Please note: This information is to be provided on the Company’s letterhead and signed by a Director or Senior Officer of the Company. APPLICATION MADE UNDER MSC NOTICE 2001-31 EXPEDITED RENEWAL PROCESS FOR REGISTRATION Name of Registered Firm: Category of Registration: Legislation under which renewal is of registration is requested: (i.e. The Securities Act or The CommodityFutures Act) Head Office Address: Address for Service: Names of all individuals registered with the firm and are applying for renewal of registration as follows: Trading Officers 1 : (List in alphabetical order by last name. Also indicate position titles) Directors: Officers: Partners:
Branch Managers: 1 (List in alphabetical order by last name) Salespersons: 1 (List in alphabetical order by last name) Non-Trading Officers: 1 (List in alphabetical order by last name. Also indicate position titles) Directors: Officers: Partners: List of Registered Branches: 1 (For each branch indicate name of branch manager and names of salespersons – list in alphabetical order by last name) List of Registered Sub-Branches: 1 (For each sub-branch indicate name of branch manager and names of salespersons – list in alphabetical order by last name)
Payment: (Please enclose one cheque for the aggregate amount of all annual renewal fees, payable to the Minister of Finance) The undersigned hereby confirms that to the best of the knowledge of the firm that the registration information relating to the firm and each individual registrant list in the letter has not changed in any manner that would require reporting to the Commission. Name of Sponsoring Firm (Name of Director or Senior Officer) (Signature of Director or Senior Officer) 1 You may provide exhibits containing the required information as attachments to the application under the Expedited Renewal Process. The exhibits will be required to be signed by an Officer or Partner of the Company.
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