Forms
This section contains the forms necessary to comply with The Manitoba Securities Commission policy and legislation.
This section contains the forms necessary to comply with Manitoba Securities Commission policy and legislation concerning securities and commodities.
Unless otherwise noted, all forms required for registration must be submitted to The Manitoba Securities Commission through the National Registration Database, along with the applicable fee.
| Calculation of Excess Working Capital | 31-103F1 |
| Submission to Jurisdiction and Appointment of Agent for Service | 31-103F2 |
| Use of Mobility Exemption | 31-103F3 |
| Net Asset Value Adjustments | 31-103F4 |
| Section 11.9 or Section 11.10 Standard Template | 31-103 Template |
| Notice of Termination of Registered Individuals and Permitted Individuals | 33-109F1 |
| Change or Surrender of Individual Categories | 33-109F2 |
| Business Locations Other Than Head Office | 33-109F3 |
| Registration of Individuals and Review of Permitted Individuals | 33-109F4 |
| Change of Registration Information | 33-109F5 |
| Firm Registration - Instructions and forms | 33-109F6 |
| Reinstatement of Registered Individuals and Permitted Individuals | 33-109F7 |
| Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer | 35-101F1 |
| Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer | 35-102F2 |
| Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Non-Resident Dealer | Non-Resident Dealers |
| Criminal Record Form | Criminal Record Form |
| Monthly Suppression of Terrorism and Canadian Sanctions Report | Suppression of Terrorism |
Crowdfunding
| Start-up Crowdfunding - Offering Document | Form 1 |
| Start-up Crowdfunding - Risk Acknowledgement | Form 2 |
| Start-up Crowdfunding - Funding Portal Information Form | Form 3 |
| Start-up Crowdfunding - Funding Portal Individual Information Form | Form 4 |
| Start-up Crowdfunding - Report of Exemption Distribution | Form 5 |
Prospectus
| Information Requirement in a Prospectus | 41-101F1 |
| Information Required in an Investment Fund Prospectus | 41-101F2 |
| Information Required in a Scholarship Plan Prospectus | 41-101F3 |
| Information Required in an ETF Facts Document | 41-101F4 |
| Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information | 41-101F - Appendix A |
| Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process | 41-101F - Appendix B |
| Non-Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process | 41-101F - Appendix C |
| Short Form Prospectus Distributions - Short Form Prospectus | 44-101F1 |
Simplified Prospectus
| Contents of Simplified Prospectus - Consolidated Version | 81-101F1 |
| Contents of Annual Information Form - Consolidated Version | 81-101F2 |
| Contents of Fund Facts Document - Consolidated Version | 81-101F3 |
Issuers Quoted in the U.S. Over-the-Counter Markets
| Notice - OTC Issuer Ceases to be an OTC Reporting Issuer | 51-105F1 |
| Notice of Promotional Activities | 51-105F2 |
| Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information - Consolidated Version | 51-105F3A |
| Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information | 51-105F3B |
| Notice - Issuer Ceases to be an OTC Reporting Issuer | 51-105F4 |
| Management's Discussion & Analysis (MD&A) | 51-102F1 |
| Annual Information Form (AIF) | 51-102F2 |
| Material Change Report | 51-102F3 |
| Business Acquisition Report | 51-102F4 |
| Information Circular | 51-102F5 |
| Statement of Executive Compensation | 51-102F6 |
| Statement of Executive Compensation - Venture issuers | 51-102F6V |
| Certification of annual filings - full certificate | 52-109F1 |
| Certification of annual filings - venture issuer basic certificate | 52-109FV1 |
| Certification of annual filings following an initial public offering, reverse takeover or becoming a non-venture issuer | 52-109F1 - IPO/RTO |
| Certification of refiled annual filings | 52-109F1R |
| Certification of annual filings in connection with voluntarily filed AIF | 52-109F1 - AIF |
| Certification of interim filings - full certificate | 52-109F2 |
| Certification of interim filings - venture issuer basic certificate | 52-109FV2 |
| Certification of interim filings following an initial public offering, reverse takeover or becoming a non-venture issuer | 52-109F2 - IPO/RTO |
| Certification of refiled interim filings | 52-109F2R |
| Audit Committee Information Required in an AIF | 52-110F1 |
| Audit Committee Disclosure by Venture Issuers | 52-110F2 |
| Corporate Governance Disclosure | 58-101F1 |
| Corporate Governance Disclosure (Venture Issuers) | 58-101F2 |
| Contents of Annual and Interim Management Report of Fund Performance Beginning on or after January 1, 2014 |
81-106F1 |
Securities Communications
| Explanation to Clients and Client Response Form | 54-101F1 |
| Request for Beneficial Ownership Information | 54-101F2 |
| Omnibus Proxy (Depositories) | 54-101F3 |
| Omnibus Proxy (Proximate Intermediaries) | 54-101F4 |
| Electronic Format for NOBO List | 54-101F5 |
| Request for Voting Instructions Made by Reporting Issuer | 54-101F6 |
| Request for Voting Instructions Made by Intermediary | 54-101F7 |
| Undertaking | 54-101F9 |
| Undertaking | 54-101F10 |
Insider Reporting
| Insider Profile | 55-102F1 |
| Insider Report | 55-102F2 |
| Issuer Profile Settlement | 55-102F3 |
| Issuer Event Report | 55-102F4 |
| SEDI User Registration Form | 55-102F5 |
| Insider Report (paper format for special circumstances) | 55-102F6 |
Mining, Oil and Gas Filing
