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The Alberta Gazette
Part I
Vol. 107	Edmonton, Thursday, June 30, 2011	No. 12
GOVERNMENT NOTICES
Agriculture and Rural Development
Form 15
(Irrigation Districts Act) 
(Section 88)
Notice to Irrigation Secretariat: 
Change of Area of an Irrigation District
On behalf of the Western Irrigation District, I hereby request that the Irrigation 
Secretariat forward a certified copy of this notice to the Registrar for Land Titles for 
the purposes of registration under section 22 of the Land Titles Act and arrange for 
notice to be published in the Alberta Gazette.
The following parcels of land should be removed from the irrigation district and the 
notation removed from the certificate of title:
LINC Number
Short Legal Description as shown on title
Title Number
0017 820 069
7710634;4;45
111 123 107
I certify the procedures required under part 4 of the Irrigation Districts Act have been 
completed and the area of the Western Irrigation District should be changed 
according to the above list.
Rebecca Fast, Office Administrator, 
Irrigation Secretariat.


Culture and Community Spirit
Decisions on Geographical Names
(Historical Resources Act)
Notice is hereby given that pursuant to section 18, subsection 3 of the Historical 
Resources Act the following decisions on geographical names were duly authorized 
on February 15, 2008.
APPROVED
NTS Map Sheet 84 D/7 - "Eureka River"
Ednam Lake 
(lake)
Located in:  
Sec. 23, 26 and 27, Twp. 85, Rge. 4, West of 6th Meridian  
(50ø 23' 44? N & 118ø 31' 14? W) 
Approximately 37 km northwest of Fairview.
This small, shallow lake is named for the nearby Ednam School District No. 4359 that 
operated from 1931 to 1941. The school was located approximately 8 kilometres 
SSW of the lake. The name is likely derived from the community of Ednam, 
Scotland, which is located in The Scottish Borders. The immigration papers for 
William Gibb, a homesteader in the region and one of the first school district trustees, 
state that he was born at Gordon, Scotland, in about 1900 and his four sons were all 
born at Kelso, Scotland. The communities of Kelso, Ednam and Gordon are in close 
proximity to each other. Ednam, Scotland is situated on the River Eden and the name 
Ednam is derived from "Eden-ham" meaning "settlement on the Eden."
Signed January 23, 2008
Irene Nicolson, Chair 
Alberta Historical Resources Foundation
Signed February 15, 2008
Hector Goudreau, Minister 
Tourism, Parks, Recreation and Culture


APPENDIX
 


Notice is hereby given that pursuant to section 18, subsection 3 of the Historical 
Resources Act the following decisions on geographical names were duly authorized 
on February 15, 2008.
RESCINDED
NTS Map Sheet 73 E/10 - "Clandonald"
Lac Tremble 
(lake)
Located in:  
Sec. 30, Twp. 52, Rge. 4, West of 4th Meridian  
(53ø 30' 49? N & 110ø 36' 08? W) 
Approximately 9 km southwest of Dewberry
This lake no longer exists. Although the lake appears on maps dating back to the 
1850s, by the 1980s it had been either drained or dried up. The location of the former 
lake is now a hay flat.
Signed January 23, 2008
Irene Nicolson, Chair 
Alberta Historical Resources Foundation
Signed February 15, 2008
Hector Goudreau, Minister 
Tourism, Parks, Recreation and Culture


APPENDIX
 


Hosting Expenses Exceeding $600.00 
For the Period January 1, 2011 to March 31, 2011
Function: 2010 Grey Cup Youth Brunch 
Date: November 27, 2010 
Amount: $600 (the total event cost was $1,200, shared by two ministries) 
Purpose: A youth brunch to kick-off their Grey Cup experience hosted jointly by 
Minstry of Tourism, Parks and Recreation and Culture and Community Spirit. 
Location: Crowne Plaza Chateau Lacombe Hotel, Edmonton, AB 
BU #: 022
Function: Minister's meeting with film/television industry executives/producers in 
the Los Angeles area 
Date: January 19, 2011 
Amount: $1,172.51 
Purpose: Promotion of Alberta's film, television, and digital media industries to the 
Los Angeles/Hollywood marketplace to help facilitate opportunities of co-production 
and filming on location in Alberta.  
Location: Coast Restaurant, Santa Monica, California, USA 
BU #: 022
Function: Alberta's Delegation Debriefing of the Minister's Marketing trip to Los 
Angeles 
Date: January 20, 2011 
Amount: $803.82 
Purpose: Promotion of Alberta's film, television, and digital media industries to the 
Los Angeles/Hollywood marketplace to help facilitate opportunities of co-production 
and filming on location in Alberta. 
Location: i Cugini Restaurant, Santa Monica, California, USA 
BU #: 022
Energy
Production Allocation Unit Agreement
(Mines and Minerals Act)
Notice is hereby given, pursuant to section 102 of the Mines and Minerals Act, that 
the Minister of Energy on behalf of the Crown has executed counterparts of the 
agreement entitled "Production Allocation Unit Agreement - Suffield Upper 
Mannville Agreement #38" and that the Unit became effective on May 1, 2011.
 


 


 


Safety Codes Council
Agency Accreditation
Pursuant to Section 30 of the Safety Codes Act it is hereby ordered that
Accurate Inspection Services, Accreditation No. A000855, Order No. 2816
Having satisfied the terms and conditions of the Safety Codes Council is authorized to 
provide services under the Safety Codes Act for Electrical.
Consisting of all parts of the Canadian Electrical Code, Code for Electrical 
Installations at Oil and Gas Facilities and Alberta Electrical Utility Code.
Accredited Date: June 1, 2011	Issued Date: June 1, 2011.
Municipal Accreditation - Cancellation
(Safety Codes Act)
Pursuant to section 26 of the Alberta Safety Codes Act it is hereby ordered that
Summer Village of Sunset Point, Accreditation No. M000306, Order No. 1150
Is to cease administration under the Safety Codes Act within its jurisdiction for 
Building
		Issued Date: June 1, 2011.
_______________
Pursuant to section 26 of the Alberta Safety Codes Act it is hereby ordered that
Summer Village of Sunset Point, Accreditation No. M000306, Order No. 1151
Is to cease administration under the Safety Codes Act within its jurisdiction for 
Electrical
		Issued Date: June 1, 2011.
_______________
Pursuant to section 26 of the Alberta Safety Codes Act it is hereby ordered that
Summer Village of Sunset Point, Accreditation No. M000306, Order No. 1152
Is to cease administration under the Safety Codes Act within its jurisdiction for Gas
		Issued Date: June 1, 2011.


Pursuant to section 26 of the Alberta Safety Codes Act it is hereby ordered that
Summer Village of Sunset Point, Accreditation No. M000306, Order No. 1153
Is to cease administration under the Safety Codes Act within its jurisdiction for 
Plumbing
		Issued Date: June 1, 2011.
Joint Municipal Accreditation - Cancellation
(Safety Codes Act)
Pursuant to section 23 of the Safety Codes Act it is hereby ordered that
Beaver County, Village of Holden, Village of Ryley, Town of Tofield, Town of 
Viking, Accreditation No. J000147, Order No. 1321
Due to the voluntary withdrawal from accreditation is to cease administration under 
the Safety Codes Act within its jurisdiction for Fire
Consisting of all parts of the Alberta Fire Code, including investigations, including 
applicable Alberta amendments and regulations.  Excluding Part 4 requirements for 
tank storage of flammable and combustible liquids.  Excluding any or all things, 
processes or activities that fall within the boundaries of a Corporation where that 
Corporation was accredited to administer the Safety Codes Act prior to the 
accreditation date of this Order.  A Corporation accredited prior to a corporation 
maintains jurisdiction over the administration of the Safety Codes Act unless the 
Corporation agrees and transitions authority in writing to the municipality.
		Issued Date: June 13, 2011.
Regional Services Commission Accreditation
(Safety Codes Act)
Pursuant to section 27 of the Safety Codes Act it is hereby ordered that
Beaver Emergency Services Commission, Accreditation No. R000856, Order No. 
2817
Having satisfied the terms and conditions of the Safety Codes Council is authorized to 
administer the Safety Codes Act within their jurisdiction for Fire
Consisting of all parts of the Alberta Fire Code, including investigations, including 
applicable Alberta amendments and regulations.  Excluding Part 4 requirements for 
tank storage of flammable and combustible liquids.  Excluding any or all things, 
processes or activities that fall within the boundaries of a Corporation where that 
Corporation was accredited to administer the Safety Codes Act prior to the 
accreditation date of this Order.  A Corporation accredited prior to a corporation 
maintains jurisdiction over the administration of the Safety Codes Act unless the 
Corporation agrees and transitions authority in writing to the municipality.
Accredited Date: June 13, 2011	Issued Date: June 13, 2011.
Alberta Securities Commission
AMENDMENTS TO NATIONAL INSTRUMENT 31-103 
REGISTRATION REQUIREMENTS AND EXEMPTIONS
(Securities Act)
Made as a rule by the Alberta Securities Commission on April 12, 2011 pursuant to 
sections 223 and 224 of the Securities Act.
1.	National Instrument 31-103 Registration Requirements and Exemptions is 
amended by this Instrument.
2.	The instrument title is amended by replacing "and Exemptions" with ", 
Exemptions and Ongoing Registrant Obligations".
3.	Subsection 1.1 is amended by
(a)	deleting the definition of "NI 45-106",
(b)	replacing paragraph (d) of the definition of "permitted client" with the 
following:
(d)	a person or company registered under the securities legislation of 
a jurisdiction of Canada as an adviser, investment dealer, mutual 
fund dealer or exempt market dealer;, and
(c)	by replacing "NI 45-106" wherever the expression occurs with 
"National Instrument 45-106 Prospectus and Registration Exemptions".
4.	Subsection 1.3 (1) is amended
(a)	in paragraphs (a) and (b) by replacing "registered firm" with "person 
or company",
(b)	in subparagraph (b)(i) by replacing "firm" wherever the expression 
occurs with "person or company", and
(c)	in subparagraph (b)(ii) by replacing "firm's" with "person or 
company's".
5.	Section 3.1 is amended
(a)	in the definition of "Canadian Investment Funds Exam" by replacing 
"Canadian Investment Funds Exam" with "Canadian Investment Funds 
Course Exam",
(b)	by replacing "Investment Funds Institute of Canada" wherever it occurs 
with "IFSE Institute", and
(c)	by adding the following after the definition of "Canadian Securities 
Course Exam":
Chief Compliance Officers Qualifying Exam" means the examination 
prepared and administered by CSI Global Education Inc. and so named 
on the day this Instrument comes into force, and every examination that 
preceded that examination, or succeeded that examination, that does not 
have a significantly reduced scope and content when compared to the 
scope and content of the first-mentioned examination;.
6.	Section 3.3 is replaced with the following:
3.3	Time limits on examination requirements
(1)	For the purpose of this Part, an individual is deemed to have not 
passed an examination unless the individual passed the 
examination not more than 36 months before the date of his or her 
application for registration.
(2)	Subsection (1) does not apply if the individual passed the 
examination more than 36 months before the date of his or her 
application and has met one of the following conditions:
(a)	the individual was registered in the same category in any 
jurisdiction of Canada at any time during the 36-month 
period before the date of his or her application;
(b)	the individual has gained 12 months of relevant securities 
industry experience during the 36-month period before the 
date of his or her application.
(3)	For the purpose of paragraph (2)(a), an individual is not 
considered to have been registered during any period in which the 
individual's registration was suspended..
7.	Subsection 3.4 (1) is amended by adding ", including understanding the 
structure, features and risks of each security the individual recommends" after 
"competently".


8.	Section 3.5 is replaced with the following:
3.5	Mutual fund dealer - dealing representative
A dealing representative of a mutual fund dealer must not act as a dealer 
in respect of the securities listed in section 7.1(2)(b) unless any of the 
following apply:
(a)	the individual has passed the Canadian Investment Funds Course 
Exam, the Canadian Securities Course Exam or the Investment 
Funds in Canada Course Exam;
(b)	the individual has met the requirements of section 3.11 [portfolio 
manager - advising representative];
(c)	the individual has earned a CFA Charter and has gained 12 
months of relevant securities industry experience in the 36-month 
period before applying for registration;
(d)	the individual is exempt from section 3.11 [portfolio manager - 
advising representative] because of subsection 16.10(1) 
[proficiency for dealing and advising representatives]..
9.	Section 3.6 is amended
(a)	in subparagraph (a)(i) by replacing "Canadian Investment Funds 
Exam" with "Canadian Investment Funds Course Exam",
(b)	in subparagraph (a)(ii) by replacing "or" with "," and by adding "or 
the Chief Compliance Officers Qualifying Exam;" after "Compliance 
Exam", and 
(c)	by adding the following after paragraph (b):
(c)	section 3.13 [portfolio manager - chief compliance officer] does 
not apply in respect of the individual because of subsection 
16.9(2) [registration of chief compliance officers]..
10.	Section 3.7 is replaced with the following:
3.7	Scholarship plan dealer - dealing representative
A dealing representative of a scholarship plan dealer must not act as a 
dealer in respect of the securities listed in section 7.1(2)(c) unless the 
individual has passed the Sales Representative Proficiency Exam..
11.	Section 3.8 is amended by adding, in paragraph (c), after "Exam", "or the 
Chief Compliance Officers Qualifying Exam.".
12.	Section 3.9 is replaced with the following: 
3.9	Exempt market dealer - dealing representative
A dealing representative of an exempt market dealer must not perform 
an activity listed in section 7.1(2)(d) unless any of the following apply:
(a)	the individual has passed the Canadian Securities Course Exam;
(b)	the individual has passed the Exempt Market Products Exam;
(c)	the individual has earned a CFA Charter and has gained 12 
months of relevant securities industry experience in the 36-month 
period before applying for registration;
(d)	the individual satisfies the conditions set out in section 3.11 
[portfolio manager- advising representative];
(e)	the individual is exempt from section 3.11 [portfolio manager - 
advising representative] because of subsection 16.10(1) 
[proficiency for dealing and advising representatives]..
13.	Section 3.10 is replaced with the following: 
3.10	Exempt market dealer - chief compliance officer
An exempt market dealer must not designate an individual as its chief 
compliance officer under subsection 11.3(1) [designating a chief 
compliance officer] unless any of the following apply:
(a)	the individual has passed the following:
(i)	the Exempt Market Products Exam or the Canadian 
Securities Course Exam; and
(ii)	the PDO Exam or the Chief Compliance Officers 
Qualifying Exam;
(b)	the individual has met the requirements of section 3.13 [portfolio 
manager - chief compliance officer];
(c)	section 3.13 [portfolio manager - chief compliance officer] does 
not apply in respect of the individual because of subsection 
16.9(2) [registration of chief compliance officers]..
14.	Section 3.11 is replaced with the following:
3.11	Portfolio manager - advising representative
An advising representative of a portfolio manager must not act as an 
adviser on behalf of the portfolio manager unless any of the following 
apply: 
(a)	the individual has earned a CFA Charter and has gained 12 
months of relevant investment management experience in the 36-
month period before applying for registration; 
(b)	the individual has received the Canadian Investment Manager 
designation and has gained 48 months of relevant investment 
management experience, 12 months of which was gained in the 
36-month period before applying for registration..
15.	Section 3.12 is replaced with the following:
3.12	Portfolio manager - associate advising representative
An associate advising representative of a portfolio manager must not act 
as an adviser on behalf of the portfolio manager unless any of the 
following apply:
(a)	the individual has completed Level 1 of the Chartered Financial 
Analyst program and has gained 24 months of relevant investment 
management experience;
(b)	the individual has received the Canadian Investment Manager 
designation and has gained 24 months of relevant investment 
management experience..
16.	Section 3.13 is amended
(a)	by replacing subparagraph (a)(ii) with the following:
(ii)	passed the PDO Exam or the Chief Compliance Officers 
Qualifying Exam and, unless the individual has earned the CFA 
Charter, the Canadian Securities Course Exam, and, 
(b)	in clause (a)(iii)(B) by adding "also" after "and", 
(c)	in paragraph (b) by replacing "the PDO" with "either the PDO 
Exam or the Chief Compliance Officers Qualifying",
(d)	in subparagraph (b)(ii) by adding "also" after "and", and
(e)	in paragraph (c) by replacing "the PDO" with "either the PDO 
Exam or the Chief Compliance Officers Qualifying".


17.	Section 3.14 is amended
(a)	by replacing subparagraph (a)(ii) with the following:
(ii)	passed the PDO Exam or the Chief Compliance Officers 
Qualifying Exam and, unless the individual has earned the CFA 
Charter, the Canadian Securities Course Exam, and, 
(b)	in clause (a)(iii)(B) by adding "also" after "and",
(c)	in subparagraph (b)(i) by adding "Course" after "Canadian Investment 
Funds",
(d)	in subparagraph b(ii) by adding "or the Chief Compliance Officers 
Qualifying Exam" after "Exam", and
(e)	by adding the following after paragraph (c):
(d)	section 3.13 [portfolio manager - chief compliance officer] does 
not apply in respect of the individual because of subsection 
16.9(2) [registration of chief compliance officers]..
18.	Section 3.15 is amended 
(a)	in subsection (1) by adding "that is a member of IIROC" after "dealer", 
and
(b)	in subsection (2) by adding "that is a member of the MFDA" after 
"dealer".
19.	Subsection 3.16 (3) is replaced with the following:
(3)	In Qu‚bec, the requirements listed in subsection (2) do not apply to a 
registered individual who is a dealing representative of a mutual fund 
dealer to the extent equivalent requirements to those listed in subsection 
(2) are applicable to the registered individual under the regulations in 
Qu‚bec..
20.	Section 4.1 is replaced with the following:
4.1	Restriction on acting for another registered firm
(1)	A registered firm must not permit an individual to act as a 
dealing, advising or associate advising representative of the 
registered firm if the individual
(a)	acts as an officer, partner or director of another registered 
firm that is not an affiliate of the first-mentioned registered 
firm, or
(b)	is registered as a dealing, advising or associate advising 
representative of another registered firm.
(2)	Paragraph (1)(b) does not apply in respect of a representative 
whose registration as a dealing, advising or associate advising 
representative of more than one registered firm was granted 
before July 11, 2011..
21.	Subsection 4.2(3) is amended by adding "or, in Qu‚bec, the securities 
regulatory authority" after "the regulator".
22.	Section 6.7 is replaced with the following:
6.7	Exception for individuals involved in a hearing or proceeding
Despite section 6.6, if a hearing or proceeding concerning a suspended 
registrant is commenced under securities legislation or under the rules of 
an SRO, the registrant's registration remains suspended..
23.	Section 7.1 is amended
(a)	in subparagraph (2)(b)(ii) by striking out "except in Qu‚bec,", and
(b)	by repealing subsection (3).
24.	Section 8.6 is amended
(a)	by replacing the heading with "Investment fund trades by adviser to 
managed account", 
(b)	in subsection (1) by replacing "a non-prospectus qualified" with "an", 
(c)	in subsection (2) by striking out "non-prospectus qualified", 
(d)	in subsection (3) by adding "or, in Qu‚bec, the securities regulatory 
authority" after "regulator", and
(e)	in subsection (3) by replacing "7 days" with "10 days".
25.	Section 8.14 is amended by replacing "NI 45-106" with "National Instrument 
45-106 Prospectus and Registration Exemptions".
26.	Subsection 8.16 (1) is amended by deleting " "control person" has the same 
meaning as in section 1.1 of NI 45-106;" and by replacing "NI 45-106" with 
"National Instrument 45-106 Prospectus and Registration Exemptions" 
wherever the expression occurs.
27.	Subsection 8.17 (5) is amended by replacing "8.3.1" with "8.4" and "NI 45-
106" with "National Instrument 45-106 Prospectus and Registration 
Exemptions".
28.	Section 8.18 is amended
(a)	in subsection (1) by deleting "," after "In this section" and by adding 
the following before the definition of "foreign security":
"Canadian permitted client" means a permitted client referred to in any 
of paragraphs (a) to (e), (g) or (i) to (r) of the definition of "permitted 
client" in section 1.1 if
(a)	in the case of an individual, the individual is a resident of 
Canada;
(b)	in the case of a trust, the terms of the trust expressly 
provide that those terms are governed by the laws of a 
jurisdiction of Canada;,
(c)	in any other case, the permitted client is incorporated, 
organized or continued under the laws of Canada or a 
jurisdiction of Canada.,
(b)	in subsection (2) by adding "any of" after "in respect of",
(c)	in paragraphs (b), (c) and (d) by adding "Canadian" before "permitted 
client",
(d)	in subsection (3) by replacing "exemptions" with "exemption" and 
"are" with "is",
(e)	by replacing paragraph (3)(d) with the following:
(d)	the person or company is acting as principal or as agent for
(i)	the issuer of the securities 
(ii) 	a permitted client, or
(iii)	a person or company that is not a resident of Canada;,
(f)	by replacing paragraph (4) with the following:
(4)	The exemption under subsection (2) is not available to a person or 
company in respect of a trade with a Canadian permitted client 
unless one of the following applies:
(a)	the Canadian permitted client is a person or company 
registered under the securities legislation of a jurisdiction 
of Canada as an adviser or dealer;
(b)	the person or company has notified the Canadian permitted 
client of all of the following:
(i)	the person or company is not registered in the local 
jurisdiction to make the trade;
(ii)	the foreign jurisdiction in which the head office or 
principal place of business of the person or company 
is located;
(iii)	all or substantially all of the assets of the person or 
company may be situated outside of Canada;
(iv)	there may be difficulty enforcing legal rights against 
the person or company because of the above;
(v)	the name and address of the agent for service of 
process of the person or company in the local 
jurisdiction.,
(g)	by replacing subsection (5) with the following:
(5)	A person or company that relied on the exemption in subsection 
(2) during the 12 month period preceding December 1 of a year 
must notify the regulator or, in Qu‚bec, the securities regulatory 
authority of that fact by December 1 of that year., and
(h)	by adding the following after subsection (6):
(7)	The adviser registration requirement does not apply to a person or 
company that is exempt from the dealer registration requirement 
under this section if the person or company provides advice to a 
client and the advice is
(a)	 in connection with an activity or trade described under 
subsection (2), and
(b)	not in respect of a managed account of the client..
29.	Subparagraph 8.19(2)(a)(i) is amended by adding, after "dealer", "in respect 
of securities listed in section 7.1(2)(b)".
30.	Paragraph 8.22 (2)(d) is amended by replacing "$25 000" with "$25,000".
31.	The Note to Section 8.25 is amended by replacing "7.24" with "8.25".
32.	Section 8.26 is amended by
(a)	replacing the definition of "permitted client" with the following:
"Canadian permitted client" means a permitted client referred to in any 
of paragraphs (a) to (c), (e), (g) or (i) to (r) of the definition of 
"permitted client" in section 1.1 if
(a)	in the case of an individual, the individual is a resident of 
Canada;
(b)	in the case of a trust, the terms of the trust expressly 
provide that those terms are governed by the laws of a 
jurisdiction of Canada; and  
(c)	in any other case, the permitted client is incorporated, 
organized or continued under the laws of Canada or a 
jurisdiction of Canada., and
(b)	replacing paragraphs (3), (4) and (5) with the following:
(3)	The adviser registration requirement does not apply to a 
person or company in respect of its acting as an adviser to 
a Canadian permitted client if the adviser does not advise 
that client on securities of Canadian issuers, unless 
providing that advice is incidental to its providing advice 
on a foreign security.
(4)	The exemption under subsection (3) is not available unless 
all of the following apply:
(a)	the adviser's head office or principal place of 
business is in a foreign jurisdiction;
(b)	the adviser is registered or operates under an 
exemption from registration, under the securities 
legislation of the foreign jurisdiction in which its 
head office or principal place of business is located, 
in a category of registration that permits it to carry 
on the activities in that jurisdiction that registration 
as an adviser would permit it to carry on in the local 
jurisdiction;
(c)	the adviser engages in the business of an adviser in 
the foreign jurisdiction in which its head office or 
principal place of business is located;


(d)	as at the end of its most recently completed financial 
year, not more than 10% of the aggregate 
consolidated gross revenue of the adviser, its 
affiliates and its affiliated partnerships was derived 
from the portfolio management activities of the 
adviser, its affiliates and its affiliated partnerships in 
Canada;
(e)	before advising a client, the adviser notifies the 
client of all of the following: 
(i)	the adviser is not registered in the local 
jurisdiction to provide the advice described 
under subsection (3);
(ii)	the foreign jurisdiction in which the adviser's 
head office or principal place of business is 
located;
(iii)	all or substantially all of the adviser's assets 
may be situated outside of Canada;
(iv)	there may be difficulty enforcing legal rights 
against the adviser because of the above; 
(v)	the name and address of the adviser's agent 
for service of process in the local jurisdiction;
(f)	the adviser has submitted to the securities regulatory 
authority a completed Form 31-103F2 Submission 
to Jurisdiction and Appointment of Agent for 
Service.
(5)	A person or company that relied on the exemption in 
subsection (3) during the 12 month period preceding 
December 1 of a year must notify the regulator or, in 
Qu‚bec, the securities regulatory authority of that fact by 
December 1 of that year..
33.	Section 8.29 is amended by adding the following after subsection (2):
(3)	This section does not apply in Ontario.



34.	Section 9.3 is amended
(a)	in the heading by replacing "SRO" with "IIROC",
(b)	by replacing the introductory sentence in subsection (1) with the 
following: 
(1)	Unless it is also registered as an investment fund manager, a 
registered firm that is a member of IIROC is exempt from the 
following requirements:,
(c)	in subsection (1) by inserting the following after paragraph (l):
(l.1)	section 13.15 [handling complaints];,
(d)	by replacing subsection (2) with the following:
(2)	If a registered firm is a member of IIROC and is registered as an 
investment fund manager, the firm is exempt from the following 
requirements:
(a)	section 12.3 [insurance - dealer];
(b)	section 12.6 [global bonding or insurance];
(c)	section 12.12 [delivering financial information - dealer];
(d)	subsection 13.2(3) [know your client];
(e)	section 13.3 [suitability];
(f)	section 13.12 [restriction on lending to clients];
(g)	section 13.13 [disclosure when recommending the use of 
borrowed money];
(h)	section 13.15 [handling complaints];
(i)	subsection 14.2(2) [relationship disclosure information];
(j)	section 14.6 [holding client assets in trust];
(k)	section 14.8 [securities subject to a safekeeping 
agreement];
(l)	section 14.9 [securities not subject to a safekeeping 
agreement];
(m)	section 14.12 [content and delivery of trade confirmation]., 
and
(e)	by repealing subsections (3), (4), (5) and (6).
35.	This instrument is amended by adding the following after section 9.3:
9.4	Exemptions from certain requirements for MFDA members
(1)	Unless it is also registered as an exempt market dealer, a 
scholarship plan dealer or an investment fund manager, a 
registered firm that is a member of the MFDA is exempt from the 
following requirements:
(a)	section 12.1 [capital requirements];
(b)	section 12.2 [notifying the regulator of a subordination 
agreement]; 
(c)	section 12.3 [insurance - dealer];
(d)	section 12.6 [global bonding or insurance];
(e)	section 12.7 [notifying the regulator of a change, claim or 
cancellation];
(f)	section 12.10 [annual  financial statements];
(g)	section 12.11 [interim financial information];
(h)	section 12.12 [delivering financial information - dealer];
(i)	section 13.3 [suitability];
(j)	section 13.12 [restriction on lending to clients];
(k)	section 13.13 [disclosure when recommending the use of 
borrowed money];
(l)	section 13.15 [handling complaints];
(m)	subsection 14.2(2) [relationship disclosure information];
(n)	section 14.6 [holding client assets in trust];
(o)	section 14.8 [securities subject to a safekeeping 
agreement];
(p)	section 14.9 [securities not subject to a safekeeping 
agreement];
(q)	section 14.12 [content and delivery of trade confirmation].
(2)	If a registered firm is a member of the MFDA and is registered as 
an exempt market dealer, scholarship plan dealer or investment 
fund manager, the firm is exempt from the following 
requirements:
(a)	section 12.3 [insurance - dealer];
(b)	section 12.6 [global bonding or insurance];
(c)	section 13.3 [suitability];
(d)	section 13.12 [restriction on lending to clients];
(e)	section 13.13 [disclosure when recommending the use of 
borrowed money];
(f)	section 13.15 [handling complaints];
(g)	subsection 14.2(2) [relationship disclosure information];
(h)	section 14.6 [holding client assets in trust];
(i)	section 14.8 [securities subject to a safekeeping 
agreement];
(j)	section 14.9 [securities not subject to a safekeeping 
agreement];
(k)	section 14.12 [content and delivery of trade confirmation].
(3)	Subsections (1) and (2) do not apply in Qu‚bec.
(4)	 In Qu‚bec, the requirements listed in subsection (1) do not apply 
to a mutual fund dealer to the extent equivalent requirements to 
those listed in subsection (1) are applicable to the mutual fund 
dealer under the regulations in Qu‚bec..
36.	Section 10.6 is amended
(a)	in the heading by adding "or proceeding" after "hearing", and 
(b)	by adding "or proceeding" after "hearing".


