Frequently Used Forms and Fees

Registrant & Market Regulation
 

Forms

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

Net Asset Value Adjustments
 33-109F5 Change of Registration Information
 33-109F6 Firm Registration
  Monthly Suppression of Terrorism and Canadian Sanctions Report

Regulatory and NRD User Fees

Firms registered in Alberta are required to pay the following NRD system fees:

  • NRD submission fees related to registration applications.
  • An Annual NRD System Fee.

Firms and individuals registered in Alberta are required to pay annual registration fees as set out in Part 3 of Alberta Securities Commission Rule 13-501.  For more information on applicable fees, refer to the links below: