The securities division of The Manitoba Securities Commission protects investors and promotes fair and efficient capital markets throughout the province by conducting operations including registrations, processing of applications and prospectuses, preparing matters for the referral to the Commissioners and conducting investigations, prosecutions and other hearings.
This section contains the forms necessary to comply with the Securities Commission’s policy and legislation concerning securities and commodities.
Unless otherwise noted, submit forms required for registration to The Manitoba Securities Commission through NRD, along with the applicable fee.
| Category | Forms |
|---|---|
| Registration of Individuals and Review of Permitted Individuals | 33-109F4 |
| Section 11.9 or Section 11.10 Standard Template | 31-103 |
| 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 End of Individual Registration or Permitted Individual Status | 33-109F1 |
| Change or Surrender of Individual Categories | 33-109F2 |
| Business Locations Other Than Head Office | 33-109F3 |
| Change of Registration Information | 33-109F5 |
| Category | Forms |
|---|---|
| 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 |
