <tr> <td style="width: 176px;">Form 33-109F1/Form 33-506F1 <em>Notice of End of Individual Registration or Permitted Individual Status</em></td> <td style="width: 334px;"> <ul> <li>Notify the OSC of the termination of a registered or permitted individual’s authority to act on behalf of the firm<a href="#section518741"><sup>*</sup></a></li> </ul> </td> <td style="width: 230px;"> <p><a href="https://www.nrd.ca/">NRD</a></p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="d7a00e5f-ecca-484f-8a96-71f955eb5a40" href="/sites/default/files/2022-06/form_20220606_33-109F1_unofficial-consolidation.pdf" title="Unofficial Consolidation: Form 33-109F1 Notice of End of Individual Registration or Permitted Individual Status">Form 33-109F1</a> [PDF]</p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="d38bd9aa-0800-44a4-8fb8-ee670f378d9f" href="/sites/default/files/2022-06/form_20220606_33-506f1_unofficial-consolidation.pdf" title="Unofficial Consolidation: Form 33-506F1 Notice of Termination of Registered Individuals and Permitted Individuals (Section 4.2)">Form 33-506F1</a> [PDF]</p> </td> </tr> <tr> <td style="width: 176px;">Form 33-109F2/Form 33-506F2 <em>Change or Surrender of Individual Categories</em></td> <td style="width: 334px;"> <ul> <li>Apply for registration or approval in an additional category</li> <li>Surrender a category while maintaining registration in one or more other categories</li> </ul> </td> <td style="width: 230px;"> <p><a href="https://www.nrd.ca/">NRD</a></p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="e8d74535-9e89-40fb-b324-a28d12889962" href="/sites/default/files/2022-06/form_20220606_33-109F2_unofficial-consolidation.pdf" title="Unofficial Consolidation: Form 33-109F2 Change or Surrender of Individual Categories">Form 33-109F2</a> [PDF]<br>  </p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="ef85b87a-fe3d-44f7-85b6-defbc9451b68" href="/sites/default/files/2022-06/form_20220606_33-506f2_unofficial-consolidation_0.pdf" title="Unofficial Consolidation: Form 33-506F2 Change or Surrender of Individual Categories (section 2.2(2), 2.5(2) or 4.1(5))">Form 33-506F2</a> [PDF]</p> </td> </tr> <tr> <td style="width: 176px;">Form 33-109F4/Form 33-506F4 <em>Registration of Individuals and Review of Permitted Individuals</em></td> <td style="width: 334px;"> <ul> <li>Apply for registration in individual categories or review as a permitted individual</li> </ul> </td> <td style="width: 230px;"> <p><a href="https://www.nrd.ca/">NRD</a></p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="527d2eb5-faae-4070-bfdc-0212b6b884e0" href="/sites/default/files/2022-06/form_20220606_33-109F4_unofficial-consolidation.pdf" title="Unofficial Consolidation: Form 33-109F4 Registration of Individuals and Review of Permitted Individuals">Form 33-109F4</a> [PDF]</p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="b4023b95-e618-45d8-9e82-47feddd8b172" href="/sites/default/files/2022-06/form_20220606_33-506f4_unofficial-consolidation.pdf" title="Unofficial Consolidation: Form 33-506F4 Registration of Individuals and Review of Permitted Individuals (Section 2.2)">Form 33-506F4</a> [PDF]</p> </td> </tr> <tr> <td style="width: 176px;">Form 33-109F5/Form 33-506F5 <em>Change of Information</em></td> <td style="width: 334px;"> <ul> <li>Notify the OSC of a change to previously submitted registration information</li> </ul> </td> <td style="width: 230px;"> <p><a href="https://www.nrd.ca/">NRD</a></p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="4c60114a-c456-4658-b9cc-524b45e34f69" href="/sites/default/files/2022-06/form_20220606_33-109F5_unofficial-consolidation_0.pdf" title="Unofficial Consolidation: Form 33-109F5 Change of Registration Information">Form 33-109F5</a> [PDF]</p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="cf00ca3c-9fe7-4a69-a6da-6b1472d90dea" href="/sites/default/files/2022-06/form_20220606_33-506f5_unofficial-consolidation-fillable.pdf">Form 33-506F5</a> [PDF]</p> </td> </tr> <tr> <td style="width: 176px;">Form 33-109F7/Form 33-506F7 <em>Reinstatement of Registered Individuals and Permitted Individuals</em></td> <td