Please select the form below that fits your needs.
All forms are in PDF format.
| 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 |
| Securities Fraud Information Centre | Records Request Form |
| 33-109F1 | Notice of Termination |
| 33-109F2 | Change or Surrender of Individual Categories |
| 33-109F3 | Business Locations Other than Head Office |
| 33-109F4 | Registration Information for an Individual |
| 33-109F5 | Change of Registration Information |
| Reg Reform - Effective September 28, 2009 | |
| Notice of Termination of Registered Individuals and Permitted Individuals | |
| 33-109F2 - (pdf version) 33-109F2 - (Word version) |
Change or Surrender of Individual Categories |
| 33-109F3 - (pdf version) 33-109F3 - (Word version) |
Business Locations Other Than Head Office |
| 33-109F4 - (pdf version) 33-109F4 - (Word version) |
Registration of Individuals and Review of Permitted Individuals |
| 33-109F5 - (pdf version) 33-109F5 - (Word version) |
Change of Registration Information |
| 33-109F6 - (pdf version) 33-109F6 - (Word version) |
Firm Registration |
| 33-109F7 - (pdf version) 33-109F7 - (Word version) |
Reinstatement of Registered Individuals and Permitted Individuals |
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