Get Form 33 109f6

Filling out the Form 33 109f6 is a crucial process for firms seeking registration under Canadian securities and derivatives legislation. This guide provides clear, step-by-step instructions to help users navigate the online filling process with confidence.

Follow the steps to complete the Form 33 109f6 online effectively.

1. Click ‘Get Form’ button to obtain the form and access it in the online editor.
2. Begin with Part 1 – Registration details. Fill in your firm’s full legal name and its NRD number. Indicate the reason for submitting the form, whether for initial registration or to add jurisdictions.
3. Proceed to specify in which categories and jurisdictions your firm is seeking registration, completing sections related to exemptions if necessary.
4. Move to Part 2 – Contact information. Provide the head office address, telephone number, and email address. Include any business addresses and appoint an agent for service if required.
5. In Part 3 – Business history and structure, describe your firm’s business activities, including any other names your firm operates under and whether the required business documents are available.
6. Complete Part 4 – Registration history, providing information about past registrations, memberships, or any refusals in any jurisdiction.
7. In Part 5 – Financial condition, submit information regarding your firm’s capital, including calculations of excess working capital and details of insurance coverage.
8. Continue to Part 6 – Client relationships, indicating whether your firm will hold client assets and any potential conflicts of interest.
9. Fill out Part 7 – Regulatory action, providing information about any settlement agreements or disciplinary history related to the firm.
10. Complete Part 8 – Legal action, disclosing any criminal convictions or outstanding legal actions associated with the firm.
11. Finally, review Part 9 – Certification. Certify that all provided information is accurate before signing and submitting your form.
12. Once all sections are complete, save the changes to your form and look for options to download, print or share the completed document.

Get started on your registration process by completing the Form 33 109f6 online today!