| Technical Report | 43-101F1 |
| Statement of Reserves Data and Other Oil and Gas Information | 51-101F1 |
| Report on Reserves Data by Independent Qualified Reserves Evaluator or Auditor | 51-101F2 |
| Report of Management and Directors on Oil and Gas Disclosure | 51-101F3 |
| Notice of Filing of 51-101F1 Information | 51-101F4 |
| Notice of Ceasing to Engage in Oil and Gas Activities | 51-101F5 |
| Application for Recognition as an Exempt Purchaser under Clause 19(1)(c) of the Act | Form 6 |
| Report of a Trade made under Clause 19(1)(c) or subsection 19(3) of the Act or under section 90 of the Regulation | Form 8 |
| 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 | Form 8A |
| Notice of Intention to Trade in a Security under clause 91 (a) or 91(b) of the Securities Regulation | Form 23 |
| Declaration Respecting a Trade in a Security under clause 91(a) of the Securities Regulation | Form 24 |
| Declaration Respecting a Trade in a Security under clause 91(b) of the Securities Regulation | Form 25 |
| Requirements for an Offering Memorandum to be used in Conjunction with the Exemption Contained in clause 91(b) of the Securities Regulation | Form 26 |
| Report of Termination of Trades made Pursuant to Exemptions Contained in clause 91(a) or 91(b) of the Securities Regulation | Form 27 |
| Information Statement - Exchange or Quotation and Trade Reporting System - (revised unofficial consolidation) | 21-101F1 |
| Initial Operation Report - Alternative Trading System - (revised unofficial consolidation) | 21-101F2 |
| Quarterly Report of Marketplace Activities - (revised unofficial consolidation) | 21-101F3 |
| Cessation of Operations Report for Alternative Trading System - (revised unofficial consolidation) | 21-101F4 |
| Initial Operation Report for Information Processor - (revised unofficial consolidation) | 21-101F5 |
| Cessation of Operations Report for Information Processor - (revised unofficial consolidated version) | 21-101F6 |
| Notice of Intention to Distribute Securities under Section 2.8 of NI 45-102 | 45-102F1 |
| Report of Exempt Distribution - Revised October 5, 2018 | 45-106F1 |
| Offering Memorandum for Non-Qualifying Issuers | 45-106F2 |
| Offering Memorandum for Qualifying Issuers - Unofficial Consolidated | 45-106F3 |
| Risk Acknowledgement | 45-106F4 |
| Risk Acknowledgement Saskatchewan Close Personal Friends and Close Business Associates | 45-106F5 |
| Information Memorandum for Short-Term Securitized Products Distributed under Section 2.35.1 | 45-106F7 |
| Monthly Disclosure Report for Short-term Securitized Products Distributed under Section 2.35.1 | 45-106F8 |
| Form for Individual Accredited Investors | 45-106F9 |
| Risk Acknowledgement Form for Family, Friend and Business Associate Investors | 45-106F12 |
| Rights Offering Notice for Reporting Issuers - Unofficial Consolidated | 45-106F14 |
| Rights Offering Circular for Reporting Issuers - Unofficial Consolidated | 45-106F15 |
| Notice of Use of Proceeds | 45-106F16 |
| Notice of Specified Key Events | 45-106F17 |
| Supplemental Offering Memorandum Disclosure for Syndicated Mortgages | 45-106-F18 |
| Listed Issuer Financing Document - Unofficial Consolidated | 45-106-F19 |
| Crowdfunding Offering Document | 45-108F1 |
| Risk Acknowledgement | 45-108F2 |
| Confirmation of Investment Limits | 45-108F3 |
| Notice of Specified Key Events | 45-108F4 |
| Personal Information Form and Authorization to Collect, Use and Disclose Personal Information | 45-108F5 |
| Required Disclosure under the Early Warning Requirements | 62-103F1 |
| Offering Document | 45-110F1 |
| Risk Acknowledgement | 45-110F2 |
| Funding Portal Information | 45-110F3 |
| Portal Individual Information | 45-110F4 |
| Semi-Annual Financial Resources Certification | 45-110F5 |
| Required Disclosure by an Eligible Institutional Investor under Section 4.3 | 62-103F2 |
| Required Disclosure by an Eligible Institutional Investor Under Part 4 | 62-103F3 |
| Take-Over Bid Circular - Consolidated Version | 62-104F1 |
| Issuer Bid Circular - Consolidated Version | 62-104F2 |
| Directors' Circular - Consolidated Version | 62-104F3 |
| Director's or Officer's Circular - Consolidated Version | 62-104F4 |
| Notice of Change or Notice of Variation | 62-104F5 |
| Registered Firm Exception Report of DAP/RAP Trade Reporting and Matching | 24-101F1 |
| Clearing Agency Quarterly Operations Report of Institutional Trade Reporting and Matching | 24-101F2 |
| Matching Service Utility Notice of Operations | 24-101F3 |
| Matching Service Utility Notice of Cessation of Operations | 24-101F4 |
| Matching Service Utility Quarterly Operations Repot of Institutional Trade Reporting and Matching | 24-101F5 |
| Clearing Agency Submission to Jurisdiction and Appointment of Agent for Service of Process | 24-102F1 |
| Cessation of Operations Report for Clearing Agency | 24-102F2 |
| Application for Designation Trade Repository Information Statement | 91-507F1 |
| Trade Repository Submission to Jurisdictions and Appointment of Agent for Service of Process | 91-507F2 |
| Cessage of Operations Report for Trade Repository | 91-507F3 |
| Submission to Jurisdiction and Appointment of Agent for Service of Process | 93-101F1 |
| Intragroup Exemption | 94-101F1 |
| Derivatives Clearing Services | 94-101F2 |
| Customer Collateral Report: Direct Intermediary | 94-102F1 |
| Customer Collateral Report: Indirect Intermediary | 94-102F2 |
| Customer Collateral Report: Regulated Clearing Agency | 94-102F3 |