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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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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
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
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 workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
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