style="width: 334px;"> <ul> <li>Transfer individual’s registration between sponsoring firms or reinstate an individual’s registration or a permitted individual status</li> </ul> </td> <td style="width: 230px;"> <p><a href="https://www.nrd.ca/">NRD</a></p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="9a48173d-afe6-4f77-9b34-abfac511734c" href="/sites/default/files/2022-06/form_20220606_33-109F7_unofficial-consolidation.pdf" title="Unofficial Consolidation: Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals">Form 33-109F7</a> [PDF]</p> <p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="295d08c7-3999-4fb4-a0a9-d83a5ace3f73" href="/sites/default/files/2022-06/form_20220606_33-506f7_unofficial-consolidation.pdf" title="Unofficial Consolidation: Form 33-506F7 Reinstatement of Registered Individuals and Permitted Individuals (Sections 2.3 and 2.4(2))">Form 33-506F7</a> [PDF]</p> </td> </tr> </tbody> </table> <p> </p> </div> </section> <section id="section427826" class="text-section text-section--default with-bullet container section section--default has-anchor section427826"> <div class="title"> <h2>Funding portals</h2> </div> <div class="content"> <p style="margin-bottom:11px;">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).</p><p><strong>Please note: </strong>PDF form provided for reference purposes only. All filings must be made using the online form.</p><table style="width:100%;" border="1" cellpadding="1" cellspacing="1"><thead><tr><th scope="col">Form</th><th scope="col">Use this form to:</th><th scope="col">Submission method</th></tr></thead><tbody><tr><td>Notification by funding portal regarding termination of a distribution pursuant to s. 38(1) of MI 45-108 <em>Crowdfunding</em></td><td><ul><li>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.</li></ul></td><td>Complete the notification using the online general submission form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a>.</td></tr><tr><td>Report required to be delivered by a funding portal pursuant to s. 38(2) of MI 45-108 <em>Crowdfunding</em></td><td><ul><li>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.</li></ul></td><td>Complete the report using the online general submission form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a>.</td></tr></tbody></table><p> </p> </div> </section> <section id="section528991" class="text-section text-section--default container section section--default has-anchor section528991"> <div class="title"> <h2>Derivatives</h2> </div> <div class="content"> <p>The following forms and documents apply to derivatives firms (derivatives dealers and derivatives advisers) with respect to requirements under 93-101 Derivatives: Business Conduct.</p><table border="1" cellpadding="1" cellspacing="1"><thead><tr><th scope="col">Form</th><th scope="col">Use this form to:</th><th scope="col">Submission method</th></tr></thead><tbody><tr><td>Form 93-101F1 <em>Submission to Jurisdiction and Appointment of Agent for Service of Process</em></td><td><ul><li>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<em> Derivatives: Business Conduct.</em></li></ul></td><td><p><a href="/sites/default/files/2024-06/mi_20240613_93-101F1_fillable.pdf" aria-label="Form 93-101F1 – Submission to Jurisdiction and Appointment of Agent for Service of Process (form fillable) - 2024-05-24" rel="bookmark" data-entity-type="media" data-entity-uuid="3086d088-cef2-4cb1-8837-5428e5986f0a" data-entity-substitution="media">Form 93-101F1</a> [PDF]</p><p>Complete PDF form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a>.</p></td></tr><tr><td>Form for derivatives dealers reporting material non-compliance under section 33 of MI 93-101</td><td><ul><li>Notify the OSC of any reportable material non-compliance with the requirements of MI 93-101 <em>Derivatives: Business Conduct </em>or other securities legislation relating to trading in derivatives given the conditions in section 33 <em>Responsibility of a derivatives dealer to report to the regulator or the securities regulatory authority.