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Bulletin #0330-C

Additional Financial Reporting Requirements

Contact: Laura Milliken
Director, Financial Compliance
September 26, 2008
Phone: 416-943-5843

MFDA Bulletin
For Distribution to Relevant Parties within your Firm

Additional Financial Reporting Requirements

MFDA Rule 3.5.1(a) requires each Member to file monthly with the MFDA financial
information of the Member within 20 business days of the month’s end. The financial
information must be reported in the Financial Questionnaire and Report (“FQR”) format and
filed using the MFDA’s web-based application, the Electronic Filing System (“EFS”). In
addition, Rule 3.5.1(a) states that the financial reports may be accompanied by such other
information as may be prescribed by the MFDA from time to time.

Given the recent volatility in the capital markets over the past couple of weeks, the MFDA is
requesting all Members holding securities that form part of the Members’ regulatory capital to
provide supplemental information to the MFDA supporting the securities held and reported on
Schedule 1 of the FQR. Members are required to provide the specific names and details of the
securities owned and sold short, that coincide with the balances reported on Schedule 1 of the
Members’ August 2008 monthly FQR. In addition, if there have been any significant changes in
the Members’ securities holdings since August 31, 2008, Members are asked to provide details
of those changes as well. The information is to be submitted by the due date of the August 31,
2008 FQR which is September 29, 2008.

In order to comply with the above request, Members may choose to provide the information in
the following format:

• Submit a copy of the Member’s corporate account statement provided by the custodian as
at August 31, 2008; or
• List the specific details of investments held as at August 31, 2008 (i.e. issuer’s name,
specific mutual fund name, class of shares, maturity date of bond); and
• List of securities holdings as at September 26, 2008, that differ from those held as at
August 31, 2008.
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Please submit the requested supplemental information through email by logging onto EFS and
clicking on “Filing Support” on the toolbar on the left-hand side of the web-page, or by faxing
the information directly to Financial Compliance at 416-362-6382.

This information will be reviewed by Financial Compliance staff at the time of reviewing the
Member’s financial report for the month of August 2008. Further information relating to the
Member’s investment holdings and related capital position may be requested following staff’s
review of the financial report and supplemental information.

DOCs #150771
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