Frequently Used Forms and Fees

Registrant & Market Regulation
 

Forms

 31-103F1          Calculation of Excess Working Capital
 31-103F2  Submission to Jurisdiction and Appointment of Agent for Service
 31-103F3  Use of Mobility Exemption
 31-103F4

 Net Asset Value Adjustments
 Appendix B – Subordination Agreement
 33-109F5  Change of Registration Information
 33-109F6  Firm Registration
 Revised Suppression of Terrorism and UN Sanctions Reporting Form (Published 22 Feb 2018)

See all current Regulatory Instruments

Regulatory and NRD User Fees

ASC Staff will contact the firm by telephone or email upon receipt of the application package and when the firm has been set up in pending state on NRD. The firm will be requested to resubmit fees through the firm’s Electronic Fund Transfer account with CDS/NRD. For more information on fees, refer to the links below:

See NRD Fees

See Regulatory Fees