</em></li></ul></td><td><p><a href="/sites/default/files/2024-06/cp_20240613_93-101cp_appendix-a-fillable.pdf" aria-label="Appendix A to Companion Policy 93-101 Derivatives: Business Conduct – Suggested form of report for reportable material non-compliance under section 33 (form fillable) - 2024-05-24" rel="bookmark" data-entity-type="media" data-entity-uuid="ba0b1b56-8df4-4a84-88f3-e9b1394e9141" data-entity-substitution="media">Suggested form of report for reportable material non-compliance under section 33</a> [PDF]</p><p>Complete PDF form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a>.</p></td></tr></tbody></table> </div> </section> <section id="section427831" class="text-section text-section--default with-bullet container section section--default has-anchor section427831"> <div class="title"> <h2>Capital and financial requirements</h2> </div> <div class="content"> <p><strong>Please note:</strong> PDF form provided for reference purposes only. All filings must be made using the online form.</p><table style="width:100%;" border="1" cellpadding="1" cellspacing="1"><thead><tr><th scope="col">Form</th><th scope="col">Use this form to:</th><th scope="col">Submission method</th></tr></thead><tbody><tr><td><p>Form 31-103F1 <em>Calculation of Excess Working Capital</em></p><p>Annual financial statements, interim financial information and other financial information</p><p>Repayment of a subordinated loan or termination of a subordination agreement</p><p>Form 31-103F4 <em>Net Asset Value Adjustments</em><br> </p></td><td><ul><li>Determine and notify the OSC of a firm’s excess working capital as at the end of a financial year or interim period</li><li>Deliver required financial information to the OSC</li><li>Notify the OSC of a repayment of a subordinated loan or termination of a subordination agreement</li><li>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 <em>Registration Requirements, Exemptions and Ongoing Registrant Obligations</em></li></ul></td><td><p>Complete and submit the relevant form using the <a href="https://portal.osc.ca/efilings/modern/31-103-instructions/">OSC online submission process</a>.</p><p> </p><p><a href="/sites/default/files/2020-12/form_31-103f1.pdf">Form 31-103F1</a> [PDF]</p><p><a href="/sites/default/files/2020-12/form_31-103f4.pdf">Form 31-103F4</a> [PDF]<br> </p></td></tr><tr><td>Subordination Agreements</td><td><ul><li>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</li></ul></td><td><p>Complete and submit the relevant form using the <a href="https://portal.osc.ca/efilings/modern/generic">OSC online submission process</a>.</p><p> </p><p><a href="/sites/default/files/2020-12/form_31-103f1_subordinationAgreement.pdf">Appendix B - Subordination Agreement</a></p></td></tr><tr><td>Capital deficiency</td><td><ul><li>Notify the OSC of a capital deficiency (i.e. excess working capital of a registered firm is less than zero)</li></ul></td><td>E-mail to <a href="/cdn-cgi/l/email-protection#483a2d2f213b3c3a293c21272608273b2b662f273e662726662b29"><span class="__cf_email__" data-cfemail="770512101e04030516031e18193718041459101801591819591416">[email protected]</span></a></td></tr></tbody></table><p> </p> </div> </section> <section id="section427836" class="text-section text-section--default with-bullet container section section--default has-anchor section427836"> <div class="title"> <h2>Participation Fees</h2> </div> <div class="content"> <p style="margin-bottom:11px;"><strong>Please note: </strong>PDF form provided for reference purposes only. All filings must be made using the online form.</p><table style="width:100%;" border="1" cellpadding="1" cellspacing="1"><thead><tr><th scope="col">Form</th><th scope="col">Use this form to:</th><th scope="col">Submission method:</th></tr></thead><tbody><tr><td><p>Form 13-502F4 for firms registered under the <em>Securities Act </em>or under both the <em>Securities Act </em>and <em>Commodity Futures Act</em></p><p>Form 13-503F1 for firms registered only under the <em>Commodity Futures Act</em><br> </p></td><td><ul><li>Determine and notify the OSC of  participation fees payable.</li><li>All registered firms, unregistered exempt international firms and unregistered investment fund managers must complete this form by November 1 each year.