Registration Forms for Dealers and Advisers

All Dealers and Advisers

Form 3 - Application for Registration as a Dealer or Adviser This form is to be used by every firm seeking registration as a Dealer or Adviser

Form 8 - Application for Withdrawal from Registration This form is to be used by every firm seeking to surrender their registration as a Dealer or Adviser.

Form 39 - Surety Bond

Dealers and Advisers not on the NRD

Form 7 - Application for Amendment of Registration as Dealer or Adviser This form is to be used by ever firm seeking registration as a Dealer or Adviser.

Dealers and Advisers on the NRD

Form 33-109F3 - Business Location other than Head Office this form is to be used for the opening, closing or change of information for all business locations other than head office addresses.

Form 33-109F5 - Change of Registration Information This notice must be submitted when notifying a regulator of changes for Form 3 or Form 4 information in accordance with Multilateral Instrument 33-109 Registration Information, other than as provided for in other 333-109 Forms.

Non-Resident Dealers and Advisers

The following forms are used by firms without a business office in Saskatchewan who are seeking registration under General Ruling/Order 35-901 Non-Resident Registrants.

Form 35-901A - Firms' Submission to Jurisdiction and Appointment of Agent for Service

Form 35-901B - Undertaking to Provide Information

Form 35-901C - Disclosure Statement to New Client