Forms

MFDA Forms are available in both French and English, and can be viewed and/or printed by clicking on the appropriate language link below.

Financial DocumentsLanguage
FORM 1 (IFRS) – as amended December 15, 2018 View and Download English PDF Accessible version Télécharger le PDF Français Version accessible
The Form 1 Reference ManualView and Download English PDFTélécharger le PDF Français
“Bare Trustee” Custodial Agreement (Schedule A to MSN-0058)View and Download English PDFTélécharger le PDF Français
Other Custodial Agreements:  
  • Non-Certified Debt Instrument
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  • Member/Custodian Agreement
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Agent’s Agreement (MFDA Staff Notice MSN-0011)  
  • Certificate Regarding Agent’s Agreement between Members and Approved Persons
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  • Counsel’s Opinion Regarding Agent’s Agreement between Members and Approved Persons
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  • Override Acknowledgement
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Agreement made pursuant to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) (Schedule A to MSN-0072)View and Download English PDFTélécharger le PDF Français
Other Documents
The Benefits of Working with an MFDA MemberView and Download English PDFTélécharger le PDF Français
Client Complaint Information (MFDA Staff Notice MSN-0073)View and Download English PDFTélécharger le PDF Français
Confirmation of Completion of New Registrant Training and Supervision Program (MFDA Policy No. 1)View and Download English PDFTélécharger le PDF Français
Consent to Release of MFDA Enforcement Activity History and Release from LiabilityView and Download English PDFTélécharger le PDF Français
Protect Yourself from Fraud (client brochure)View and Download English PDFTélécharger le PDF Français
  • Protect Yourself from Fraud (printable brochure)
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Pre-Delivery of Fund Facts (client brochure)View and Download English PDFTélécharger le PDF Français
  • Pre-Delivery of Fund Facts (printable brochure)
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  • Pre-Delivery of Fund Facts (brochure text in MS Word)
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Limited Trading Authorization (MFDA Bulletin #0773-P)View and Download English PDFTélécharger le PDF Français
MFDA Investor Protection Plan Brochure (MFDA Bulletin #0175-M)View and Download English PDFTélécharger le PDF Français
Undertaking Preferred Shares (MFDA Staff Notice MSN-0013)View and Download English PDFTélécharger le PDF Français
Uniform Guarantee by Members and Related Members View and Download English PDFTélécharger le PDF Français
MFDA Membership Application Package
MFDA Membership Application Package (complete)View and Download English PDFTélécharger le PDF Français
  • Membership Application Guide
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  • MFDA Membership Application Form
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  • MFDA Application Checklist
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  • Schedule A – Member Fee Guidelines
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  • Schedule B – Registration Information
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  • Schedule C – Capital Requirements
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  • Schedule D – Branch & Sub-Branch Locations
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  • Schedule E – Qualification of Individuals
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  • Schedule F – Trade Names of Approved Persons
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  • Schedule G – Agreement of Approved Person
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  • Schedule H – Auditor Requirements
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  • Schedule I – Uniform Subordinated Loan Agreement
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  • Override Acknowledgement for MFDA Uniform Subordinated Loan Agreement (Schedule B)
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  • Schedule J – Undertaking Regarding Retractable Preferred Shares
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  • Schedule K – Policies and Procedures Manual
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