37.	Subsection 11.2 (2) is replaced with the following:
(2)	A registered firm must designate an individual under subsection (1) who 
is one of the following:
(a)	the chief executive officer of the registered firm or, if the firm 
does not have a chief executive officer, an individual acting in a 
capacity similar to a chief executive officer; 
(b)	the sole proprietor of the registered firm;
(c)	the officer in charge of a division of the registered firm, if the 
activity that requires the firm to register occurs only within the 
division and the firm has significant other business activities..
38.	The heading of section 11.4 is amended by replacing "board" with "the board 
of directors".
39.	Subsection 11.6(1) and (2) are replaced with the following:
(1)	A registered firm must keep a record that it is required to keep under 
securities legislation
(a)	for 7 years from the date the record is created,
(b)	in a safe location and in a durable form, and
(c)	in a manner that permits it to be provided to the regulator or, in 
Qu‚bec, the securities regulatory authority in a reasonable period 
of time.
(2)	A record required to be provided to the regulator or, in Qu‚bec, the 
securities regulatory authority must be provided in a format that is 
capable of being read by the regulator or the securities regulatory 
authority..
40.	The note to s. 11.6 is amended by replacing "require" with "required".
41.	Section 11.9 is replaced with the following:
11.9	Registrant acquiring a registered firm's securities or assets
(1)	A registrant must give the regulator or, in Qu‚bec, the securities 
regulatory authority written notice in accordance with subsection 
(2) if it proposes to acquire any of the following:
(a)	beneficial ownership of, or direct or indirect control or 
direction over, a security of a registered firm;
(b)	beneficial ownership of, or direct or indirect control or 
direction over, a security of a person or company of which 
a registered firm is a subsidiary;
(c)	all or a substantial part of the assets of a registered firm.
(2)	The notice required under subsection (1) must be delivered to the 
regulator or, in Qu‚bec, the securities regulatory authority at least 
30 days before the proposed acquisition and must include all 
relevant facts regarding the acquisition sufficient to enable the 
regulator or the securities regulatory authority to determine if the 
acquisition is
(a)	likely to give rise to a conflict of interest,
(b)	likely to hinder the registered firm in complying with 
securities legislation,
(c)	inconsistent with an adequate level of investor protection, 
or
(d)	otherwise prejudicial to the public interest.
(3)	Subsection (1) does not apply to the following:
(a)	a proposed acquisition if the beneficial ownership of, or 
direct or indirect control or direction over, the person or 
company whose security is to be acquired will not change;
(b)	a registrant who, alone or in combination with any other 
person or company, proposes to acquire securities that, 
together with the securities already beneficially owned, or 
over which direct or indirect control or direction is already 
exercised, do not exceed more than 10% of any class or 
series of securities.
(4)	Except in Ontario and British Columbia, if, within 30 days of the 
regulator's, or, in Qu‚bec, the securities regulatory authority's 
receipt of a notice under subsection (1), the regulator or the 
securities regulatory authority notifies the registrant making the 
acquisition that the regulator or the securities regulatory authority 
objects to the acquisition, the acquisition must not occur until the 
regulator or the securities regulatory authority approves it.
(5)	In Ontario, if, within 30 days of the regulator's receipt of a notice 
under subsection (1)(a) or (c), the regulator notifies the registrant 
making the acquisition that the regulator objects to the 
acquisition, the acquisition must not occur until the regulator 
approves it.
(6)	Following receipt of a notice of objection under subsection (4) or 
(5), the person or company who submitted the notice to the 
regulator or, in Qu‚bec, the securities regulatory authority may 
request an opportunity to be heard on the matter..
42.	Section 11.10 is replaced with the following:
11.10	Registered firm whose securities are acquired 
(1)	A registered firm must give the regulator or, in Qu‚bec, the 
securities regulatory authority written notice in accordance with 
subsection (2) if it knows or has reason to believe that any person 
or company, alone or in combination with any other person or 
company, is about to acquire, or has acquired, beneficial 
ownership of, or direct or indirect control or direction over, 10% 
or more of any class or series of voting securities of any of the 
following:
(a)	the registered firm;
(b)	a person or company of which the registered firm is a 
subsidiary.
(2)	The notice required under subsection (1) must, 
(a)	be delivered to the regulator or, in Qu‚bec, the securities 
regulatory authority as soon as possible, 
(b)	include the name of each person or company involved in 
the acquisition, and 
(c)	after the registered firm has applied reasonable efforts to 
gather all relevant facts, include facts regarding the 
acquisition sufficient to enable the regulator or the 
securities regulatory authority to determine if the 
acquisition is
(i)	likely to give rise to a conflict of interest,
(ii)	likely to hinder the registered firm in complying 
with securities legislation,
(iii)	inconsistent with an adequate level of investor 
protection, or
(iv)	otherwise prejudicial to the public interest.
(3)	This section does not apply to an acquisition in which the 
beneficial ownership of, or direct or indirect control or direction 
over, a registered firm does not change.
(4)	This section does not apply if notice of the acquisition was 
provided under section 11.9 [registrant acquiring a registered 
firm's securities or assets].
(5)	Except in British Columbia and Ontario, if, within 30 days of the 
regulator's or, in Qu‚bec, the securities regulatory authority's 
receipt of a notice under subsection (1), the regulator or the 
securities regulatory authority notifies the person or company 
making the acquisition that the regulator or the securities 
regulatory authority objects to the acquisition, the acquisition 
must not occur until the regulator or the securities regulatory 
authority approves it.
(6)	In Ontario, if, within 30 days of the regulator's receipt of a notice 
under subsection (1)(a), the regulator notifies the person or 
company making the acquisition that the regulator objects to the 
acquisition, the acquisition must not occur until the regulator 
approves it.
(7)	Following receipt of a notice of objection under subsection (5) or 
(6), the person or company proposing to make the acquisition may 
request an opportunity to be heard on the matter.
43.	Section 12.1 is replaced with the following:
12.1	Capital requirements
(1)	If, at any time, the excess working capital of a registered firm, as 
calculated in accordance with Form 31-103F1 Calculation of 
Excess Working Capital, is less than zero, the registered firm 
must notify the regulator or, in Qu‚bec, the securities regulatory 
authority as soon as possible.
(2)	The excess working capital of a registered firm, as calculated in 
accordance with Form 31-103F1 Calculation of Excess Working 
Capital, must not be less than zero for 2 consecutive days. 
(3)	For the purpose of completing Form 31-103F1 Calculation of 
Excess Working Capital, the minimum capital is
(a)	$25,000, for a registered adviser that is not also a 
registered dealer or a registered investment fund manager,
(b)	$50,000, for a registered dealer that is not also a registered 
investment fund manager, and
(c)	$100,000, for a registered investment fund manager.
(4)	Paragraph (3)(c) does not apply to a registered investment fund 
manager that is exempt from the dealer registration requirement 
under section 8.6 [investment fund trades by adviser to managed 
account] in respect of all investment funds for which it acts as 
adviser.
(5)	This section does not apply to a registered firm that is a member 
of IIROC and is registered as an investment fund manager if all of 
the following apply:
(a)	the firm has a minimum capital of not less than $100,000 
as calculated in accordance with IIROC Form 1 Joint 
Regulatory Financial Questionnaire and Report;
(b)	the firm notifies the regulator or, in Qu‚bec, the securities 
regulatory authority as soon as possible if, at any time, the 
firm's risk adjusted capital, as calculated in accordance 
with IIROC Form 1 Joint Regulatory Financial 
Questionnaire and Report is less than zero;
(c)	the risk adjusted capital of the firm, as calculated in 
accordance with IIROC Form 1 Joint Regulatory Financial 
Questionnaire and Report, is not less than zero for 2 
consecutive days.
(6)	This section does not apply to a mutual fund dealer that is a 
member of the MFDA if it is also registered as an exempt market 
dealer, a scholarship plan dealer or an investment fund manager 
and if all of the following apply:
(a)	the firm has a minimum capital, as calculated in 
accordance with MFDA Form 1 MFDA Financial 
Questionnaire and Report, of not less than 
(i)	$50,000, if the firm is registered as an exempt 
market dealer or scholarship plan dealer,
(ii)	$100,000, if the firm is registered as an investment 
fund manager;
(b)	the firm notifies the regulator or, in Qu‚bec, the securities 
regulatory authority as soon as possible if, at any time, the 
firm's risk adjusted capital, as calculated in accordance 
with MFDA Form 1 MFDA Financial Questionnaire and 
Report is less than zero;
(c)	the risk adjusted capital of the firm, as calculated in 
accordance with MFDA Form 1 MFDA Financial 
Questionnaire and Report, is not less than zero for 2 
consecutive days..
44.	Section 12.2 is amended
(a)	by replacing the heading with "Notifying the regulator or the securities 
regulatory authority of a subordination agreement", 
(b)	by adding "or, in Qu‚bec, the securities regulatory authority" after 
"regulator", and
(c)	by replacing "5 days" with "10 days".
45.	Subsection 12.3(2) is amended by deleting "and".
46.	Subsections 12.4(2) and (3) are amended by deleting "and" wherever it 
occurs after "Appendix A".
47.	Subsection 12.5 (2) is amended by deleting "and" after "Appendix A".
48.	Section 12.7 is amended by
(a)	replacing the heading with "Notifying the regulator or the 
securities regulatory authority of a change, claim or cancellation", 
and
(b)	by adding "or, in Qu‚bec, the securities regulatory authority" 
after "regulator". 
49.	Section 12.8 is replaced with the following: 
12.8	Direction by the regulator or the securities regulatory authority to 
conduct an audit or review
A registered firm must direct its auditor in writing to conduct any audit 
or review required by the regulator or, in Qu‚bec, the securities 
regulatory authority during its registration and must deliver a copy of the 
direction to the regulator or the securities regulatory authority
(a)	with its application for registration, and
(b)	no later than the 10th day after the registered firm changes its 
auditor..
50.	Section 12.10 is amended in subsections (1) and (2) by adding "or, in Qu‚bec, 
the securities regulatory authority" after "regulator".
51.	Subsection 12.11(1) and (2) is amended by adding "or, in Qu‚bec, the 
securities regulatory authority" after "regulator".
52.	Section 12.12 is amended 
(a)	by adding "or, in Qu‚bec, the securities regulatory authority" after 
"regulator" wherever the expression occurs,
(b)	by adding, after section (2), the following:
(2.1)	If a registered firm is a member of the MFDA and is registered as 
an exempt market dealer or scholarship plan dealer, the firm is 
exempt from paragraphs (1)(b) and (2)(b) if all of the following 
apply:
(a)	the firm has a minimum capital of not less than $50,000 as 
calculated in accordance with MFDA Form 1 MFDA 
Financial Questionnaire and Report;
(b)	the firm delivers to the regulator or, in Qu‚bec, the 
securities regulatory authority a completed MFDA Form 1 
MFDA Financial Questionnaire and Report, no later than 
the 90th day after the end of its financial year, that shows 
the calculation of the firm's risk adjusted capital as at the 
end of the financial year and as at the end of the 
immediately preceding financial year, if any;
(c)	the firm delivers to the regulator or, in Qu‚bec, the 
securities regulatory authority a completed MFDA Form 1 
MFDA Financial Questionnaire and Report, no later than 
the 30th day after the end of the first, second and third 
interim period of its financial year, that shows the 
calculation of the firm's risk adjusted capital as at the end 
of the interim period and as at the end of the immediately 
preceding month, if any., and
(c)	in subsection (3) by adding "unless it is also registered in another 
category" after "exempt market dealer".
53.	Section 12.13 is amended by adding "or, in Qu‚bec, the securities regulatory 
authority" after "regulator".
54.	Section 12.14 is amended 
(a)	by adding "or, in Qu‚bec, the securities regulatory authority" after 
"regulator" wherever the expression occurs, and
(b)	by adding, after subsection (3), the following:
(4)	If a registered firm is a member of IIROC and is registered as an 
investment fund manager, the firm is exempt from paragraphs 
(1)(b) and (2)(b) if
(a)	the firm has a minimum capital of not less than $100,000, 
as calculated in accordance with IIROC Form 1 Joint 
Regulatory Financial Questionnaire and Report;
(b)	the firm delivers to the regulator or, in Qu‚bec, the 
securities regulatory authority a completed IIROC Form 1 
Joint Regulatory Financial Questionnaire and Report, no 
later than the 90th day after the end of its financial year, 
that shows the calculation of the firm's risk adjusted capital 
as at the end of the financial year and as at the end of the 
immediately preceding financial year, if any, and
(c)	the firm delivers to the regulator or, in Qu‚bec, the 
securities regulatory authority a completed IIROC Form 1 
Joint Regulatory Financial Questionnaire and Report, no 
later than the 30th day after the end of the first, second and 
third interim period of its financial year, that shows the 
calculation of the firm's risk adjusted capital as at the end 
of the interim period and as at the end of the immediately 
preceding month, if any.
(5)	If a registered firm is a member of the MFDA and is registered as 
an investment fund manager, the firm is exempt from paragraphs 
(1)(b) and (2)(b) if
(a)	the firm has a minimum capital of not less than $100,000, 
as calculated in accordance with MFDA Form 1 MFDA 
Financial Questionnaire and Report,
(b)	the firm delivers to the regulator or, in Qu‚bec, the 
securities regulatory authority a completed MFDA Form 1 
MFDA Financial Questionnaire and Report, no later than 
the 90th day after the end of its financial year, that shows 
the calculation of the firm's risk adjusted capital as at the 
end of the financial year and as at the end of the 
immediately preceding financial year, if any, and
(c)	the firm delivers to the regulator or, in Qu‚bec, the 
securities regulatory authority a completed MFDA Form 1 
MFDA Financial Questionnaire and Report, no later than 
the 30th day after the end of the first, second and third 
interim period of its financial year, that shows the 
calculation of the firm's risk adjusted capital as at the end 
of the interim period and as at the end of the immediately 
preceding month, if any..
55.	Section 13.1 is amended by adding "an investment fund manager in respect of 
its activities as" after "apply to". 
56.	Section 13.2 is amended
(a)	in subsection (3) by deleting "under paragraph (2)(a)",
(b)	in subparagraph (3)(b)(i) by replacing "10%" with "25%", and 
(c)	by adding the following after subsection (6):
(7)	Paragraph (2)(b) does not apply to a registrant in respect of a 
client for which the registrant only trades securities referred to in 
paragraphs 7.1(2)(b) and (2)(c)..
57.	Paragraph 13.6 (b) is amended by adding ", or is managed by an affiliate of," 
after "affiliate of".
58.	Section 13.8 is replaced with the following:
13.8	Permitted referral arrangements
A registered firm, or a registered individual whose registration is 
sponsored by the registered firm, must not participate in a referral 
arrangement with another person or company unless, 
(a)	before a client is referred by or to the registrant, the terms of the 
referral arrangement are set out in a written agreement between 
the registered firm and the person or company;
(b)	the registered firm records all referral fees, and
(c)	the registrant ensures that the information prescribed by 
subsection 13.10(1) [disclosing referral arrangements to clients] 
is provided to the client in writing before the party receiving the 
referral either opens an account for the client or provides services 
to the client..
59.	Section 13.9 is amended by
(a)	replacing "registrant that refers" with "registered firm, or a registered 
individual whose registration is sponsored by the registered firm, must 
not refer",
(b)	replacing "must take" with "unless the firm first takes", and
(c)	deleting "himself, herself, or".


60.	Subsection 13.10 (1) is amended
(a)	in paragraph (a) by replacing "referral arrangement" with "agreement 
referred to in paragraph 13.8(a)",
(b)	in paragraph (b) by replacing "referral arrangement" with 
"agreement", and
(c)	in paragraph (c) by replacing "referral arrangement" with "agreement".
61.	Section 13.12 is amended by adding the following:
(2)	Notwithstanding subsection (1), an investment fund manager may lend 
money on a short term basis to an investment fund it manages, if the 
loan is for the purpose of funding redemptions of its securities or 
meeting expenses incurred by the investment fund in the normal course 
of its business..
62.	Subsection 13.13 (2) is amended by
(a)	adding "one of the following applies" after "if", and
(b)	repealing paragraph (b).
63.	Section 13.14 is replaced with the following:
13.14	Application of this Division
(1)	This Division does not apply to an investment fund 
manager in respect of its activities as an investment fund 
manager.
(2)	In Qu‚bec, a registered firm is deemed to comply with this 
Division if it complies with sections 168.1.1 to 168.1.3 of 
the Securities Act (Qu‚bec)..
64.	Section 14.1 is replaced with the following:
14.1	Investment fund managers exempt from Part 14
14.1	Other than sections 14.6 [holding client assets in trust], 14.12(5) 
[content and delivery of trade confirmation] and 14.14 [account 
statements], this Part does not apply to an investment fund 
manager in respect of its activities as an investment fund 
manager..
65.	Subsection 14.2 (2) is amended
(a)	by replacing paragraph (j) with the following:
(j)	If section 13.16 applies to the registered firm, disclosure that 
independent dispute resolution or mediation services are available 
at the registered firm's expense, to resolve any dispute that might 
arise between the client and the firm about any trading or advising 
activity of the firm or one of its representatives;, and
(b)	in paragraph (k) by adding "registered" after "that the".
66.	Section 14.5 is replaced with the following:
14.5	Notice to clients by non-resident registrants
(1)	A registered firm whose head office is not located in the local 
jurisdiction must provide a client in the local jurisdiction with a 
statement in writing disclosing the following:
(a)	the firm is not resident in the local jurisdiction; 
(b)	the jurisdiction in Canada or the foreign jurisdiction in 
which the head office or the principal place of business of 
the firm is located;
(c)	all or substantially all of the assets of the firm may be 
situated outside the local jurisdiction;
(d)	there may be difficulty enforcing legal rights against the 
firm because of the above;
(e)	the name and address of the agent for service of process of 
the firm in the local jurisdiction.
(2)	This section does not apply to a registered firm whose head office 
is in Canada if the firm is registered in the local jurisdiction..
67	Section 14.12 is amended
(a)	in subsection (1) by replacing "Subject to subsection (2), a" with "A" 
and by adding "or, if the client consents in writing, to a registered 
adviser acting for the client," after "deliver to the client", 
(b)	by replacing subsection (3) with the following:
(3)	Paragraph (1)(h) does not apply if all of the following apply:
(a)	the security is a security of a mutual fund that is 
established and managed by the registered dealer or by an 
affiliate of the registered dealer, in its capacity as 
investment fund manager of the mutual fund; 
(b)	the names of the dealer and the mutual fund are sufficiently 
similar to indicate that they are affiliated or related., and
(c)	by adding the following after subsection (4):
(5)	A registered investment fund manager that has executed a 
redemption order received directly from a security holder must 
promptly deliver to the security holder a written confirmation of 
the redemption, setting out the following:
(a)	the quantity and description of the security redeemed; 
(b)	the price per security received by the client;
(c)	the commission, sales charge, service charge and any other 
amount charged in respect of the redemption;
(d)	the settlement date of the redemption.
(6)	Section 14.12 (5) does not apply to trades in a security of an 
investment fund made on reliance on section 8.6..
68.	Section 14.13 is amended
(a)	in the heading by replacing "Semi-annual confirmations" with 
"Confirmations", and 
(b)	by repealing paragraph (d).
69.	Section 14.14 is amended
(a)	in the heading by replacing "Client" with "Account",
(b)	in subsection (2) by deleting ", other than a mutual fund dealer," after 
"registered dealer", 
(c)	by adding the following after subsection (2):
(2.1)	Subsection (2) does not apply to a mutual fund dealer in 
connection with its activities as a dealer in respect of the 
securities listed in section 7.1(2)(b).,
(d)	by adding the following after subsection (3):
(3.1)	If there is no dealer of record for a security holder on the records 
of a registered investment fund manager, the investment fund 
manager must deliver a statement to the security holder at least 
once every 12 months,,
(e)	by replacing subsection (4) with the following:
(4)	A statement delivered under subsection (1), (2), (3) or (3.1) must 
include all of the following information for each transaction made 
for the client or security holder during the period covered by the 
statement:
(a)	the date of the transaction;
(b)	the type of transaction;
(c)	the name of the security; 
(d)	the number of securities;
(e)	the price per security;
(f)	the total value of the transaction.,
(f)	by replacing subsection (5) with the following:
(5)	A statement delivered under subsection (1), (2), (3) or (3.1) must 
include all of the following information about the client's or 
security holder's account as at the end of the period for which the 
statement is made:
(a)	the name and quantity of each security in the account;
(b)	the market value of each security in the account; 
(c)	the total market value of each security position in the 
account;
(d)	any cash balance in the account;
(e)	the total market value of all cash and securities in the 
account, and
(g)	by adding the following after subsection (5):
(6)	Subsections (1) and (2) do not apply to a scholarship plan dealer 
if both of the following apply:
(a)	the dealer is not registered in another dealer or adviser 
category;
(b)	the dealer delivers to the client a statement at least once 
every 12 months that provides the information in 
subsections (4) and (5)..
70.	Subsection 15.1 is amended by adding "in Qu‚bec" after "regulator".
71.	Subsection 16.4 is amended
(a)	 in paragraph (1)(b) by adding "or, in Qu‚bec, the securities regulatory 
authority" after "regulator", and
(b)	in subsection (3) by adding "a" after "dealer or".
72.	Subsection 16.5(1) is replaced with the following:
(1)	A person or company is not required to register in the local jurisdiction 
as an investment fund manager if it is registered, or has applied for 
registration, as an investment fund manager in the jurisdiction of Canada 
in which its head office is located.
(2)	Subsection (1) is repealed on September 28, 2012..
73.	Subsection 16.6(2) is replaced with the following:
(2) Subsection (1) is repealed on September 28, 2012..
74.	Subsections 16.7(3) and (4) are amended by adding "or, in Qu‚bec, the 
securities regulatory authority" after "regulator" wherever this expression 
occurs.
75.	Subsection 16.8(b) is amended by adding "or, in Qu‚bec, the securities 
regulatory authority" after "regulator".
76.	Subsection 16.9 is amended
(a)	in paragraph (1)(b), by adding "or, in Qu‚bec, the securities regulatory 
authority" after "regulator", and
(b)	in subsection (2), by adding "in a jurisdiction of Canada" after 
"compliance officer".
77.	Subsection 16.10 (1) is amended by adding "in a jurisdiction of Canada" after 
"is registered".
78.	Subsection 16.16(1) is amended 
(a)	by adding "in a jurisdiction of Canada" after "registered firm", and
(b)	in subsection (2) by replacing "2 years after this Instrument comes into 
force" with "on September 28, 2012".


