Law & Policy

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
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 UN 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
Short Form Prospectus
Short Form Prospectus Distributions - Short Form Prospectus 44-101F1

Rights Offering

Rights Offering Circular 45-101F1

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 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
Contents of Annual and Interim Management Report of Fund Performance
Beginning on or before 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 June 30, 2016 45-106F1
Schedule 1
Schedule 2
Offering Memorandum for Non-Qualifying Issuers 45-106F2
Offering Memorandum for Qualifying Issuers 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
Rights Offering Notice for Reporting Issuers 45-106F14
Rights Offering Circular for Reporting Issuers 45-106F15
Form for Individual Accredited Investors 45-106F9
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
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