| FORM 1 (IFRS) - For all MFDA Members effective for their fiscal years beginning on or after January 1, 2011, as amended February 2013 |
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| Financial Questionnaire and Report (CGAAP), as amended March 23, 2011 |
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| "Bare Trustee" Custodial Agreement (Schedule A to MR-0058) |
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| Other Custodial Agreements: |
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- Non-Certified Debt Instrument
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- Member/Custodian Agreement
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| Agent's Agreement (MFDA Notice MR-0011) |
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- 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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| Agreement made pursuant to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) (Schedule A to MR-0072) |
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| Certificate of Partners or Directors (Form 1) |
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| Client Complaint Information (MFDA Notice MR-0073) |
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| Confirmation of Completion of New Registrant Training and Supervision Program (MFDA Policy No. 1) |
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| Consent to Release of MFDA Enforcement Activity History and Release from Liability |
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| Independent Auditor's Report for Statements A, D and E (Form 1 – CGAAP) |
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| Independent Auditor's Report for Statements A, D and E (Form 1 – IFRS) |
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| Independent Auditor's Report for Statements B, C and F (Form 1 – CGAAP) |
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| Independent Auditor's Report for Statements B, C and F (Form 1 – IFRS) |
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| Limited Trading Authorization (MFDA Notice MR-0038) |
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| MFDA Investor Protection Plan Brochure (MFDA Bulletin #0175-M) |
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| MFDA Membership Application Package (complete) |
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- 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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Undertaking Preferred Shares (MFDA Notice MR-0013)
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| Uniform Guarantee by Members and Related Members (MFDA Notice MR-0050) |
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