79.	Section 16.17 is replaced with the following:
16.17	Account statements - mutual fund dealers
(1)	Section 14.14 [account statements] does not apply to a person or 
company that was, on September 28, 2009, either of the 
following:
(a)	a member of the MFDA;
(b)	a mutual fund dealer in Qu‚bec, unless it was also a 
portfolio manager in Qu‚bec.
(2)	Subsection (1) is repealed on September 28, 2011..
80.	Form 31-103F1 is replaced with the following:
FORM 31-103F1 CALCULATION OF EXCESS WORKING CAPITAL
______________________________________
Firm Name
Capital Calculation
(as at ________________ with comparative figures as at ______________)

Component
Current period
Prior period
1.
Current assets


2.
Less current assets not readily convertible into 
cash (e.g., prepaid expenses)


3.
Adjusted current assets 
Line 1 minus line 2 =


4.
Current liabilities


5.
Add 100% of long-term related party debt unless 
the firm and the lender have executed a 
subordination agreement in the form set out in 
Appendix B and the firm has delivered a copy of 
the agreement to the regulator or, in Qu‚bec, the 
securities regulatory authority


6.
Adjusted current liabilities 
Line 4 plus line 5 =


7.
Adjusted working capital 
Line 3 minus line 6 =


8.
Less minimum capital


9.
Less market risk


10.
Less any deductible under the bonding or 
insurance policy required under Part 12 of 
National Instrument  31-103, Registration 
Requirements, Exemptions and Ongoing 
Registrant Obligations


11.
Less Guarantees


12.
Less unresolved differences


13.
Excess working capital




Notes:
This form must be prepared using the accounting principles that you use to prepare 
your financial statements in accordance with National Instrument 52-107 Acceptable 
Accounting Principles and Auditing Standards. Section 12.1 of Companion Policy 31-
103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations 
provides further guidance in respect of these accounting principles.
Line 5. Related-party debt - Refer to the CICA Handbook for the definition of 
"related party" for publicly accountable enterprises.
Line 8. Minimum Capital - The amount on this line must be not less than (a) 
$25,000 for an adviser and (b) $50,000 for a dealer.  For an investment fund manager, 
the amount must be not less than $100,000 unless subsection 12.1(4) applies.
Line 9. Market Risk - The amount on this line must be calculated according to the 
instructions set out in Schedule 1 to this Form.
Line 11. Guarantees - If the registered firm is guaranteeing the liability of another 
party, the total amount of the guarantee must be included in the capital calculation.  If 
the amount of a guarantee is included in the firm's statement of financial position as a 
current liability and is reflected in line 4, do not include the amount of the guarantee 
on line 11.
Line 12. Unresolved differences - Any unresolved differences that could result in a 
loss from either firm or client assets must be included in the capital calculation. The 
examples below provide guidance as to how to calculate unresolved differences:
(i)	If there is an unresolved difference relating to client securities, the 
amount to be reported on Line 12 will be equal to the fair value of the 
client securities that are short, plus the applicable margin rate for those 
securities.
(ii)	If there is an unresolved difference relating to the registrant's 
investments, the amount to be reported on Line 12 will be equal to the 
fair value of the investments (securities) that are short.
(iii)	If there is an unresolved difference relating to cash, the amount to be 
reported on Line 12 will be equal to the amount of the shortfall in cash.
Please refer to section 12.1 of Companion Policy 31-103CP Registration 
Requirements, Exemptions and Ongoing Registrant Obligations for further guidance 
on how to prepare and file this form.
Management Certification
Registered Firm Name: ____________________________________________
We have examined the attached capital calculation and certify that the firm is in compliance 
with the capital requirements as at ______________________________.
Name and Title
Signature
Date
1.____________________
   ____________________
2. ___________________
   ____________________

_________________________

_________________________

________________________

________________________


Schedule 1 of Form 31-103F1 Calculation of Excess Working Capital 
(calculating line 9 [market risk])
For purposes of completing this form:
(1)	"Fair value" means the value of a security determined in accordance 
with Canadian GAAP applicable to publicly accountable enterprises.
(2)	For each security whose value is included in line 1, Current Assets, 
multiply the fair value of the security by the margin rate for that security 
set out below. Add up the resulting amounts for all of the securities you 
hold. The total is the "market risk" to be entered on line 9.
(a)	Bonds, Debentures, Treasury Bills and Notes
(i)	Bonds, debentures, treasury bills and other securities of or guaranteed by 
the Government of Canada, of the United Kingdom, of the United States 
of America and of any other national foreign government (provided such 
foreign government securities are currently rated Aaa or AAA by 
Moody's Investors Service, Inc. or Standard & Poor's Corporation, 
respectively), maturing (or called for redemption): 
within 1 year:
1% of fair value multiplied by the fraction 
determined by dividing the number of 
days to maturity by 365
over 1 year to 3 years:
1 % of fair value
over 3 years to 7 years:
2% of fair value
over 7 years to 11 years:
4% of fair value
over 11 years:
4% of fair value

(ii)	Bonds, debentures, treasury bills and other securities of or guaranteed by 
any jurisdiction of Canada and obligations of the International Bank for 
Reconstruction and Development, maturing (or called for redemption):
within 1 year:
2% of fair value multiplied by the fraction 
determined by dividing the number of 
days to maturity by 365
over 1 year to 3 years:
3 % of fair value
over 3 years to 7 years:
4% of fair value
over 7 years to 11 years:
5% of fair value
over 11 years:
5% of fair value

(iii)	Bonds, debentures or notes (not in default) of or guaranteed by any 
municipal corporation in Canada or the United Kingdom maturing:
within 1 year:
3% of fair value multiplied by the fraction 
determined by dividing the number of 
days to maturity by 365
over 1 year to 3 years:
5 % of fair value
over 3 years to 7 years:
5% of fair value
over 7 years to 11 years:
5% of fair value
over 11 years:
5% of fair value

(iv)	Other non-commercial bonds and debentures, (not in default): 10% of fair 
value
(v)	Commercial and corporate bonds, debentures and notes (not in default) and 
non-negotiable and non-transferable trust company and mortgage loan 
company obligations registered in the registered firm's name maturing:
within 1 year:
3% of fair value
over 1 year to 3 years:
6 % of fair value
over 3 years to 7 years:
7% of fair value
over 7 years to 11 years:
10% of fair value
over 11 years:
10% of fair value

(b)	Bank Paper
Deposit certificates, promissory notes or debentures issued by a Canadian chartered 
bank (and of Canadian chartered bank acceptances) maturing:
within 1 year:
2% of fair value multiplied by the fraction determined 
by dividing the number of days to maturity by 365
over 1 year:
apply rates for commercial and corporate bonds, 
debentures and notes

(c)	Acceptable foreign bank paper
Deposit certificates, promissory notes or debentures issued by a foreign bank, readily 
negotiable and transferable and maturing:
within 1 year:
2% of fair value multiplied by the fraction determined by 
dividing the number of days to maturity by 365
over 1 year:
apply rates for commercial and corporate bonds, 
debentures and notes

"Acceptable Foreign Bank Paper" consists of deposit certificates or promissory notes 
issued by a bank other than a Canadian chartered bank with a net worth (i.e., capital 
plus reserves) of not less than $200,000,000.
(d)	Mutual Funds
Securities of mutual funds qualified by prospectus for sale in any jurisdiction of 
Canada: 
(i)	5% of the net asset value per security as determined in accordance with 
National Instrument 81-106 Investment Fund Continuous Disclosure, 
where the fund is a money market mutual fund as defined in National 
Instrument 81-102 Mutual Funds; or
(ii)	the margin rate determined on the same basis as for listed stocks 
multiplied by the net asset value per security of the fund as determined 
in accordance with National Instrument 81-106 Investment Fund 
Continuous Disclosure.
(e)	Stocks
In this paragraph, "securities" includes rights and warrants and does not include 
bonds and debentures.
(i)	On securities including investment fund securities, rights and warrants, 
listed on any exchange in Canada or the United States of America:
       Long Positions - Margin Required
       Securities selling at $2.00 or more - 50% of fair value
       
       Securities selling at $1.75 to $1.99 - 60% of fair value
       
       Securities selling at $1.50 to $1.74 - 80% of fair value
       
       Securities selling under $1.50 - 100% of fair value
       Short Positions - Credit Required
       Securities selling at $2.00 or more - 150% of fair value
       
Securities selling at $1.50 to $1.99 - $3.00 per share

Securities selling at $0.25 to $1.49 - 200% of fair value

Securities selling at less than $0.25 - fair value plus $0.25 per 
shares
(ii)	For positions in securities that are constituent securities on a major broadly-
based index of one of the following exchanges, 50% of the fair value: 
(a)	Australian Stock Exchange Limited
(b)	Bolsa de Madrid
(c)	Borsa Italiana
(d)	Copenhagen Stock Exchange
(e)	Euronext Amsterdam
(f)	Euronext Brussels
(g)	Euronext Paris S.A.
(h)	Frankfurt Stock Exchange
(i)	London Stock Exchange
(j)	New Zealand Exchange Limited
(k)	Stockholm Stock Exchange
(l)	Swiss Exchange
(m)	The Stock Exchange of Hong Kong Limited
(n)	Tokyo Stock Exchange
(f) Mortgages 
(i) For a firm registered in any jurisdiction of Canada except Ontario:
(a)	Insured mortgages (not in default): 6% of fair value
(b)	Mortgages which are not insured (not in default): 12% of fair value of 
the loan or the rates set by Canadian financial institutions or Schedule III 
banks, whichever is greater.
(ii) For a firm registered in Ontario:
(a)	Mortgages insured under the National Housing Act (Canada) (not in 
default): 6% of fair value
(b)	Conventional first mortgages (not in default): 12% of fair value of the 
loan or the rates set by Canadian financial institutions or Schedule III 
banks, whichever is greater. 
If you are registered in Ontario regardless of whether you are also registered in 
another jurisdiction of Canada, you will need to apply the margin rates set forth in (ii) 
above.

(g)	For all other securities - 100% of fair value.
81.	Form 31-103F2 is replaced with the following:
FORM 31-103F2 SUBMISSION TO JURISDICTION AND APPOINTMENT 
OF AGENT FOR SERVICE
(sections 8.18 [international dealer] and 8.26 [international adviser])
1.	Name of person or company ("International Firm"):
2.	If the International Firm was previously assigned an NRD number as a 
registered firm or an unregistered exempt international firm, provide the NRD 
number of the firm.
3.	Jurisdiction of incorporation of the International Firm:
4.	Head office address of the International Firm:
5.	The name, e-mail address, phone number and fax number of the International 
Firm's chief compliance officer.
	Name: 
	E-mail address:
	Phone: 
	Fax:
6.	Section of National Instrument 31-103, Registration Requirements, Exemptions 
and Ongoing Registrant Obligations the International Firm is relying on:	
0 Section 8.18 [international dealer]
0 Section 8.26 [international adviser]
0 Other
7.	Name of agent for service of process (the "Agent for Service"):
8.	Address for service of process on the Agent for Service:
9.	The International Firm designates and appoints the Agent for Service at the 
address stated above as its agent upon whom may be served a notice, pleading, 
subpoena, summons or other process in any action, investigation or 
administrative, criminal, quasi-criminal or other proceeding (a "Proceeding") 
arising out of or relating to or concerning the International Firm's activities in 
the local jurisdiction and irrevocably waives any right to raise as a defence in 
any such proceeding any alleged lack of jurisdiction to bring such Proceeding.
10.	The International Firm irrevocably and unconditionally submits to the non-
exclusive jurisdiction of the judicial, quasi-judicial and administrative tribunals 
of the local jurisdiction in any Proceeding arising out of or related to or 
concerning the International Firm's activities in the local jurisdiction.
11.	Until 6 years after the International Firm ceases to rely on section 8.18 
[international dealer] or section 8.26 [international adviser], the International 
Firm must submit to the securities regulatory authority
a.	a new Submission to Jurisdiction and Appointment of Agent for Service 
in this form no later than the 30th day before the date this Submission to 
Jurisdiction and Appointment of Agent for Service is terminated; and
b.	an amended Submission to Jurisdiction and Appointment of Agent for 
Service no later than the 30th day before any change in the name or 
above address of the Agent for Service.
12.	This Submission to Jurisdiction and Appointment of Agent for Service is 
governed by and construed in accordance with the laws of the local 
jurisdiction.
Dated: ____________________________________
__________________________________________
(Signature of the International Firm or authorized signatory)
__________________________________________
(Name and Title of authorized signatory)
Acceptance
The undersigned accepts the appointment as Agent for Service of (Insert name of 
International Firm) under the terms and conditions of the foregoing Submission to 
Jurisdiction and Appointment of Agent for Service.
Dated:  ____________________________________
__________________________________________
(Signature of Agent for Service or authorized signatory)
__________________________________________
(Name and Title of authorized signatory)
82.	Form 31-103F3 is amended by replacing "and Exemptions" with ", 
Exemptions and Ongoing Registrant Obligations".

83.	Appendix B is amended 
(a)	by replacing "and Exemptions" with ", Exemptions and Ongoing 
Registrant Obligations", and
(b)	in section 1 by replacing "owned" with "owed", and 
(c)	in section 4 by adding "10 days before" after "Securities Regulatory 
Authority" and by deleting "prior to" after "Securities Regulatory 
Authority".
84.	This instrument comes into force on July 11, 2011. 
AMENDMENTS TO NATIONAL INSTRUMENT 33-109 
REGISTRATION INFORMATION
(Securities Act)
Made as a rule by the Alberta Securities Commission on April 12, 2011 pursuant to 
sections 223 and 224 of the Securities Act.
1.	National Instrument 33-109 Registration Information is amended by this 
Instrument.
2.	Section 1.1 is amended
(a)	 by deleting the definitions of "NI 31-102" and "NI 31-103", and
(b)	in the opening statement of the definition of "permitted individual" by 
deleting the words "who is not a registered individual and".
3.	Sections 1.2, 2.1 and 2.2 are amended by replacing "NI 31-102" wherever the 
expression occurs with "National Instrument 31-102 National Registration 
Database".
4.	Section 2.3 is amended
(a)	in subsection (1) by replacing "NI 31-102" with "National Instrument 
31-102 National Registration Database",
(b)	in subsection (2) by replacing "NI 31-103" with "National Instrument 
31-103-Registration Requirements, Exemptions and Ongoing Registrant 
Obligations" and by replacing "NI 31-102" with "National Instrument 
31-102 National Registration Database", and
(c)	in paragraph (2)(b) by adding "resigned voluntarily," after "resign,".
5.	Section 2.4 is amended by replacing "NI 31-102" with "National Instrument 
31-102 National Registration Database". 
6.	Section 2.5 is amended
(a)	in subsection (1) by replacing "NI 31-102" with "National Instrument 
31-102 National Registration Database" and by replacing "7 days" 
with "10 days", 
(b)	in paragraph (2)(a) by replacing "NI 31-102" with "National 
Instrument 31-102 National Registration Database", and
(c)	in subparagraph 2(a)(i) by replacing "7 days " with "10 days".
7.	Sections 2.6 is amended by replacing "NI 31-102" with "National Instrument 
31-102 National Registration Database".
8.	Section 3.1 is amended by replacing "7 days" with "10 days" wherever the 
expression occurs.
9.	Section 3.2 is amended by replacing "NI 31-102" with "National Instrument 
31-102 National Registration Database" and by replacing "7 days" with "10 
days".
10.	Subsection 4.1 is amended
(a)	in subsection (1) by replacing "7 days" with "10 days",
(b)	in subsection (3) and (4) by replacing "NI 31-102" with "National 
Instrument 31-102 National Registration Database", and 
(c)	by replacing paragraph (4)(b) with the following paragraphs:
(b)	the removal or the addition of a category of registration;
(c)	the surrender of registration in one or more non-principal 
jurisdictions..
11.	Section 4.2 is amended
(a)	in subsection (1) by replacing "NI 31-102" with "National Instrument 
31-102 National Registration Database", 
(b)	in paragraph (1)(b) by deleting "or retirement" and "or the completion 
or expiry of an employment or agency contract", 
(c)	in subsections (2), (3) and (4), by replacing "7 days" wherever the 
expression occurs with "10 days", and
(d)	in subsections (3) and (4), by replacing "person or company" wherever 
the expression occurs with "registered firm".
12.	Section 6.2 is amended by replacing "instrument" wherever it occurs with 
"Instrument" and by replacing "7 days" wherever the expression occurs with 
"10 days".
13.	Section 6.4 is amended by replacing "NI 31-102" with "National Instrument 
31-102 National Registration Database". 
14.	Form 33-109F1 is amended
(a)	under "GENERAL INSTRUCTIONS" by replacing "person" after 
"permitted" with "individual" and by adding at the end "or has ceased 
to act in a registerable activity or as a permitted individual",
(b)	under "Terms" by replacing at the end  ";" with ".",
(c)	under "When to submit the form" by replacing "five business days" 
with "10 days",
(d)	in Item 5 by replacing the instructions above "[For NRD Format 
only:]" with the following:
Complete Item 5 except where the individual is deceased. In the space 
below:
*	state the reason(s) for the cessation / termination and 
*	provide details if the answer to any of the following 
questions is "Yes"., 
(e)	in Item 5 under "[For NRD Format only:]" by replacing "completed 
temporary employment contract, retired or" with "individual is", and
(f)	by repealing Item 6 and Schedule A.
15.	Form 33-109F2 is amended
(a)	in the heading by replacing "section 4.2 or 2.2(2) or 2.5(2)" with 
"section 2.2(2), 2.4, 2.6(2) or 4.1(4)",
(b)	by replacing Item 2 with the following:
Item 2 	Registration jurisdictions
1.	Are you filing this form under the passport system / interface for 
registration? 
Choose "no" if you are registered in: 
(a)	only one jurisdiction in Canada,
(b)	more than one jurisdiction in Canada and you are requesting 
a surrender in a non-principal jurisdiction or jurisdictions, 
but not in your principal jurisdiction, or
(c)	more than one jurisdiction in Canada and you are requesting 
a change only in your principal jurisdiction.,
(c)	by replacing Item 4 with the following:
Item 4 	Adding categories 
1.	Categories
What categories are you seeking to add? 
_____________________________________________________
2.	Professional liability insurance (Qu‚bec mutual fund dealers and 
Qu‚bec scholarship plan dealers)
If you are seeking registration as a representative of a mutual fund dealer 
or of a scholarship plan dealer in Qu‚bec, are you covered by your 
sponsoring firm's professional liability insurance?
Yes	0	No0
If "No", state:
The name of your insurer ________________________________
Your policy number _____________________________________
3.	Relevant securities industry experience
If you have not been registered in the last 36 months and you passed the 
required examination more than 36 months ago, do you consider that 
you have gained 12 months of relevant securities industry experience 
during the 36 month period? 
Yes	0 No 0 N/A 0
If you are an individual applying for IIROC approval, select "Not 
Applicable" above.
If "yes", complete Schedule A.,
(d)	by replacing Schedule A with the following:
SCHEDULE A
Relevant securities industry experience (Item 4)
Describe your responsibilities in areas relating to the category you are 
applying for, including the title(s) you have held, as well as start and end 
dates:
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
What is the percentage of your time devoted to these activities?
_____%
Indicate the continuing education activities which you have participated 
in during the last 36 months and which are relevant to the category of 
registration you are applying for:
_____________________________________________
_____________________________________________
_____________________________________________
_____________________________________________
(e)	by adding the following after Schedule A:
Schedule B
Contact information for
Notice of collection and use of personal information
Alberta
Alberta Securities Commission,
Suite 600, 250-5th St. SW
Calgary, AB T2P 0R4
Attention: Information Officer
Telephone: (403) 355-4151
British Columbia
British Columbia Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Attention: Freedom of Information 
Officer
Telephone: (604) 899-6500 or (800) 373-
6393 (in BC)
Manitoba
The Manitoba Securities Commission
500 - 400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Attention: Director of Registrations
Telephone (204) 945-2548
Fax (204) 945-0330
New Brunswick
New Brunswick Securities Commission
Suite 300, 85 Charlotte Street
Saint John, NB  E2L 2J2
Attention:  Director, Regulatory Affairs 
Telephone: (506) 658-3060
Newfoundland and Labrador
Securities NL
Financial Services Regulation Division
Department of Government Services
P.O. Box 8700, 2nd Floor, West Block
Confederation Building
St. John's, NL A1B 4J6
Attention: Manager of Registrations
Tel: (709) 729-5661
Nova Scotia
Nova Scotia Securities Commission
2nd Floor, Joseph Howe Building
1690 Hollis Street
P.O. Box 458
Halifax, NS B3J 2P8
Attention: Deputy Director, Capital 
Markets
Telephone: (902) 424-7768
Northwest Territories
Government of the Northwest Territories
P.O. Box 1320
Yellowknife, NWT X1A 2L9
Attention: Deputy Superintendent of 
Securities
Telephone: (867) 920-8984

