MFDA 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.

Document Language
Financial Questionnaire and Report English language icon French language icon
"Bare Trustee" Custodial Agreement (Schedule A to MR-0058) English language icon French language icon
Other Custodial Agreements:
  • Non-Certified Debt Instrument
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  • Member/Custodian Agreement
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Agent's Agreement (MFDA Notice MR-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 for Access to Books and Records (MFDA Notice MR-0002) English language icon French language icon
Certificate of Partners or Directors (Financial Questionnaire and Report) English language icon French language icon
Client Complaint Information (MFDA Notice MR-0020) English language icon French language icon
Confirmation of Completion of New Registrant Training and Supervision Program (MFDA Policy No. 1) English language icon French language icon
Limited Trading Authorization (MFDA Notice MR-0038) English language icon French language icon
MFDA Investor Protection Plan Brochure (MFDA Bulletin #0175-M) English language icon French language icon
MFDA Membership Application Package (complete) English language icon French language icon
Membership Application Guide English language icon French language icon
  • 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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MFDA Application Checklist English language icon French language icon
MFDA Membership Application Form English language icon French language icon
Policies and Procedures Manual Reference Guide (MFDA Bulletin #0395-C) English language icon French language icon
Sample New Account Application Form (MFDA Policy No. 2) English language icon French language icon
Undertaking Preferred Shares (MFDA Notice MR-0013)
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Uniform Guarantee by Members and Related Members (MFDA Notice MR-0050) English language icon French language icon

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