</li></ul></td><td><p>Complete Form 13-502F4 using the OSC online submission process and submit through the <a href="https://portal.osc.ca/efilings/modern/13-502F4?$version=2024_e7906c80-728b-ed11-81ac-0022483e130e">OSC’s online Electronic Filing Portal</a>.</p><p> </p><p>For fees as of April 3, 2023<br><a href="/sites/default/files/2023-03/20230403_form_13-502F4.pdf">Form 13-502F4</a> [PDF]<br><br>Forms used for years before April 3, 2023<br><a href="/sites/default/files/2020-12/form_13-502F4_0.pdf">Form 13-502F4 </a>[PDF]</p><p><br>Complete Form 13-503F1 using the OSC online submission process and submit through the <a href="https://portal.osc.ca/efilings/modern/13-503F1?$version=2024_e7906c80-728b-ed11-81ac-0022483e130e">OSC’s online Electronic Filing Portal</a>.</p><p> </p><p>For fees as of April 3, 2023<br><a href="/sites/default/files/2023-03/20230403_form_13-503F1.pdf">Form 13-503F1</a> [PDF]<br><br>Forms used for years before April 3, 2023<br><a href="/sites/default/files/2020-12/form_13-503F1.pdf">Form 13-503F1</a> [PDF]</p></td></tr><tr><td>Adjusted Form 13-502F4 and Form 13-502F5 <em>Adjustment of Fee for Registrant Firms and Unregistered Exempt International Firms </em>/ Adjusted Form 13-503F1 and completed Form 13-503F2 <em>Adjustment of Fee Payment</em></td><td><ul><li>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</li></ul></td><td><p>Complete the participation fee online calculation form and submit through the <a href="https://portal.osc.ca/efilings/modern/13-502F4_F5?$version=2022_42e74853-3a8c-ed11-81ac-0022483be9ab">OSC’s online Electronic Filing Portal</a>.</p><p> </p><p><a href="/sites/default/files/2020-12/form_13-502F4-F5_1.pdf">Form 13-502F4-F5</a> [PDF]</p><p><br>Complete the participation fee online calculation form and submit through the <a href="https://portal.osc.ca/efilings/modern/13-503F1_F2?$version=2022_5ae74853-3a8c-ed11-81ac-0022483be9ab">OSC’s online Electronic Filing Portal</a>.</p><p> </p><p><a href="/sites/default/files/2020-12/form_13-503F1-F2_1.pdf">Form 13-503F1-F2</a> [PDF]</p></td></tr></tbody></table><p> </p> </div> </section> <section id="section427841" class="text-section text-section--default with-bullet container section section--default has-anchor section427841"> <div class="title"> <h2>Exemptions and applications for exemptive relief</h2> </div> <div class="content"> <p>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.  </p><p><strong>Please note:</strong> PDF form provided for reference purposes only. All filings must be made using the online form.</p><table style="width:100%;" border="1" cellpadding="1" cellspacing="1"><thead><tr><th scope="col">Form</th><th scope="col">Use this form to:</th><th scope="col">Submission method</th></tr></thead><tbody><tr><td>Form 31-103F2 <em>Submission to Jurisdiction and Appointment of Agent for Service</em></td><td><ul><li>Notify the OSC of reliance on the exemption from the registration requirement under sections 818 <strong>International Dealer</strong> and 826 I<strong>nternational Adviser</strong> of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations</li></ul></td><td>Complete <a href="/sites/default/files/2020-12/form_31-103f2.pdf">Form 31-103F2 </a> [PDF] and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a></td></tr><tr><td>Notification to OSC that a firm is no longer relying on an exemption from registration requirements</td><td><ul><li>Notify the OSC that a firm is no longer relying on the exemption from the registration requirement under sections 818 <strong>International Dealer</strong> and/or 826 <strong>International Adviser</strong> of National Instrument 31-103 <em>Registration Requirements, Exemptions and Ongoing Registrant Obligations</em></li><li>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 <em>Registration Exemptions for Non-Resident Investment Fund Manager</em></li></ul></td><td><p>Complete the notification using the online general submission form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC’s online Electronic Filing