Nunavut
Legal Registries Division
Department of Justice
Government of Nunavut
P.O. Box 1000 Station 570
Iqaluit, NU X0A 0H0
Attention: Deputy Registrar of Securities
Telephone: (867) 975-6590
Ontario
Ontario Securities Commission
Suite 1903, Box 55
20 Queen Street West
Toronto, ON M5H 3S8
Attention: Compliance and Registrant 
Regulation
Telephone: (416) 593-8314
e-mail: registration@osc.gov.on.ca
Prince Edward Island
Securities Registry
Office of the Attorney General B 
Consumer, Corporate and
Insurance Services Division
P.O. Box 2000
Charlottetown, PE C1A 7N8
Attention: Deputy Registrar of Securities
Telephone: (902) 368-6288
Qu‚bec
Autorit‚ des march‚s financiers 
800, square Victoria, 22e ‚tage 
C.P. 246, tour de la Bourse 
Montr‚al (Qu‚bec) H4Z 1G3
Attention: Responsable de l'accŠs … 
l'information 
Telephone: (514) 395-0337 or (877) 525-
0337 (in Qu‚bec)
Saskatchewan
Saskatchewan Financial Services 
Commission
Suite 601, 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Attention: Director
Telephone: (306) 787-5842
Yukon
Yukon Securities Office
Department of Community Services 
P.O. Box 2703 C-6
Whitehorse, YT Y1A 2C6
Attention: Superintendent of Securities
Telephone: (867) 667-5225
Self-regulatory organization
Investment Industry Regulatory 
Organization of Canada
121 King Street West, Suite 1600
Toronto, Ontario M5H 3T9
Attention: Privacy Officer
Telephone: (416) 364-6133
E-mail: PrivacyOfficer@iiroc.ca 




16.	Form 33-109F3 is amended by replacing Schedule A with the following:
Schedule A
Contact information for
Notice of collection and use of personal information

Alberta
Alberta Securities Commission,
Suite 600, 250-5th St. SW
Calgary, AB T2P 0R4
Attention: Information Officer
Telephone: (403) 355-4151
British Columbia
British Columbia Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Attention: Freedom of Information 
Officer
Telephone: (604) 899-6500 or (800) 373-
6393 (in BC)
Manitoba
The Manitoba Securities Commission
500 - 400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Attention: Director of Registrations
Telephone (204) 945-2548
Fax (204) 945-0330
New Brunswick
New Brunswick Securities Commission
Suite 300, 85 Charlotte Street
Saint John, NB  E2L 2J2
Attention:  Director, Regulatory Affairs 
Telephone: (506) 658-3060
Newfoundland and Labrador
Securities NL
Financial Services Regulation Division
Department of Government Services
P.O. Box 8700, 2nd Floor, West Block
Confederation Building
St. John's, NL A1B 4J6
Attention: Manager of Registrations
Tel: (709) 729-5661
Nova Scotia
Nova Scotia Securities Commission
2nd Floor, Joseph Howe Building
1690 Hollis Street
P.O. Box 458
Halifax, NS B3J 2P8
Attention: Deputy Director, Capital 
Markets
Telephone: (902) 424-7768
Northwest Territories
Government of the Northwest Territories
P.O. Box 1320
Yellowknife, NWT X1A 2L9
Attention: Deputy Superintendent of 
Securities
Telephone: (867) 920-8984

Nunavut
Legal Registries Division
Department of Justice
Government of Nunavut
P.O. Box 1000 Station 570
Iqaluit, NU X0A 0H0
Attention: Deputy Registrar of Securities
Telephone: (867) 975-6590
Ontario
Ontario Securities Commission
Suite 1903, Box 55
20 Queen Street West
Toronto, ON M5H 3S8
Attention: Compliance and Registrant 
Regulation
Telephone: (416) 593-8314
e-mail: registration@osc.gov.on.ca
Prince Edward Island
Securities Registry
Office of the Attorney General B 
Consumer, Corporate and
Insurance Services Division
P.O. Box 2000
Charlottetown, PE C1A 7N8
Attention: Deputy Registrar of Securities
Telephone: (902) 368-6288
Qu‚bec
Autorit‚ des march‚s financiers 
800, square Victoria, 22e ‚tage 
C.P. 246, tour de la Bourse 
Montr‚al (Qu‚bec) H4Z 1G3
Attention: Responsable de l'accŠs … 
l'information 
Telephone: (514) 395-0337 or (877) 525-
0337 (in Qu‚bec)
Saskatchewan
Saskatchewan Financial Services 
Commission
Suite 601, 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Attention: Director
Telephone: (306) 787-5842
Yukon
Yukon Securities Office
Department of Community Services 
P.O. Box 2703 C-6
Whitehorse, YT Y1A 2C6
Attention: Superintendent of Securities
Telephone: (867) 667-5225
Self-regulatory organization
Investment Industry Regulatory 
Organization of Canada
121 King Street West, Suite 1600
Toronto, Ontario M5H 3T9
Attention: Privacy Officer
Telephone: (416) 364-6133
E-mail: PrivacyOfficer@iiroc.ca 

17.	Form 33-109F4 is amended
(a)	in the definition of "Approved person" under "Terms" by replacing 
"member of the IIROC (Member)" with "member (Member) of the 
Investment Industry Regulatory Organization of Canada (IIROC)",
(b)	in the paragraphs "NRD format" and "Format, other than NRD 
format", under the heading "How to submit this form", by adding 
"with securities regulation experience" after "legal adviser",
(c)	in section 1 of Item 8 by
(i)	replacing the title with the following:
Course, Examination or Designation Information and Other 
Education
(ii)	replacing "course and" with "course," and by adding "and 
designation" in the first sentence of item 1, after "examination", 
and 
(iii)	replacing "course or" with "course," and by adding "or 
designation" in the second sentence of item 1, after 
"examination",
(d)	in section 2 of Item 8 by adding the following after "Advocis (formerly 
CAIFA):__________________________":
RESP Dealers Association of Canada: 
__________________________________
Other: 
__________________________________________________________
(e)	in section 3 of Item 8 by adding ", designation" after the word 
"examination",
(f)	in Item 8 by adding the following after section 3:
4.	Relevant securities industry experience
If you are an individual applying for IIROC approval, select "Not 
Applicable below". 
If you have not been registered in the last 36 months and you passed the 
required examination more than 36 months ago, do you consider that 
you have gained 12 months of relevant securities industry experience 
during the 36 month period? 
Yes	0 No 0 N/A 0
If "yes", complete Schedule F.,
(g)	in section 4 of Item 9 by adding "supervisor or" after "Name of",
(h)	in Item 14 by replacing "Immigration Act" with "Immigration and 
Refugee Protection Act", and "Young Offenders Act" wherever the 
expression occurs with "former Young Offenders Act",
(i)	in Item 1.3 of Schedule A to Form 33-109F4 by adding the following 
after "No   0":
                         N\A   0
(j)	in Schedule C by replacing "Investment Industry Regulatory 
Organization of Canada" with "IIROC",
(k)	by replacing Schedule E with the following:


SCHEDULE E
Proficiency (Item 8)
Item 8.1	Course, examination or designation information and other education

Course, examination, 
designation or other 
education
Date completed
(YYYY/MM/DD)
Date exempted
(YYYY/MM/DD)
Regulator / 
securities 
regulatory 
authority 
granting the 
exemption

















If you have listed the CFA Charter in Item 8.1, please indicate by checking the box 
below whether you are a current member of the CFA Institute permitted to use the 
CFA Charter.
Yes	0	No0
If "no", please explain why you no longer hold this designation:
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
If you have listed the CIM designation in Item 8.1, please indicate by checking the 
box below whether you are currently permitted to use the CIM designation.
Yes	0	No0
If "no", please explain why you no longer hold this designation:
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________


(l)	in Schedule F 
(i)	in the heading by replacing "Item 8.3" with "Items 8.3 and 8.4", 
(ii)	by adding the word ", designation" after the word "examination" 
wherever it occurs, and
(iii)	by adding the following after Item 8.3:
Item 8.4	Relevant securities industry experience
Describe your responsibilities in areas relating to the category you are 
applying for, including the title(s) you have held, as well as the start and 
end dates:
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
What is the percentage of your time devoted to these activities?
_____%
Indicate the continuing education activities which you have participated 
in during the last 36 months and which are relevant to the category of 
registration you are applying for:
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
(m)	in Schedule G by replacing section 5 with the following:
5. Conflicts of interest
If you have more than one employer or are engaged in business related 
activities:
A. Disclose any potential for confusion by clients and any potential for 
conflicts of interest arising from your multiple employment or business related 
activities or proposed business related activities.
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
B. Indicate whether or not any of your employers or organizations where you 
engage in business related activities are listed on an exchange.
_______________________________________________________________
_______________________________________________________________
C. Confirm whether the firm has procedures for minimizing potential conflicts 
of interest and if so, confirm that you are aware of these procedures.
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
D. State the name of the person at your sponsoring firm who has reviewed and 
approved your multiple employment or business related activities or proposed 
business related activities
_______________________________________________________________
E. If you do not perceive any conflicts of interest arising from this 
employment, explain why.
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
(n)	by replacing Schedule O with the following: 
Schedule O
Contact information for
Notice of collection and use of personal information
Alberta
Alberta Securities Commission,
Suite 600, 250-5th St. SW
Calgary, AB T2P 0R4
Attention: Information Officer
Telephone: (403) 355-4151
British Columbia
British Columbia Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Attention: Freedom of Information 
Officer
Telephone: (604) 899-6500 or (800) 373-
6393 (in BC)
Manitoba
The Manitoba Securities Commission
500 - 400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Attention: Director of Registrations
Telephone (204) 945-2548
Fax (204) 945-0330
New Brunswick
New Brunswick Securities Commission
Suite 300, 85 Charlotte Street
Saint John, NB  E2L 2J2
Attention:  Director, Regulatory Affairs 
Telephone: (506) 658-3060
Newfoundland and Labrador
Securities NL
Financial Services Regulation Division
Department of Government Services
P.O. Box 8700, 2nd Floor, West Block
Confederation Building
St. John's, NL A1B 4J6
Attention: Manager of Registrations
Tel: (709) 729-5661
Nova Scotia
Nova Scotia Securities Commission
2nd Floor, Joseph Howe Building
1690 Hollis Street
P.O. Box 458
Halifax, NS B3J 2P8
Attention: Deputy Director, Capital 
Markets
Telephone: (902) 424-7768
Northwest Territories
Government of the Northwest Territories
P.O. Box 1320
Yellowknife, NWT X1A 2L9
Attention: Deputy Superintendent of 
Securities
Telephone: (867) 920-8984

Nunavut
Legal Registries Division
Department of Justice
Government of Nunavut
P.O. Box 1000 Station 570
Iqaluit, NU X0A 0H0
Attention: Deputy Registrar of Securities
Telephone: (867) 975-6590
Ontario
Ontario Securities Commission
Suite 1903, Box 55
20 Queen Street West
Toronto, ON M5H 3S8
Attention: Compliance and Registrant 
Regulation
Telephone: (416) 593-8314
e-mail: registration@osc.gov.on.ca
Prince Edward Island
Securities Registry
Office of the Attorney General B 
Consumer, Corporate and
Insurance Services Division
P.O. Box 2000
Charlottetown, PE C1A 7N8
Attention: Deputy Registrar of Securities
Telephone: (902) 368-6288
Qu‚bec
Autorit‚ des march‚s financiers 
800, square Victoria, 22e ‚tage 
C.P. 246, tour de la Bourse 
Montr‚al (Qu‚bec) H4Z 1G3
Attention: Responsable de l'accŠs … 
l'information 
Telephone: (514) 395-0337 or (877) 525-
0337 (in Qu‚bec)
Saskatchewan
Saskatchewan Financial Services 
Commission
Suite 601, 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Attention: Director
Telephone: (306) 787-5842
Yukon
Yukon Securities Office
Department of Community Services 
P.O. Box 2703 C-6
Whitehorse, YT Y1A 2C6
Attention: Superintendent of Securities
Telephone: (867) 667-5225
Self-regulatory organization
Investment Industry Regulatory 
Organization of Canada
121 King Street West, Suite 1600
Toronto, Ontario M5H 3T9
Attention: Privacy Officer
Telephone: (416) 364-6133
E-mail: PrivacyOfficer@iiroc.ca 




18.	 Form 33-109F5 is amended 
(a)	under "How to submit this form" by adding the following after 
subparagraph (b) of the second paragraph:
Name of firm 
_______________________________________________________________
Registration categories 
_______________________________________________________________
NRD number (firm) ___________________________________
(b)	in Item 1 by adding the following under "0 Form 33-109F6": 
If submitting changes to Form 33-109F6, please attach a blackline of the 
amended sections of the form.,
(c)	in Item 5 by deleting the line "name of firm", and
(d)	by replacing Schedule A with the following: 
Schedule A
Contact information for
Notice of collection and use of personal information
Alberta
Alberta Securities Commission,
Suite 600, 250-5th St. SW
Calgary, AB T2P 0R4
Attention: Information Officer
Telephone: (403) 355-4151
British Columbia
British Columbia Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Attention: Freedom of Information 
Officer
Telephone: (604) 899-6500 or (800) 373-
6393 (in BC)
Manitoba
The Manitoba Securities Commission
500 - 400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Attention: Director of Registrations
Telephone (204) 945-2548
Fax (204) 945-0330
New Brunswick
New Brunswick Securities Commission
Suite 300, 85 Charlotte Street
Saint John, NB  E2L 2J2
Attention:  Director, Regulatory Affairs 
Telephone: (506) 658-3060
Newfoundland and Labrador
Securities NL
Financial Services Regulation Division
Department of Government Services
P.O. Box 8700, 2nd Floor, West Block
Confederation Building
St. John's, NL A1B 4J6
Attention: Manager of Registrations
Tel: (709) 729-5661
Nova Scotia
Nova Scotia Securities Commission
2nd Floor, Joseph Howe Building
1690 Hollis Street
P.O. Box 458
Halifax, NS B3J 2P8
Attention: Deputy Director, Capital 
Markets
Telephone: (902) 424-7768
Northwest Territories
Government of the Northwest Territories
P.O. Box 1320
Yellowknife, NWT X1A 2L9
Attention: Deputy Superintendent of 
Securities
Telephone: (867) 920-8984

Nunavut
Legal Registries Division
Department of Justice
Government of Nunavut
P.O. Box 1000 Station 570
Iqaluit, NU X0A 0H0
Attention: Deputy Registrar of Securities
Telephone: (867) 975-6590
Ontario
Ontario Securities Commission
Suite 1903, Box 55
20 Queen Street West
Toronto, ON M5H 3S8
Attention: Compliance and Registrant 
Regulation
Telephone: (416) 593-8314
e-mail: registration@osc.gov.on.ca
Prince Edward Island
Securities Registry
Office of the Attorney General B 
Consumer, Corporate and
Insurance Services Division
P.O. Box 2000
Charlottetown, PE C1A 7N8
Attention: Deputy Registrar of Securities
Telephone: (902) 368-6288
Qu‚bec
Autorit‚ des march‚s financiers 
800, square Victoria, 22e ‚tage 
C.P. 246, tour de la Bourse 
Montr‚al (Qu‚bec) H4Z 1G3
Attention: Responsable de l'accŠs … 
l'information 
Telephone: (514) 395-0337 or (877) 525-
0337 (in Qu‚bec)
Saskatchewan
Saskatchewan Financial Services 
Commission
Suite 601, 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Attention: Director
Telephone: (306) 787-5842
Yukon
Yukon Securities Office
Department of Community Services 
P.O. Box 2703 C-6
Whitehorse, YT Y1A 2C6
Attention: Superintendent of Securities
Telephone: (867) 667-5225
Self-regulatory organization
Investment Industry Regulatory 
Organization of Canada
121 King Street West, Suite 1600
Toronto, Ontario M5H 3T9
Attention: Privacy Officer
Telephone: (416) 364-6133
E-mail: PrivacyOfficer@iiroc.ca 




