Registration Forms for Individuals

Individual Registrants on the NRD

Under Multilateral Instrument 31-102 National Registration Database all individuals are required to register on the NRD unless exempted by General Ruling/Order 31-801.

Form 33-109 F1 - Notice of Termination This form is to be used for all terminations and must be filed within 5 days of the effective date of the termination.

Form 33-109F2 - Change or Surrender of Individual Categories This form must be completed for any individual seeking to change or surrender any registration categories they might hold.

Form 33-109F4 - Registration Information for an Individual This form is to be used by every individual applicant seeking registration from the Commission as a partner, director, salesperson or representative of a Dealer or Adviser.

Form 33-109F5 - Change of Registration Information This notice must be submitted when notifying a regulator of changes for Form 3 or Form 33-109F4 information in accordance with multilateral Instrument 33-109 Registration Information, other than as provided for in other 33-109 forms.

Individual Registrants not on the NRD

These forms are for individual registrants who are exempted from registering on the NRD under General Ruling/Order 31-801.

Form 4 - Uniform Application for Registration Approval

RCMP Records Request Form This form must be submitted with any Form 4 Application for Registration.

UTN - Uniform Termination Notice This form is filed by Dealers and Advisers when the employment of a director, office or salesperson ends.

Form 35-701 - Individuals Submission to Jurisdiction This form is filed with a Form 4 by individuals who don't reside in Saskatchewan as required by Staff Notice 35-701 Registration of Non-Resident Individuals.