This section contains the forms necessary to comply with Manitoba Securities Commission policy and legislation concerning securities.
Registration
| 31-103F1 - revised July 11, 2011 | Calculation of Excess Working Capital |
| 31-103F2 - revised July 11, 2011 | Submission to Jurisdiction and Appointment of Agent for Service |
| 31_103F3 - revised July 11, 2011 | Use of Mobility Exemption |
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 |
| 35-101F1 | Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer |
| 35-102F2 | Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer |
| Non-Resident Dealers | Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Non-Resident Dealer |
| Criminal Record Form | Criminal Record Form |
| Suppression of Terrorism | Monthly Suppression of Terrorism and UN Sanctions Report - Updated July 30, 2010 |
Legal and Enforcement
| Application for Recognition as an Exempt Purchaser under Clause 19(1)(c) of the Act | |
| Report of a Trade made under Clause 19(1)(c) or subsection 19(3) of the Act or under section 90 of the Regulation | |
| Report or Resale of Securities Purchased under clause 19(1)(c) or subsection 19(3) of the Act or under section 90 of the Regulation | |
| Notice of Intention to Trade in a Security under clause 91 (a) or 91(b) of the Securities Regulation | |
| Declaration Respecting a Trade in a Security under clause 91(a) of the Securities Regulation | |
| Declaration Respecting a Trade in a Security under clause 91(b) of the Securities Regulation | |
| Requirements for an Offering Memorandum to be used in Conjunction with the Exemption Contained in clause 91(b) of the Securities Regulation | |
| Report of Termination of Trades made Pursuant to Exemptions Contained in clause 91(a) or 91(b) of the Securities Regulation | |
| 11-101F1 | Notice of principal regulator under Multilateral Instrument 11-101 |
21-101F1 - revised (unofficial consolidated) |
Information Statement - Exchange or Quotation and Trade Reporting System |
21-101F2 - revised (unofficial consolidated) |
Initial Operation Report - Alternative Trading System |
| 21-101F3 - revised (unofficial consolidated) | Quarterly Report of Alternative Trading System Activities |
| 21-101F4 | Cessation of Operations Report for Alternative Trading System |
| 21-101F5 - revised (unofficial consolidated) | Initial Operation Report for Information Processor |
| 21-101F6 | Cessation of Operations Report for Information Processor |
| 45-102F1 | Notice of Intention to Distribute Securities under Section 2.8 of NI 45-102 |
| 45-106F1 | Report of Exempt Distribution |
| 45-106F2 | Offering Memorandum for Non-Qualifying Issuers |
| 45-106F3 | Offering Memorandum for Qualifying Issuers |
| 45-106F4 | Risk Acknowledgement |
| 45-106F5 | Risk Acknowledgement Saskatchewan Close Personal Friends and Close Business Associates |
| 62-104F1 | Take-Over Bid Circular |
Corporate Finance
Prospectus
| 41-101F1 | Information Requirement in a Prospectus |
| 41-101F2 | Information Required in an Investment Fund Prospectus |
Short Form Prospectus
| Short Form Prospectus Distributions - Short Form Prospectus |
Rights Offering Circular
| 45-101F1 | Rights Offering Circular |
Simplified Prospectus
| 81-101F1 | Contents of Simplified Prospectus |
| 81-101F2 | Contents of Annual Information Form |
| 81-101F1 and 81-101F2 | Amendments - May 2, 2001 |
| 81-101F1 and 81-101F2 | Amendments - December 31, 2003 |
| 81-101F1 | Amendments - March 17, 2008 |
| 81-101F2 | Amendments - March 17, 2008 |
Issuers Quoted in the U.S. Over-the-Counter Markets
| 51-105F1 | Notice – OTC Issuer Ceases to be an OTC Reporting Issuer |
| 51-105F2 | Notice of Promotional Activities |
| 51-105F3A | Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information |
| 51-105F3B | Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information |
| 51-101F4 | Notice – Issuer Ceases to be an OTC Reporting Issuer |
Continuous Disclosure
| 51-102F1 - 51-102F6 | Amendments to Forms 51-102F1 - 51-102F6 |
| Management's Discussion & Analysis (MD&A) | |
| 51-102F2 | Annual Information Form (AIF) |
| 51-102F3 | Material Change Report |
| 51-102F4 | Business Acquisition Report |
| 51-102F5 | Information Circular |
| 51-102F6 | Statement of Executive Compensation |
| 52-109F1 | Certification of annual filings – full certificate |
| 52-109FV1 | Certification of annual filings – venture issuer basic certificate |
| 52-109F1 - IPO/RTO | Certification of annual filings following an initial public offering, reverse takeover or becoming a non-venture issuer |
| 52-109F1R | Certification of refiled annual filings |
| 52-109F1 - AIF | Certification of annual filings in connection with voluntarily filed AIF |
| 52-109F2 | Certification of interim filings – full certificate |
| 52-109FV2 | Certification of interim filings – venture issuer basic certificate |
| 52-109F2 - IPO/RTO | Certification of interim filings following an initial public offering, reverse takeover or becoming a non-venture issuer |
| 52-109F2R | Certification of refiled interim filings |
| 52-109FT2 | Certification of refiled annual filings |
| 52-110F1 | Audit Committee Information Required in an AIF |
| 52-110F2 | Audit Committee Disclosure by Venture Issuers |
| 81-106F1 | Management Report of Fund Performance (MRFP) |
Securities Communications
| 54-101F1 | Explanation to Clients and Client Response Form |
| 54-101F2 | Request for Beneficial Ownership Information |
| 54-101F3 | Omnibus Proxy (Depositories) |
| 54-101F4 | Omnibus Proxy (Proximate Intermediaries) |
| 54-101F5 | Electronic Format for NOBO List |
| 54-101F6 | Request for Voting Instructions Made by Reporting Issuer |
| 54-101F7 | Request for Voting Instructions Made by Intermediary |
| 54-101F8 | Legal Proxy |
| 54-101F9 | Undertaking |
Insider Reporting
| 55-102F1 | Insider Profile |
| 55-102F2 | Insider Report |
| 55-102F3 | Issuer Profile Settlement |
| 55-102F4 | Issuer Event Report |
| 55-102F5 | SEDI User Registration Form |
| 55-102F6 - Amended | Insider Report (paper format for special circumstances) |
| Amendments | Amendments to Form 55-102F1 Insider Profile Form 55-102F2 Insider Report Form 55-102F3 Issuer Profile Supplement and Form 55-102F6 Insider Report |
Mining, Oil and Gas Filing
| 43-101F1 | Technical Report |
| 51-101F1 | Statement of Reserves Data and Other Oil and gas Information |
| 51-101F2 | Report on Reserves Data by Independent Qualified Reserves Evaluator or Auditor |
| 51-101F3 | Report of Management and Directors on Oil and Gas Disclosure |
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