19.	Form 33-109F6 is amended
(a)	in the definition of "NI 31-103" by replacing "and Exemptions" with ", 
Exemptions and Ongoing Registrant Obligations",
(b)	under "Definitions" by adding the following definitions in 
alphabetical order:
Foreign jurisdiction - see National Instrument 14-101 Definitions.
Jurisdiction or jurisdiction of Canada - see National Instrument 14-101 
Definitions.
NI 52-107 - National Instrument 52-107 Acceptable Accounting 
Principles and Auditing Standards.,
(c)	under "Contents of the form" by replacing "Alberta and Manitoba" 
with "Alberta, Manitoba and New Brunswick",
(d)	in the next to last paragraph under "How to complete and submit the 
form" by deleting "and fees",
(e)	under "How to complete and submit the form" by adding the 
following paragraph before the last paragraph:
In most of this form, answers are required to questions which apply only 
to Canadian provinces and territories; you will find that the questions are 
referenced to "jurisdictions" or "jurisdiction of Canada". These refer to 
all provinces and territories of Canada. However, the questions in Part 4 
-Registration History and Part 7 - Regulatory Action are to be answered 
in respect of any jurisdiction in the world.,
(f)	in section 1.3 of Part 1 by
(i)	replacing "Questions 1.1, 1.2, 1.4, 1.5, 2.4, and Part 9" with 
"Questions 1.1, 1.2, 1.4, 1.5, 2.4, 3.9, 5.4, 5.6*, and Part 9",

(j)	replacing "Questions 1.1, 1.2, 1.4, 1.5, 5.1, 5.4, 5.5, 5.6, 5.7, 5.8, 
Part 6 and Part 9" with "Questions 1.1, 1.2, 1.4, 1.5, 3.1, 5.1, 5.4, 
5.5*, 5.6*, 5.7, 5.8, Part 6 and Part 9", and

(ii)	adding the following after "Part 6 and Part 9":
* If the firm is adding Qu‚bec as a jurisdiction for registration in 
the category of mutual fund dealer or scholarship plan dealer, 
complete question 5.6.,
(g)	in the table in section 1.4 under "Jurisdiction" by replacing "NT" 
with "NS", and by replacing "NS" with "NT",
(h)	in the table in section 1.5 under "Jurisdiction(s) where the firm has 
applied for the exemption" by replacing "NT" with "NS", and by 
replacing "NS" with "NT",
(i)	 in the table in paragraph 2.2 (b) of Part 2 by replacing "NT" with 
"NS", and by replacing "NS" with "NT", 
(j)	 in sections 2.5 and 2.6 by replacing the word "Title" with the 
following:
Officer title

Telephone number

E-mail address


(k)	in section 3.3 in Part 3 by replacing "Alberta or Manitoba" with 
"Alberta, Manitoba or New Brunswick",
(l)	by replacing the first sentence of Part 4 with the following:
The questions in Part 4 apply to any jurisdiction and any foreign 
jurisdiction.,
(m)	in section 4.5 by deleting the word "ever" ,
(n)	by replacing section 5.1 of Part 5 with the following:
5.1	Calculation of excess working capital
Attach the firm's calculation of excess working capital. 
*	Investment dealers must use the capital calculation form 
required by the Investment Industry Regulatory 
Organization of Canada (IIROC). 
*	Mutual fund dealers must use the capital calculation form 
required by the Mutual Fund Dealers Association of 
Canada (MFDA), except for mutual fund dealers registered 
in Qu‚bec only.
*	Firms that are not members of either IIROC or the MFDA 
must use Form 31-103F1 Calculation of Excess Working 
Capital. See Schedule C.,
(o)	in section 5.4 by replacing "NT" with "NS", and by replacing "NS" 
with "NT",
(p)	in section 5.5 by adding the following after "Annual aggregate 
coverage ($)":
Total coverage ($)


(q)	in section 5.5 by replacing "Renewal date" with "Expiry date",

(r)	in section 5.6 

(i)	by adding the following after "Annual aggregate coverage ($)":
Total coverage ($)


(ii)	under "Jurisdictions covered:", by replacing "NT" with "NS", 
and by replacing "NS" with "NT",
(s)	by replacing section 5.13 with the following:
5.13 	Audited financial statements
(a)	Attach, for your most recently completed year, either
(i)	non-consolidated audited financial statements; or
(ii)	audited financial statements prepared in accordance with 
section 3.2(3) of NI 52-107.
(b)	If the audited financial statements attached for item (a) were 
prepared for a period ending more than 90 days before the date of 
this application, also attach an interim financial report for a period 
of not more than 90 days before the date of this application. 
If the firm is a start-up company, you can attach an audited 
opening statement of financial position instead.,
(t)	in Part 6 

(i)	by adding the following before section 6.1 and after "31-
103CP":
For guidance regarding whether a firm will hold or have access to 
client assets see section 12.4 of Companion Policy 31-103CP., 
and
(ii)	in section 6.1 by replacing "does" with "will",



(u)	in Part 7 by replacing the first sentence with the following:
The questions in Part 7 apply to any jurisdiction and any foreign 
jurisdiction. The information must be provided in respect of the last 7 
years.,
(v)	in section 7.1, by deleting "ever",

(w)	in Part 8 by replacing the first paragraph with the following:
The firm must disclose offences or legal actions under any statute 
governing the firm and its business activities in any jurisdiction. The 
information must be provided in respect of the last 7 years.,
(x)	 in section 8.1 by deleting "ever", 
(y)	by replacing Schedule A with the following: 
Schedule A
Contact information for
Notice of collection and use of personal information
Alberta
Alberta Securities Commission,
Suite 600, 250-5th St. SW
Calgary, AB T2P 0R4
Attention: Information Officer
Telephone: (403) 355-4151
British Columbia
British Columbia Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Attention: Freedom of Information 
Officer
Telephone: (604) 899-6500 or (800) 373-
6393 (in BC)
Manitoba
The Manitoba Securities Commission
500 - 400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Attention: Director of Registrations
Telephone (204) 945-2548
Fax (204) 945-0330
New Brunswick
New Brunswick Securities Commission
Suite 300, 85 Charlotte Street
Saint John, NB  E2L 2J2
Attention:  Director, Regulatory Affairs 
Telephone: (506) 658-3060
Newfoundland and Labrador
Securities NL
Financial Services Regulation Division
Department of Government Services
P.O. Box 8700, 2nd Floor, West Block
Confederation Building
St. John's, NL A1B 4J6
Attention: Manager of Registrations
Tel: (709) 729-5661
Nova Scotia
Nova Scotia Securities Commission
2nd Floor, Joseph Howe Building
1690 Hollis Street
P.O. Box 458
Halifax, NS B3J 2P8
Attention: Deputy Director, Capital 
Markets
Telephone: (902) 424-7768
Northwest Territories
Government of the Northwest Territories
P.O. Box 1320
Yellowknife, NWT X1A 2L9
Attention: Deputy Superintendent of 
Securities
Telephone: (867) 920-8984

Nunavut
Legal Registries Division
Department of Justice
Government of Nunavut
P.O. Box 1000 Station 570
Iqaluit, NU X0A 0H0
Attention: Deputy Registrar of Securities
Telephone: (867) 975-6590
Ontario
Ontario Securities Commission
Suite 1903, Box 55
20 Queen Street West
Toronto, ON M5H 3S8
Attention: Compliance and Registrant 
Regulation
Telephone: (416) 593-8314
e-mail: registration@osc.gov.on.ca
Prince Edward Island
Securities Registry
Office of the Attorney General B 
Consumer, Corporate and
Insurance Services Division
P.O. Box 2000
Charlottetown, PE C1A 7N8
Attention: Deputy Registrar of Securities
Telephone: (902) 368-6288
Qu‚bec
Autorit‚ des march‚s financiers 
800, square Victoria, 22e ‚tage 
C.P. 246, tour de la Bourse 
Montr‚al (Qu‚bec) H4Z 1G3
Attention: Responsable de l'accŠs … 
l'information 
Telephone: (514) 395-0337 or (877) 525-
0337 (in Qu‚bec)
Saskatchewan
Saskatchewan Financial Services 
Commission
Suite 601, 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Attention: Director
Telephone: (306) 787-5842
Yukon
Yukon Securities Office
Department of Community Services 
P.O. Box 2703 C-6
Whitehorse, YT Y1A 2C6
Attention: Superintendent of Securities
Telephone: (867) 667-5225
Self-regulatory organization
Investment Industry Regulatory 
Organization of Canada
121 King Street West, Suite 1600
Toronto, Ontario M5H 3T9
Attention: Privacy Officer
Telephone: (416) 364-6133
E-mail: PrivacyOfficer@iiroc.ca 

(z)	in Schedule B by adding the following under "Address for service of 
process on the Agent for Service":
Phone number of the Agent for Service: 
________________________________________________
(aa)	in paragraphs 7(a) and 7(b) of Schedule B by replacing "7th day" with 
"10th day", and
(bb)	by replacing Schedule C with the following: 
Schedule C
FORM 31-103F1 CALCULATION OF EXCESS WORKING CAPITAL
______________________________________
Firm Name
Capital Calculation
(as at ________________ with comparative figures as at ______________)

Component
Current period
Prior period
1.
Current assets


2.
Less current assets not readily convertible into 
cash (e.g., prepaid expenses)


3.
Adjusted current assets 
Line 1 minus line 2 =


4.
Current liabilities


5.
Add 100% of long-term related party debt unless 
the firm and the lender have executed a 
subordination agreement in the form set out in 
Appendix B and the firm has delivered a copy of 
the agreement to the regulator or, in Qu‚bec, the 
securities regulatory authority


6.
Adjusted current liabilities 
Line 4 plus line 5 =


7.
Adjusted working capital 
Line 3 minus line 6 =


8.
Less minimum capital


9.
Less market risk


10.
Less any deductible under the bonding or 
insurance policy required under Part 12 of 
National Instrument  31-103, Registration 
Requirements, Exemptions and Ongoing 
Registrant Obligations


11.
Less Guarantees


12.
Less unresolved differences


13.
Excess working capital



Notes:
This form must be prepared using the accounting principles that you use to prepare 
your financial statements in accordance with National Instrument 52-107 Acceptable 
Accounting Principles and Auditing Standards. Section 12.1 of Companion Policy 31-
103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations 
provides further guidance in respect of these accounting principles.
Line 5. Related-party debt - Refer to the CICA Handbook for the definition of 
"related party" for publicly accountable enterprises.
Line 8. Minimum Capital - The amount on this line must be not less than (a) 
$25,000 for an adviser and (b) $50,000 for a dealer.  For an investment fund manager, 
the amount must be not less than $100,000 unless subsection 12.1(4) applies.
Line 9. Market Risk - The amount on this line must be calculated according to the 
instructions set out in Schedule 1 to this Form.
Line 11. Guarantees - If the registered firm is guaranteeing the liability of another 
party, the total amount of the guarantee must be included in the capital calculation.  If 
the amount of a guarantee is included in the firm's statement of financial position as a 
current liability and is reflected in line 4, do not include the amount of the guarantee 
on line 11.
Line 12. Unresolved differences - Any unresolved differences that could result in a 
loss from either firm or client assets must be included in the capital calculation. The 
examples below provide guidance as to how to calculate unresolved differences:
(i)	If there is an unresolved difference relating to client securities, the 
amount to be reported on Line 12 will be equal to the fair value of the 
client securities that are short, plus the applicable margin rate for those 
securities.
(ii)	If there is an unresolved difference relating to the registrant's 
investments, the amount to be reported on Line 12 will be equal to the 
fair value of the investments (securities) that are short. 
(iii)	If there is an unresolved difference relating to cash, the amount to be 
reported on Line 12 will be equal to the amount of the shortfall in cash.
Please refer to section 12.1 of Companion Policy 31-103CP Registration 
Requirements, Exemptions and Ongoing Registrant Obligations for further guidance 
on how to prepare and file this form.
Management Certification
Registered Firm Name: ____________________________________________
We have examined the attached capital calculation and certify that the firm is in compliance with 
the capital requirements as at ______________________________.
Name and Title
Signature
Date
1.____________________
   ____________________
2. ___________________
   ____________________

_________________________

_________________________

________________________

________________________




Schedule 1 of Form 31-103F1 Calculation of Excess Working Capital
(calculating line 9 [market risk])
For purposes of completing this form:
(1)	"Fair value" means the value of a security determined in accordance 
with Canadian GAAP applicable to publicly accountable enterprises.
(2)	For each security whose value is included in line 1, Current Assets, 
multiply the fair value of the security by the margin rate for that security 
set out below. Add up the resulting amounts for all of the securities you 
hold. The total is the "market risk" to be entered on line 9.
(a)	Bonds, Debentures, Treasury Bills and Notes 
(i)	Bonds, debentures, treasury bills and other securities of or guaranteed by the 
Government of Canada, of the United Kingdom, of the United States of 
America and of any other national foreign government (provided such foreign 
government securities are currently rated Aaa or AAA by Moody's Investors 
Service, Inc. or Standard & Poor's Corporation, respectively), maturing (or 
called for redemption): 
within 1 year:
1% of fair value multiplied by the fraction 
determined by dividing the number of 
days to maturity by 365
over 1 year to 3 years:
1 % of fair value
over 3 years to 7 years:
2% of fair value
over 7 years to 11 years:
4% of fair value
over 11 years:
4% of fair value

(ii)	Bonds, debentures, treasury bills and other securities of or guaranteed by any 
jurisdiction of Canada and obligations of the International Bank for 
Reconstruction and Development, maturing (or called for redemption):
within 1 year:
2% of fair value multiplied by the fraction 
determined by dividing the number of 
days to maturity by 365
over 1 year to 3 years:
3 % of fair value
over 3 years to 7 years:
4% of fair value
over 7 years to 11 years:
5% of fair value
over 11 years:
5% of fair value



(iii)	Bonds, debentures or notes (not in default) of or guaranteed by any municipal 
corporation in Canada or the United Kingdom maturing:
within 1 year:
3% of fair value multiplied by the fraction 
determined by dividing the number of 
days to maturity by 365
over 1 year to 3 years:
5 % of fair value
over 3 years to 7 years:
5% of fair value
over 7 years to 11 years:
5% of fair value
over 11 years:
5% of fair value

(iv)	Other non-commercial bonds and debentures, (not in default): 10% of fair 
value
(v)	Commercial and corporate bonds, debentures and notes (not in default) and 
non-negotiable and non-transferable trust company and mortgage loan 
company obligations registered in the registered firm's name maturing:
within 1 year:
3% of fair value
over 1 year to 3 years:
6 % of fair value
over 3 years to 7 years:
7% of fair value
over 7 years to 11 years:
10% of fair value
over 11 years:
10% of fair value

(b)	Bank Paper
Deposit certificates, promissory notes or debentures issued by a Canadian chartered 
bank (and of Canadian chartered bank acceptances) maturing:
within 1 year:
2% of fair value multiplied by the fraction determined 
by dividing the number of days to maturity by 365
over 1 year:
apply rates for commercial and corporate bonds, 
debentures and notes

(c)	Acceptable foreign bank paper
Deposit certificates, promissory notes or debentures issued by a foreign bank, readily 
negotiable and transferable and maturing:
within 1 year:
2% of fair value multiplied by the fraction determined by 
dividing the number of days to maturity by 365
over 1 year:
apply rates for commercial and corporate bonds, 
debentures and notes

"Acceptable Foreign Bank Paper" consists of deposit certificates or promissory notes 
issued by a bank other than a Canadian chartered bank with a net worth (i.e., capital 
plus reserves) of not less than $200,000,000.


(d)	Mutual Funds
Securities of mutual funds qualified by prospectus for sale in any jurisdiction of 
Canada: 
(i)	5% of the net asset value per security as determined in accordance with 
National Instrument 81-106 Investment Fund Continuous Disclosure, 
where the fund is a money market mutual fund as defined in National 
Instrument 81-102 Mutual Funds; or
(ii)	the margin rate determined on the same basis as for listed stocks 
multiplied by the net asset value per security of the fund as determined 
in accordance with National Instrument 81-106 Investment Fund 
Continuous Disclosure.
(e)	Stocks
In this paragraph, "securities" includes rights and warrants and does not include 
bonds and debentures.
(i)	On securities including investment fund securities, rights and warrants, listed 
on any exchange in Canada or the United States of America:
       Long Positions - Margin Required
       Securities selling at $2.00 or more - 50% of fair value
       
       Securities selling at $1.75 to $1.99 - 60% of fair value
       
       Securities selling at $1.50 to $1.74 - 80% of fair value
       
       Securities selling under $1.50 - 100% of fair value
       Short Positions - Credit Required
       Securities selling at $2.00 or more - 150% of fair value
       
Securities selling at $1.50 to $1.99 - $3.00 per share

Securities selling at $0.25 to $1.49 - 200% of fair value

Securities selling at less than $0.25 - fair value plus $0.25 per 
shares
(ii)	For positions in securities that are constituent securities on a major broadly-
based index of one of the following exchanges, 50% of the fair value: 
(a)	Australian Stock Exchange Limited
(b)	Bolsa de Madrid
(c)	Borsa Italiana
(d)	Copenhagen Stock Exchange
(e)	Euronext Amsterdam
(f)	Euronext Brussels
(g)	Euronext Paris S.A.
(h)	Frankfurt Stock Exchange
(i)	London Stock Exchange
(j)	New Zealand Exchange Limited
(k)	Stockholm Stock Exchange
(l)	Swiss Exchange
(m)	The Stock Exchange of Hong Kong Limited
(n)	Tokyo Stock Exchange
(f)	Mortgages
(i)	For a firm registered in any jurisdiction of Canada except Ontario:
(a)	Insured mortgages (not in default): 6% of fair value
(b)	Mortgages which are not insured (not in default): 12% of fair value of 
the loan or the rates set by Canadian financial institutions or Schedule III 
banks, whichever is greater.
(ii)	For a firm registered in Ontario:
(a)	Mortgages insured under the National Housing Act (Canada) (not in 
default): 6% of fair value
(b)	Conventional first mortgages (not in default): 12% of fair value of the 
loan or the rates set by Canadian financial institutions or Schedule III 
banks, whichever is greater. 
If you are registered in Ontario regardless of whether you are also registered in 
another jurisdiction of Canada, you will need to apply the margin rates set forth in (ii) 
above.

