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Commodities Forms

Please select the form below that fits your needs.

All forms are in PDF format.

Exhibit A

Summary of a Dealer (Futures Commission Merchant)
Form 5 Application for Registration as a Dealer (floor broker, futures commission merchant or merchant)
Form 10 Application for Amendment of Registration as a Dealer or Adviser
Form 12 Disclosure Statement for Recognized Market Options
Form 13 Risk Disclosure Statement for Futures and Options
Form 14 Endorsement of Warrant
Form 18 Report of a Trade made under clause 34(a) of The Commodity Futures Act
Non-Resident Advisor or Dealer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Non-Resident Advisor or Dealer
Non-Resident Individual Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Salesperson, Partner or Officer of Non-Resident Dealer or Non-Resident Advisor
CPIC

Criminal Record Form

33-109F1 - revised July 11, 2011

Notice of Termination of Registered Individuals and Permitted Individuals
33-109F2 - revised July 11, 2011 Change or Surrender of Individual Categories
33-109F3 - revised July 11, 2011
Business Locations Other Than Head Office
33-109F4 - revised July 11, 2011 Registration of Individuals and Review of Permitted Individuals
33-109F5 - revised July 11, 2011
Change of Registration Information
33-109F6 - revised July 11, 2011
Firm Registration - Instructions and forms
33-109F7 - revised July 11, 2011 Reinstatement of Registered Individuals and Permitted Individuals
Suppression of Terrorism Monthly Suppression of Terrorism and UN Sanctions Report - Updated July 30, 2010


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