Portal</a></p><p> </p></td></tr><tr><td>Form 31-103F3<em> Use of Mobility Exemption</em></td><td><ul><li>Notify the OSC of an individual’s reliance on an exemption from the registration requirement under section 22 <strong>Client mobility exemption - individuals</strong></li></ul></td><td>Complete <a href="/sites/default/files/2020-12/form_31-103f3.pdf">Form 31-103F3</a> [PDF] and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a></td></tr><tr><td>Form 32-102F1 <em>Submission to Jurisdiction and Appointment of Agent for Service for International Fund Manager</em></td><td><ul><li>Notify the OSC of reliance on the permitted client exemption for international investment fund managers under section 4 <strong>Permitted clients</strong></li></ul></td><td>Complete the <a href="/sites/default/files/2020-12/form_32-102f1.pdf">Form 32-102F1</a> [PDF] and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a></td></tr><tr><td>Form 32-102F2 <em>Notice of Regulatory Action</em></td><td>Notify the OSC of reliance on the permitted client exemption for international investment fund managers under section 4 <strong>Permitted clients</strong></td><td>Complete <a href="/sites/default/files/2020-12/form_32-102f2.pdf">Form 32-102F2</a> [PDF] and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a></td></tr><tr><td>Reliance on exemption from investment fund manager registration under Multilateral Instrument 32-102 <em>Registration Exemptions for Non-Resident Investment Fund Managers</em></td><td><ul><li>Notify the OSC of reliance on the permitted client exemption for international investment fund managers under section 4 <strong>Permitted clients</strong></li><li>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</li><li>Unregistered international investment fund managers must complete this form by December 1 each year</li></ul></td><td>Complete the notification using the online general submission form and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a></td></tr><tr><td>Form 32-505F1 <em>Information Report for United States Broker-Dealers and Advisers Servicing US Clients from Ontario</em></td><td><ul><li>Notify the OSC of reliance on the exemptions from registration for United States Broker-Dealers and Advisers under OSC Rule 32-505 <em>Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing US Clients from Ontario</em></li></ul></td><td>Complete Form 32-505F1  [PDF] and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a></td></tr><tr><td>Angel Investor Group Information Form under Ontario Instrument 32-508 <em>Not-for-profit Angel Investor Group Registration Exemption (Interim Class Order)</em></td><td><ul><li>Notify the OSC of reliance on Ontario Instrument 32-508 <em>Not-for-profit Angel Investor Group Registration Exemption (Interim Class Order)</em>,</li><li>File annual reports required by Ontario Instrument 32-508 <em>Not-for-profit Angel Investor Group Registration Exemption (Interim Class Order)</em></li></ul></td><td>Complete and submit through the <a href="https://portal.osc.ca/efilings/32-508-page1">OSC’s online Electronic Filing Portal</a></td></tr><tr><td>Form 32-509F1 <em>Early-Stage Business Notification</em></td><td><ul><li>Notify the OSC of reliance on Ontario Instrument 32-509 <em>Early-Stage Business Registration Exemption (Interim Class Order)</em></li></ul></td><td>Complete and submit through the <a href="https://portal.osc.ca/efilings/32-509F1-page1">OSC’s online Electronic Filing Portal</a></td></tr><tr><td>Form 35-101F1/Form 35-101F2 <em>Form of Submission to Jurisdiction and Appointment of Agent of Service of Process by Agents of the Broker Dealer</em></td><td><ul><li>To notify the OSC of<strong> United States Broker-Dealers and Agent’</strong>s reliance on the exemptions from registration under National Instrument 35-101 <em>Conditional Exemption from Registration for United States Broker Dealers and Agents</em></li></ul></td><td>Complete Form 35-101F1 [PDF] or Form 35-101F2 [PDF] and submit through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a></td></tr><tr><td height="101">Form 45-106F1 <em>Report of Exempt Distribution</em></td><td><ul><li>Report