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  • Form 33 109f4

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FORM 33109F4 REGISTRATION OF INDIVIDUALS AND REVIEW OF PERMITTED INDIVIDUALS (section 2.2) GENERAL INSTRUCTIONS Complete and submit this form to the relevant regulator(s) or in Quebec, the securities.

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How to fill out the Form 33 109f4 online

Filling out Form 33 109f4 is an essential step for individuals seeking registration or review as a permitted individual under securities legislation. This guide will provide clear, step-by-step instructions designed to assist users at all experience levels in completing this form effectively.

Follow the steps to fill out the Form 33 109f4 online.

  1. Click ‘Get Form’ button to obtain the form and open it in your preferred online editing tool.
  2. Enter your legal name in Item 1. For additional names you may have used, answer the questions regarding 'Other personal names' and 'Use of other names' and complete Schedule A if applicable.
  3. Provide your residential address in Item 2. If you've lived at this address for less than 10 years, make sure to complete Schedule B with your previous addresses.
  4. Complete Item 3 with your personal information, including date of birth, place of birth, gender, eye color, hair color, height, and weight.
  5. Fill out Item 4 regarding your citizenship. If you are not a citizen of Canada, provide details about your passport.
  6. In Item 5, indicate whether you are filing under the passport system and specify the jurisdictions where you are seeking registration.
  7. Check the appropriate categories in Item 6 where you are seeking registration or review as a permitted individual and complete Schedule C as necessary.
  8. Provide your address for service in Item 7 and complete Schedule D if providing additional service addresses.
  9. Describe your proficiency, including any relevant courses or examinations in Item 8 and complete Schedule E if necessary.
  10. If you have employment or business activities, fill out Item 10 detailing your current and previous positions, along with the respective Schedules as needed.
  11. Once you have completed all sections, review your information for accuracy, save your changes, and ensure to download, print, or share the completed form with relevant regulators.

Take action today and complete your Form 33 109f4 online to ensure your registration process goes smoothly.

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The minimum capital required for firms are as follows: $25,000 for a registered adviser. $50,000 for a registered dealer. $100,000 for a registered investment fund manager.

A firm applying for registration with the OSC must first enroll with the National Registration Database (NRD) to obtain its NRD number. Enrolling with NRD enables the firm to submit individual registration filings and select firm filings to the OSC electronically.

The OSC conducts compliance reviews of advisers, exempt market dealers, scholarship plan dealers and investment fund managers to monitor whether they are complying with Ontario securities law.

Any business advising on or trading in securities, or commodity futures, contracts or options, or that manages investment funds in Ontario must be registered with the Ontario Securities Commission (OSC), unless it has an exemption.

The Ontario Securities Commission (OSC) regulates firms and individuals who are in the business of advising or trading in securities or commodity futures, contracts and options, and firms that manage investment funds in Ontario.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
Privacy Notice
Legal Hub
Content Takedown Policy
Bug Bounty Program
About Us
Blog
Affiliates
Contact Us
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate WorkFlow
DocHub
Instapage
Social Media
Call us now toll free:
+1 833 426 79 33
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232