(g)	For all other securities - 100% of fair value.
20.	Form 33-109F7 is amended 
(a)	in section 1 under "GENERAL INSTRUCTIONS" by adding "the 
end of" after "on or before", and by replacing "termination" with 
"cessation",
(b)	in section 3 under "GENERAL INSTRUCTIONS" by deleting 
"dismissed, or was", and by adding "resigned voluntarily or was 
dismissed," after "resign,",
(c)	in the definition for "you", "your" and "individual" under "Terms" by 
adding "or their status as permitted individual" after "registration",
(d)	in section 5 of Item 5 by deleting "Date on which you will become 
authorized to act on behalf of the new sponsoring firm as a registered 
individual or permitted individual YYYY/MM/DD)", 
(e)	in paragraph 2 (b) of Item 9 by adding "or resigned voluntarily" after 
"resign",
(f)	in Schedule B by replacing "Investment Industry Regulatory 
Organization of Canada" with "IIROC",
(g)	by replacing section 5 of Schedule D with the following:
5.	Conflict of Interest
If you have more than one employer or are engaged in business related activities:
A. Disclose any potential for confusion by clients and any potential for conflicts of 
interest arising from your multiple employment or business related activities or 
proposed business related activities.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
B. Indicate whether or not any of your employers or organizations where you engage 
in business related activities are listed on an exchange. 
_____________________________________________________________________
_____________________________________________________________________
C. Confirm whether the firm has procedures for minimizing potential conflicts of 
interest and if so, confirm that you are aware of these procedures.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
D. If you do not perceive any conflicts of interest arising from this employment, 
explain why.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________


(h)	by replacing Schedule F with the following:
Schedule F
Contact information for
Notice of collection and use of personal information

Alberta
Alberta Securities Commission,
Suite 600, 250-5th St. SW
Calgary, AB T2P 0R4
Attention: Information Officer
Telephone: (403) 355-4151
British Columbia
British Columbia Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Attention: Freedom of Information 
Officer
Telephone: (604) 899-6500 or (800) 373-
6393 (in BC)
Manitoba
The Manitoba Securities Commission
500 - 400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Attention: Director of Registrations
Telephone (204) 945-2548
Fax (204) 945-0330
New Brunswick
New Brunswick Securities Commission
Suite 300, 85 Charlotte Street
Saint John, NB  E2L 2J2
Attention:  Director, Regulatory Affairs 
Telephone: (506) 658-3060
Newfoundland and Labrador
Securities NL
Financial Services Regulation Division
Department of Government Services
P.O. Box 8700, 2nd Floor, West Block
Confederation Building
St. John's, NL A1B 4J6
Attention: Manager of Registrations
Tel: (709) 729-5661
Nova Scotia
Nova Scotia Securities Commission
2nd Floor, Joseph Howe Building
1690 Hollis Street
P.O. Box 458
Halifax, NS B3J 2P8
Attention: Deputy Director, Capital 
Markets
Telephone: (902) 424-7768
Northwest Territories
Government of the Northwest Territories
P.O. Box 1320
Yellowknife, NWT X1A 2L9
Attention: Deputy Superintendent of 
Securities
Telephone: (867) 920-8984

Nunavut
Legal Registries Division
Department of Justice
Government of Nunavut
P.O. Box 1000 Station 570
Iqaluit, NU X0A 0H0
Attention: Deputy Registrar of Securities
Telephone: (867) 975-6590
Ontario
Ontario Securities Commission
Suite 1903, Box 55
20 Queen Street West
Toronto, ON M5H 3S8
Attention: Compliance and Registrant 
Regulation
Telephone: (416) 593-8314
e-mail: registration@osc.gov.on.ca
Prince Edward Island
Securities Registry
Office of the Attorney General B 
Consumer, Corporate and
Insurance Services Division
P.O. Box 2000
Charlottetown, PE C1A 7N8
Attention: Deputy Registrar of Securities
Telephone: (902) 368-6288
Qu‚bec
Autorit‚ des march‚s financiers 
800, square Victoria, 22e ‚tage 
C.P. 246, tour de la Bourse 
Montr‚al (Qu‚bec) H4Z 1G3
Attention: Responsable de l'accŠs … 
l'information 
Telephone: (514) 395-0337 or (877) 525-
0337 (in Qu‚bec)
Saskatchewan
Saskatchewan Financial Services 
Commission
Suite 601, 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Attention: Director
Telephone: (306) 787-5842
Yukon
Yukon Securities Office
Department of Community Services 
P.O. Box 2703 C-6
Whitehorse, YT Y1A 2C6
Attention: Superintendent of Securities
Telephone: (867) 667-5225
Self-regulatory organization
Investment Industry Regulatory 
Organization of Canada
121 King Street West, Suite 1600
Toronto, Ontario M5H 3T9
Attention: Privacy Officer
Telephone: (416) 364-6133
E-mail: PrivacyOfficer@iiroc.ca 