a distribution under the exemptions in National Instrument 45-106 <em>Prospectus and Registration Exemptions</em> and OSC Rule 45-501 <em>Ontario Prospectus and Registration Exemptions</em></li></ul></td><td><p class="MsoNormal">Complete <a href="/en/industry/companies/reporting-issuer-and-issuer-forms/form-45-106f1-report-exempt-distribution" data-entity-type="node" data-entity-uuid="277cb189-653d-4b60-9622-f7cf057551af" data-entity-substitution="canonical">Form 45-106F1</a> and submit through the OSC Electronic Filing Portal</p></td></tr><tr><td>Application for exemptive relief and notices under sections 11.9 and 11.10 of NI 31-103</td><td><ul><li>Apply for exemptive relief from an eligible securities section or file a notice under sections 11.9 and 11.10 of NI 31-103</li></ul></td><td>Complete the online application for exemptive relief [PDF] or file a notice through the <a href="https://portal.osc.ca/efilings/modern/application-notice">OSC Electronic Filing Portal</a></td></tr><tr><td>Template form of notice under sections 11.9 and 11.10 of NI 31-103</td><td><ul><li>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.</li></ul></td><td><a href="/sites/default/files/2023-12/form_31-103.pdf">Notice 11.9 and 11.10</a></td></tr><tr><td>Application pre-filing</td><td><ul><li>Make a pre-filing</li></ul></td><td>Complete the online Application for pre-filing through the <a href="https://portal.osc.ca/efilings/modern/application-prefiles">OSC Electronic Filing Portal</a></td></tr><tr><td>Form or document required to be filed or delivered with respect to orders, rulings and decisions issued by the Commission</td><td><ul><li>Submit any forms or documents required to filed or delivered with respect to any orders, rulings and decisions issued by the Commission</li></ul></td><td>Complete the OSC's online general submission form and submit with any forms or documents through the <a href="https://portal.osc.ca/efilings/modern/generic">OSC Electronic Filing Portal</a></td></tr></tbody></table><p> </p> </div> </section> <section id="section518741" class="text-section text-section--default container section section--default has-anchor section518741"> <div class="content"> <p>*For more information on the OSC’s service standard timing to acknowledge Notice of End of Individual Registration or Permitted Individual Status, see the <a href="/about-us/accountability/osc-service-commitment" rel="noreferrer" title="OSC Service Commitment">OSC Service Commitment</a>.</p> </div> </section> </div> </section> </article> </div> </div> </div> </div>   </div>  </div>   <footer id="footer" class="container-fluid"> <div class="footer-light footer-main-menu row d-none d-sm-none d-md-none d-lg-none d-xl-block"> <div class="container"> <div class="footer__content"> <div class="region region-footer"> <nav aria-labelledby="block-mainnavigation-footer-menu" id="block-mainnavigation-footer" class="block block-menu navigation menu--main"> <div class="visually-hidden" id="block-mainnavigation-footer-menu">Footer main navigation</div> <ul 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</ul> </li> </ul> </li> <li class="menu-item menu-item--expanded"> <ul class="menu-link"> <li class="link-text"><a href="/en/securities-law/instruments-rules-policies" data-drupal-link-system-path="node/453551">Instruments, rules and policies</a></li> <li> <button class="show-sub-links" type="button" aria-label="Show sub links for Instruments, rules and policies"> <img class="mm-icon-default" src="/themes/custom/osc_glider/images/icon-arrow-light.svg" alt=""/> <img class="mm-icon-focus" src="/themes/custom/osc_glider/images/icon-arrow-dark.svg" alt=""/> </button> </li> </ul> <ul class="menu menu-level--2"> <button type="button" class="back-button"> <span> <img src="/themes/custom/osc_glider/images/icon-chevron-left-white.svg" alt="A left arrow icon for back to one level up"/> </span> <span class="parent-item-title">Back</span> </button> <li class="menu-item"> <ul class="menu-link"> <li><a href="/en/securities-law/instruments-rules-policies/1" 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