Department of Community Services

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, English [46KB ], French [69KB ]

Form 31-501F2 Application for Renewal of Information (Broker or Security Issuer), English [42KB ], French [68KB ]

Form 31-501F3 Bond to be Given by a Broker, Security Issuer or an Individual Representative, English [21KB ], French [38KB ]

Form 31-501F4 Surety Bond to be Given by a Broker, Security Issuer or an Individual Representative, English [22KB ], French [37KB ]

Form 33-109F4, Registration Information for an Individual, English [124KB ], French [173KB ]