Department of Community Services
Yukon Securities Office
Local Registration Forms
Section 7 of Yukon’s Securities Act provides the Superintendent with the authority to establish the type and nature of forms to be filed or sent under the Act.
The Local Rule Transitional Registration Requirements [30KB 
] effective March 17, 2008, references certain forms for the purposes of that rule:
Form 31-501F1 Application for Registration as Broker or Security Issuer,
Form 31-501F2 Application for Renewal of Information,
Form 31-501F3 Bond to be Given by a Broker, Security Issuer or an Individual Representative,
Form 31-501F4 Surety Bond to be Given by a Broker, Security Issuer or an Individual Representative,
CSA Instrument (Form) 33-109F4, Registration Information for an Individual, listed in Implementation of CSA Instruments Rule.
The Superintendent has designated the following alternate forms, effective March 17, 2008 (until further notice):
These Forms may be updated from time to time. (Please note that Forms 2, 4 and 5 include the French version; Forms 1 and 3 have a separate French version).
- Form 1 (in lieu of Form 31-501F1) [29.115 KB
]
- Form 1 - en français [102.41 KB ]
- Form 2 (in lieu of Form 33-109F4) [528.423 KB ]
- Form 3 (in lieu of Form 31-501F2) [108.316 KB ]
- Form 3 - en français [69.044 KB ]
- Form 4 (in lieu of Form 31-501F3) [568.495 KB ]
- Form 5 (in lieu of Form 31-501F4) [16.105 KB ]