21.	This Instrument comes into force on July 11, 2011.
Service Alberta
Vital Statistics
Notice of Change of Personal Name
(Change of Name Act)
May 2, 2011 
Brinson-McMullen, Britton Douglas to McMullen, Britton Douglas Brinson - 68755 
Gunsch, Johnathan Oliver to Knull, Johnathan Oliver - 68766 
Albrecht, Lucas Ray Edwin to Albrecht - Robertson, Lucas Ray Edwin - 68769 
Chopek, Mary Elizabeth to Chopek, Marie Elizabeth - 68774 
Bonwick, Kristina Irene to Reed, Kristina Irene - 68773 
Lunn, Jeffery Bradley Daniel to MacIsaac, Bradley Daniel - 68775 
Horel, Bree Alison to Zorel, Bree Alison - 68776 
Buffalo, Karen Lucille to Anderson, Karen Lucille - 68779 
Andrews, Frank Thomas to Halcrow, Frank Thomas - 68791 
Yeung, Hoi Yui to Yeung, Joseph Hoi Yui - 68811 
Guttormson, Craig Adam to Adam, Craig - 68862
May 5, 2011 
Carr, Trinity Lorianne to Draper, Trinity Lorianne - 66792 
Beatty, Darian Kelsey to Beatty-Gemmell, Darian Kelsey - 68412 
Dery, Aires Darnell to Dery, Ariss Darnell - 68538 
Harris, Kayden William Cowan to Cowan, Kayden William - 68551 
Gould, Rita Katharina Marie to Robinson, Rita Katharina Marie - 68600 
Green, Gwendolyn Doreen to Clark, Gwendolyn Doreen Vivian - 68627 
Sawchyn, Devin Theodore to Sawchyn Jones, Devin Theodore - 68634 
Vedprakash, Individual has only one name to Yadav, Vedprakash - 68655 
Narayanasamy, Harini Selvaraj to Selvarajan, Harini - 68737 
Badalians Kalaleh, Vahick to Badalian, Vahik - 68756 
Zhen, Wen Zhe to Zhen, Cody - 68758 
Schmutz, Judith Joen to Schmutz, J. Joen - 68760 
Lepine, Cam Craig to Lamming, Cam Craig - 68926 
Lacuesta, Jerome Bandong to Lacuesta, Hiromi Samantha - 69001
May 6, 2011 
Goulard-Shewfelt, Luke Marc to Shewfelt, Luke Marc - 68649 
Goulard-Shewfelt, Alexandre Cliff to Shewfelt, Alexandre Cliff - 68651 
Cooper, Genevieve Elizabeth to Shewfelt, GeneviŠve Elizabeth Cooper - 68648 
Goulard-Shewfelt, �va Lynn to Shewfelt, �va Lyn - 68650 
Liu, Cong Ya to Liu, Chris - 68751 
Upshall, Ryleigh Mary McKayla to Denis, Ryleigh Mary McKayla - 68782 
Plamondon, Nickolas Andrew Leo to Franks, Nickolas Andrew Leo - 68794 
Plamondon, Rae-Lynn Victoria to Franks, Rae-Lynn Victoria - 68793 
McCormick, Elsbeth Shelagh to McCormick, Mary Shelagh - 68800 
Elias, Jolene Rachael to Dyck, Jolene Rachael - 68806 
Andersen, Ronald Sern to dei Medici, Ephram - 68802 
Whitley, Birgit Nicole to Kerik, Birgit Elnora Russell Nicole - 68808 
Van Koughnett, Linsey Mae to Prout, Linsey Mae - 68809 
Van Koughnett, Tegan Rheane Arnold to Prout, Tegan Rheane - 68810 
Henry, Karen Lyn to Gee, Karen Lyn - 68815 
Henry, Jack James to Gee, Jack James - 68816 
Nugent, Emily Jade to Wilkinson, Emily Jade - 68822 
Nugent, Angela Claire to Wilkinson, Angela Claire - 68824 
Bullen, Brittany Paige to Paige, Brittany - 68823
May 9, 2011 
Barkale, Magersa Abdo to Abdo, Yusuf Hadi - 68637 
Barkale, Hamza Magersa to Hadi, Hamza Yusuf - 68638 
Abdo, Rahma Magersa to Hadi, Rahma Yusuf - 68639 
Ritchot, Barbara Marie Therese to Ritchot, Linda Marie - 68828 
Klassen, Kayla Renee to Hughes, Kayla Elizabeth - 68829 
Spargo, Keaton Francis to Pearce, Keaton Francis - 68838 
Spargo, Shayla Marie to Pearce, Shayla Marie - 68837 
Wild, Trent Brian to Wild, Leah Brianne - 68845 
Webb, Paul Wayne to Finch, Paul Wayne - 68850 
Delayer, Dominic Daniel to Schaeffer, Dominic Daniel - 68852 
Hayer, Rubdeep Singh to Hayer, Ravi - 68853 
Clark, Keelan Michael David to McCormack, Keelan Michael - 68858 
Peng, Hao Ran to Peng, Harry Haoran - 68860 
Mapes-Lund, Micheal David to Lund, Michael David - 68864 
Cameron, Florence Pit Fui to Lye, Florence Khyun Fui - 68865
May 10, 2011 
Sun, Tian Bao to Zhu, Steven XuanRui - 65993 
Coulombe, Declan Michael to Langabeer Coulombe, Declan Michael - 67490 
Singh, Tejkaran to Goraya, Tej Singh - 68471 
Stamhuis, Beau Nathaniel to Tolan, Beau Nathaniel - 68861 
Piers, Brandan Daniel to DeBruin, Brandan Daniel - 68868 
Pierce, Jayden Brian to Neufeld, Jayden Brian - 68874 
Chettab, Mohamed Elzine to Chettab, Adam - 68876 
Chettab, Taylor Malik to Chettab, Liam Malik - 68877 
Swityk, Andrea Louise to Jones-Swityk, Andrea Louise - 68878 
Jones, Kim Kathleen to Jones, Kaie Kim - 68879 
Zeineddine, Taghrid to Zeineddine, Lulu - 68884 
Forester, Nicole Rene‚ to Matos, Nicole Rene‚ - 68886 
Unrau, Ethan Philip to Bronson, Ethan Philip - 68891 
Smith, Robert Kas to Matkin, Robert Kas - 68892 
Kauppi, Kayla Brianne to Hainsworth, Kayla Brianne - 68901 
Kauppi, Hailey Irene to Hainsworth, Hailey Irene - 68902 
Williams, Abdallah Fadi Salameh to Salameh, Abdallah Fadi - 68905 
Rowland-Dietl, Rylee Michael George to Dietl, Rylee Michael George - 68915 
Rowland-Dietl, Maila Dawn Marie to Dietl, Maila Dawn Marie - 68916 
Didzena, Ildiko Lydia to Etthidzine, Ildiko Lydia - 68918 
Ewasiuk, Brennan Jayme to Roberts, Brennan Jayme - 68919 
Bensen Pardoe, Patrick to Bensen, Patrick - 68922 
Kun, Miyong Gattur to Kun, Miyong Dizor Gattur - 68923 
Dickson, Dylan John to Dempsey, Dylan John - 68924 
Chang, Jum Sook to Chang, JeeSoo - 68925 
Demens, Eugene Peter to Willes, Jessica Eryn - 68928 
Qasim, Muhammad Rehan to Qasim, Saifullah - 68934 
Rawnaq, Abdurahman to Rawnaq, Aasif - 68936 
Mohamed, Ahmed Abdi to Mohamed, Issa Mohamoud - 68937 
March, Colby James to Young, Colby James - 68939 
Murvihill, Tarikua Tisha to Murvihill, Hayley Tarikua - 68942 
Alberkant, Yonatan to Alberkant, Jonathan - 68944 
Currie, Daniel Hunter to Currie, Charlotte Ariel - 68945 
Vigneau, Ryley Nevaeh to Chinn-Vigneau, Ryley Nevaeh - 68951 
Lee, Wonyoung to Lee, Jamie - 68954 
Lee, Seayoung to Lee, Claire - 68955 
Siminoski, Daniel Peter to Inuke, Kyomaru - 68956 
Stratton, Shana Ann to Adams, Shana Ann - 68959 
Crookes, Taryn Noelle to Smith, Taryn Noelle - 68960 
Podio, Jose Miguel to Podio Cuervo, Jose Miguel - 68999
May 11, 2011 
McGrath, Alyssa Fay Ann to McGrath-Merton, Alyssa Fay Ann - 59608 
Jaggi, Sahbaz Singh to Heir, Sahbaz Singh - 68788 
Karanja, Paul Kamau to Njagi, Simon Paul - 68819 
Karanja, Leah Njambi to Njagi, Leah Njambi - 68820 
Tailfeathers, Taylor Page to Robbie, Taylor Page - 68841 
Bergsma, Leah Anne to Esotera, Alayah - 68898 
Buss, Tyla Christine to Thompson, Tyla Christine - 68946 
Yuen, Malcolm Ming Kit to Kan, Malcolm Ming Kit - 68963 
Yuen, Matthias Owen to Kan, Matthias Owen - 68964 
Lymburner, Caleb Marshall to Blackstock, Caleb Marshall Lymburner - 68966 
Lymburner, Noah Thomas to Blackstock, Noah Thomas Lymburner - 68967 
King, Kaylor Edward to Klause, Kaylor Edward - 68968 
Radcliffe, Christa Jean Danielle to Betson, Christa Danielle - 68971 
Toor, Santokh Kaur to Buttar, Santokh Kaur - 68975 
Crawler, Coy Austin to Big Crow, Coy Austin - 68977 
Crawler, Haze Reed to Big Crow, Haze Reed - 68978 
Big Crow-Crawler, Makana Dawn to Big Crow, Makana Dawn - 68979 
Lockhead, Hannah Leigh to Pewarchuk, Hannah Leigh - 68981 
Kayachumbi, Pierre Mucunguz to Mucunguzi, Norman - 68982 
Beeson, Joan Louisette Marie to Hildebrand, Joan Louisette Marie - 68984 
Par‚, Joan Louisette Marie to Hildebrand, Joan Louisette Marie - 68984 
Derksen-Moyan, Harmony Rae to Derksen, Harmony Rae - 68988 
Dentman, Annika Meadow to Bartholow, Annika Meadow - 69017 
Choi, Man Ho Tony to Choi, Tony - 69030 
Wong, Danny to Wong, Daniel - 69045 
Singh, Hargavinder to Bamra, Gavin - 69094 
Kelm, Winter Eve-Ang‚l Leah Julia to Kelm, Olivia Alexis Eve - 69121 
Kuany, Matut Chol to Kuany, Thijin Gatwech - 69135 
Mc Collin, Kareem Arnold to Romero, Ajay Arnold Elijah - 69136 
Singh, Narinder to Sokhal, Narinder - 69138
May 12, 2011 
Pruden, Chelsea Anne to Miller, Chelsea Anne - 68790 
Kallos-Huot, Jeremy Joseph to Huot, Jeremy Daniel - 68913 
Moradzadeh, Fereshteh to Rahimi, Angelina - 68996 
Phan, Thic Lien to Phan, Rachael Lien - 69003 
Zec, Sasa to Zec, Sasha - 69019 
Badger, Tamikah Cree to Prince, Tamikah Cree - 69024 
Saad, Avery Lauren to Dadds, Avery Lauren - 69023 
Sheets, William Ryier to Hommy, William Ryier - 69033 
Kennedy, Isabel Adhara to Mori-Kennedy, Isabel Adhara - 69037 
Brown, Brooke Taylor to Keil, Brooke Taylor - 69052 
Stad‚, Drew Alexander to Paterson, Drew Alexander - 69053 
Johnston, Gregory Robert to Johnston, Greg Robert - 69054 
Pound, Darryl Michael to Marsh, Darryl Michael - 69058 
Sanfa‡on, Marie Christine to Fedel, Marie Christina - 69062 
Dang, Jennifer to Dang, Tieu Linh Jennifer - 69063 
Bainah, Lade Abdullahi to Ahmed, Lade Abdikani - 69069 
Khing, Ma Huin to Khine, Mikhine - 69070 
Ma, Chap Di to Ma, Khoa Don - 69076 
Kaima, Janet Nightingale to Kaima, Janet - 69079 
Karunanayake Mudiyan, Dinuk Nishantha to Jayatillake, Dinuk Nishantha - 69088 
Neangoda, Samarakoon Mudh to Jayatillake, Nadine - 69089 
Wang, Juan to Wang, Monica Juan - 69100 
Johnson, Camryn Aja to Boechler, Camryn Aja - 69101 
Johnson, Jace Connor to Boechler, Jace Connor - 69102 
Singh, Kulwinder to Sokhal, Kulwinder Singh - 69105 
Kaur, Tirath to Sokhal, Tirath Kaur - 69106
May 13, 2011 
Polanski, Coby Craig to Charron, Coby Craig - 68322 
Polanski, Caden Clark to Charron, Caden Clark - 68323 
Baumgarte, Ronaldus Bernardus Antonius to Mode, Ron Arie - 68885 
Khatun, Mst Mahbuba to Khatun, Mahbuba - 69110 
Habib, Noor Tahmid to Alam, Noor Tahmid - 69111 
Piercey, Jamie to Piercey, Stacey Jamie - 68995 
Martinez Hurtado, Juan Javier to Martin, Xavier - 69006 
Gutierrez Sanchez, Nancy Carolina to Martin, Nancy - 69007 
Bezanson, Stacy Marie to Bezanson, Stacey Marie - 69026 
Amero, Haiden Richard James to Self, Haiden Richard James - 69032 
Madore, Mildred Elsie to Madore, Alicia Mildred - 69071 
Zykaj, Erjon to Zyka, Roni - 69077 
Balson, Kaitlyn Viva to Vanmerlin, Abagail - 69078 
Seemann, Shannon to Nimrichter, Shannon - 69104 
Proulx, Brayden Parker to Wolframe, Brayden Parker - 69116 
Thung, Clinton Anthony to Anderson, Clinton Anthony - 69127 
Mac Aulay, Raylin Heather Dawn to Zieffle, Raylin Heather Dawn - 69129 
Butler, Richard Masterson to Masterson, Richard Ernest Lloyd - 69130
May 16, 2011 
Hartmann, Daryl Alvin to Dagg, Daryl Timothy Clare - 68940 
White Wolf, Cody to Avram, Elazar David - 68985 
Amina, Individual has only one name to Nabizada, Amina - 69056 
Nardelli, Phiefer Ariel to Johnson, Phiefer Ariel - 69057 
Woods, Spencer Ross Sainsbury to Tulloch, Spencer Ross Sainsbury - 69097 
Antoniuk, Dale Allan to Antoniuk, Dale Allen - 69112
May 17, 2011 
Chizawsky, Alicia Love to McKallister, Alicia Marie - 68562 
Labelle, Eric William to Wright-Labelle, Eric William - 68843 
Labelle, Lukas Joseph to Wright-Labelle, Lukas Joseph - 68844 
Kaur, Anand to Kaur, Sahajanand - 68855 
Sun, Jianing to Sun, Jennifer Jianing - 68894 
Whiteside, Terry Lee to Reilly, Terry Lee - 68897 
Wei, Mei Yan to Konkin, Lily-Wei Mei Yan - 68911 
Moscicki, Cole Adam to Hardy, Cole Adam - 69148 
Moscicki, Chastity Lane to Hardy, Chastity Lane - 69147 
Francis, Krissy Jo-Lene to Remin, Krissy Jo-Lene - 69155 
Richmond, Robert Christopher to Richmond, Rebecca Kristy - 69189
May 18, 2011 
Tilahun, Abyssinia Yohan to Zerfu, Abyssinia Yohannes - 68896 
Gamble, Stephen Jeffery II to Hicks, Jeffery Bobby - 68991 
Saeipour, Mohammad to Saiepour, Mohammed Adam - 69038 
Hosseini, Payam to Hosseini-Ferdowsi, Payum - 69087 
Schrock, Louise Julia to Le Blanc, Jacquielynn Louise - 69099 
Condon, Elayna Frances Shenandoah to Campbell, Elayna Frances Shenandoah - 
69113 
MacKinnon, Catherine Carol Ann to Shand, Catherine Carol Ann - 69126 
Dave, Angeli Manohar to Dav‚, Angeli M - 69150 
Duong, Hue To to Yeung, Tina Do-Wai - 69154 
Nwigwe Orakwue, Udemezue Giorgi to Nwigwe, Giorgio Randy - 69163 
Chen, Wei Chen to Wu, Esca - 69171 
B‚langer- Nzakimuena, Charles to B‚langer Nzakimuena, Charles Maximilien - 
69170 
Stacey, Mya Medoria to Stacey Eliuk, Mya Medoria - 69173
May 19, 2011 
Oriold-Fraser, Emma Ray to Oriold, Emma Ray - 68542 
Oriold-Fraser, Abby Lynne to Oriold, Abby Lynne - 68543 
George, Fadhel to Gazala, Fadhel George - 69182 
Lloyd, Margaret Jean to Lloyd, Margo Jean - 69185 
Coccimiglio-Smekal, Kayden Paul to Coccimiglio, Kayden Paul - 69186 
Pekau, Jan Michael to Riser, Mark - 69192 
Sosa Delgado, Roger Ivan to Delgado, Roger Ivan - 69194 
Sosa-Delgado, Roger Migel to Delgado, Roger Miguel - 69196 
Sosa-Delgado, Mateo Ivan to Delgado, Mateo Ivan - 69197 
Delgado, Brianna Esperansa to Delgado, Brianna Esperanza - 69195 
Sosa-Delgado, Gabriel Alejandro to Delgado, Gabriel Alejandro - 69198 
Delane, Aydin Reed to Carley, Aydin Reed - 69223 
Gu, Xia to Goo, Brenda - 69234
May 20, 2011 
Huey, Andrew to Hui, Andrew Man Long - 69206 
Johnson, Pamela Opal to Wilde, Olivia Ann - 69207 
Tran, Leo L. to Cam, Leo Lucky - 69233 
Van Den Oetelaar, Josef Michiel to Quewezance, Christina Michelle - 69237
May 24, 2011 
Kuo, Hsin Yu to Kuo, Melissa Hsin-Yu - 68958 
Chaudhari, Jayantibhai Somabhai to Chaudhari, Jay - 69039 
Chaudhari, Padmaben to Chaudhari, Parul - 69040 
Hreherchuk, Jordan Edward Russel to Parker, Mark Anthony - 69047
May 27, 2011 
Stephens, Trey Jaxon to Stephens-Archer, Trey Jaxon - 68327 
Maillard, Abigail Susie Rae to Jenkins, Abigail Susie-Rae - 68517 
Littlewolf, Joseph Henry to Pitchow, Henry - 68676 
Mohebbi, Mohammad Reza to Mohebbi, Reza - 68680 
Wako, Abdulmenan Mohamed to Awel, Nasrudin - 68738 
Hudson-Brumsey, Saoirse Louise to Hudson, Saoirse Louise - 68762 
Habtemariam, Paulos H to Habtemariam, Paul Halemariam - 68827 
Khondokar, Ryan to Khondokar, Ryeen - 68834 
Watson, Melanie Pacanta to Watson, Melanie Ogale - 68921 
Blackman, Donna May to Carlson, Donna May - 68957 
Broenink, Calvin Wayne to Seymour, Calvin Wayne - 68969 
Watchel, Brayden Paul to Bremner, Braydon Paul - 68983 
Jackson, Terry Lee to Jackson, Terrie Lee - 68986 
Big Woman, Joseph to Simeon, Joseph James - 69114 
Park, Sang Ho to Park, Teddy Sang Ho - 69134 
Kaur, Jasvir to Kalsi, Jasvir Kaur - 69139 
Sanjna Panwar, Baby Girl to Panwar, Sanjna - 69191 
Boulanger-Bilodeau, Val‚rie to Boulanger Gauthier, Val‚rie - 69202 
Major, Jared Joshua Robert James to Ens-Rempel, Jared Joshua Robert James - 
69215 
Fedoruk, Hendrika Wilhelmina to Fedoruk, Wilma Hendrika - 69219 
Zilke, Seamus Alexander to Kavanagh, Seamus Alexander - 69226 
Waldron, Dorian James to Wandler, Dorian James - 69228 
Sharma, Dheer to Sharma, Shyam - 69231 
Chase, Shelly Ann to Lachlan, Shelly Ann - 69238 
Beaudry, Jonathan David to Lachlan, Jonathan David - 69239 
Tanzharbay, Nurbolat to Graves, Harry - 69243 
Chugg, Andrew Wesley to Sample, Andrew Wesley - 69245 
Wdowiak, Peter Bogdan to Zareba, Peter Bogdan - 69246 
Smith, Nicholas Russell to McGuire, Calvin Ceecee - 69252 
Guttormson, Karen Jean to Adam, Karen Jean - 69256 
Wisniewski, Urszula to Anderson, Ursula - 69257 
Zahacy, Urszula to Anderson, Ursula - 69257 
Baldwin, Danielle Elizabeth to Tomkinson, Danielle Aidyn Elizabeth - 69275 
Sadon, Mustfa to Sadon, William - 69282 
Breen, Allison Cynthia to Robins, Allison Cynthia - 69303 
Thini, Muatz Mustafa to Thini, Mutaz Mustafa - 69309
May 30, 2011 
Cao, Thomas to Cao, Thomas Yiming - 68176 
Harris, Vera Katalin to Harris, Veronika Katalin - 68875 
Mehari, Merhawi Tewolde to Tewolde, Merhawi Medhanie - 69091 
Wong, Qiong Zhi to Wong, Kathy Qiong Zhi - 69092 
Dreaver, Savannah Sarah to Chemelli, Savannah Sarah - 69120 
Nguyen, Huyen Thi Thanh to Nguyen, Victoria - 69177 
Zissoff, Joshua Mark to Sem, Joshua Mark - 69218
May 31, 2011 
Morris, Linda Diane to Morris, Diane Elizabeth - 69221 
Wang, Zhongqiu to Shima, Ken - 69249 
Stronski, Gregory Ronald Scott to Carolla, Gregory Ronald Scott - 69255 
Ranseth, Aileen Joy to Alfonso, Aileen Joy - 69263 
Meyer, Margaret Jane to Meyer, Jane Margaret - 69265 
Fromm, Carter Merrill to Whitehead, Carter Merrill - 69274 
Dixon - Blackhorse, Treydell Jordan Tayzin to Dixon, Treydell Jordan Tayzin - 
69279 
Allan, Shanna Louise Elizabeth to Allan, Tshanna Eeyvohnne Louise Elizabeth - 
69280 
Groening, Stacy Jane to Wiebe, Stacy Jane - 69288 
Moore, Alan Richard Blair to Stack, Alan Richard Blair - 69290 
Orum-Waunch, Fantasia Carol Bernice to Orum, Fantasia Carol - 69292 
Sukhbaatar, Khongorzul to Romanuck, Khongorzul - 69294 
Khongorzul, Misheel to Romanuck, Mishele - 69295 
Laird, Lennox to Laird, Iain Andrew William - 69305 
Kumar-Rahelu, Arjun to Kumar, Arjun - 69307 
Love, Sherry Julie to Huot, Dennis George - 69319
Notice of Intent to Dissolve
(Cooperatives Act)
Eagle Head Campground Co-op
Notice is hereby given that a Notice of Intent to Dissolve was issued to Eagle Head 
Campground Co-op on June 2, 2011.
Dated at Edmonton, Alberta, June 2, 2011.
Brock Ketcham, Director of Cooperatives.
_______________
Lakeland Breeders Association
Notice is hereby given that a Notice of Intent to Dissolve was issued to Lakeland 
Breeders Association on June 1, 2011.
Dated at Edmonton, Alberta, June 1, 2011.
Brock Ketcham, Director of Cooperatives.
_______________
Ranchers Own Meat Processors Inc.
Notice is hereby given that a Notice of Intent to Dissolve was issued to Ranchers 
Own Meat Processors Inc. on June 2, 2011.
Dated at Edmonton, Alberta, June 2, 2011.
Brock Ketcham, Director of Cooperatives.
Solicitor General and Public Security
Designation of Qualified Technician Appointment  
(Intoxilyzer 5000C)
Royal Canadian Mounted Police 
Allan, Bryan Keith 
Crawford, Jaimie Lynn 
Currie, Stephen James 
Cutcliffe, John Gregory 
Da Silva, Alexander 
Edwards, Ryan Robert 
Erb, Jeffrey Phillip Weldon 
Foster, Amanda Joelle 
Gallant, James Andrew 
Grobb, Clifford George Wallace 
Harrison, Ryan Ray 
Hiscocks, Richard Stephen 
Hogg, Timothy David 
Horne, William Ernest 
MacMullin, Marc Bradley 
Malyon, Gary Leslie 
Molineux, Dustin Jae 
Nelson, Katherine Leanne 
Penny, Philip Aaron 
Robitaille, Michael Rene 
Rochon, Dillon Garrett Philippe 
Ryan, Darren Gordon 
Simpson, Jason Alan 
Skelhorn, Meagan Cara 
Smiley, Christopher Donald 
Smith, Jason Scott 
Sorensen, Christopher Richard 
St. John, Adam James 
Sturgis, Daniel Ryan
(Date of Designation June 8, 2011)
Royal Canadian Mounted Police 
Al-Kadri, Adams 
Brewer, Jennifer Anne 
Coates, Sheldon David 
D'Arcy, Christopher John 
Dehaan, Nathan Jeremy 
Douglas, Gregory Harold Edward 
Farrell, Jack Dale 
Fenton, Daniel Fredrick 
Fichtner, Jason Mervin 
Flewelling, Brendan Paul 
Gaudette, Sidney James 
Harms, Robert Glenn 
MacDuff, Brent Cameron 
MacUmber, Matthew Kenneth Ira James 
McKean, Hannah Mary Frances 
Michaud, Jean-Philippe Francois 
Scott, Hayley Kristina 
Shepherd, Andrew Richard Gordon 
Slipp, Matthew Robert 
Stepanick, Russell Ray 
Underhill, Matthew Robert 
Watson, William Gerard Joseph 
Yome, David Edwin 
Zerr, Christopher David 

(Date of Designation June 9, 2011)
_______________
Hosting Expenses Exceeding $600.00 
For the period September 21, 2010 to March 31, 2011
Purpose: Police Planning and Research Consortium Meeting
Place: Red Deer, AB
Amount: $ 648.41
Date of Function: September 21, 2010
Purpose: Domestic Violence Police Training
Place: Calgary and Killam, AB
Amount: $ 6,267.85
Date of Function: October 6 - 7, 2010, March 10 - 11, 2011
Purpose: Meeting of Public Complaint Directors from Police Commissions and 
Police Committees
Place: Calgary, AB
Amount: $ 1,286.77
Date of Function: November 8, 2010
Purpose: Crisis Management Program Review Meetings
Place: Edmonton, AB
Amount: $ 2,117.55
Date of Function: November 22, 2010, January 11 - 26, 2011
Purpose: Provincial Police Services Contract Advisory Committee Meeting
Place: Toronto. ON
Amount: $ 2,009.63
Date of Function: November 30, 2010
Purpose: Police Act Regulations Amendments Meeting
Place: Red Deer, AB
Amount: $ 2,132.21
Date of Function: December 10, 2010
Purpose: Justice Canada Intensive Rehabilitative Custody and Supervision Training 
Sessions
Place: Edmonton and Calgary, AB


Amount: $ 10,272.88
Date of Function: February 23 - March 2, 2011
Purpose: Volunteer Appreciation and Awards Banquet, Calgary Young Offender 
Centre
Place: Calgary, AB
Amount: $ 950.00
Date of Function: March 20, 2011
Purpose: Priority and Prolific Offenders Program Round Table
Place: Edmonton, AB
Amount: $ 3,816.98
Date of Function: March 23, 2011
ADVERTISEMENTS
Notice of Certificate of Intent to Dissolve
(Business Corporations Act)
Notice is hereby given that a Certificate of Intent to Dissolve was issued to Pro-
Developments Corporation on June 6, 2011.
Dated at Water Valley, Alberta on June 6, 2011.
Mark Greenhalgh.
Public Sale of Land
(Municipal Government Act)
Parkland County
Notice is hereby given that under the provisions of the Municipal Government Act, 
Parkland County will offer for sale, by public auction, at the Parkland County Centre, 
53109A HWY 779, Parkland County, Alberta, on Wednesday, August 17, 2011, at 
10:00 a.m., the following lands:
Roll #
Lot
Block
Plan
Legal
Acres
C of T #
51001
1
1
9925513
SE 7-51-26-W4
39.880
072427296
51002
2
1
9925513
SE 7-51-26-W4
39.880
072427296001
144044
37
-
126266
SW 30-51-26-W4
2.230
042016628
218003
E
-
6347KS
NE 33-52-26-W4
19.980
082164464
218004
F
-
3635MC
NE 33-52-26-W4
17.330
082164464001
301110
113
-
23359
SE 23-53-26-W4
0.540
012304994
386008
5
2
8021895
NW 12-51-27-W4
3.380
932115991
445004
4
2
7720136
SW 27-51-27-W4
6.300
072520570
725045
38
1
0520780
NE 34-53-27-W4
2.080
052077534
728018
2
2
0620412
NW 35-53-27-W4
2.420
062101944
728023
12
2
0620412
NW 35-53-27-W4
2.110
062101944001
739009
9
1
2542RS
SW 5-54-27-W4
3.250
012406186
845000
1
1
1925TR
NE 1-54-28-W4
3.100
072185220
1065003
4
1
7722648
NW 6-52-1-5-W4
3.030
022307441
1192029
26
2
70MC
NW 9-53-1-W5
-
072734445
1223002
2
1
7620154
SW 17-53-1-W5
3.320
972199049
1224005
5
1
7621050
NW 17-53-1-W5
5.130
012354739
1311022
23
2
7620521
SW 5-54-1-W5
3.330
012259498
1735007
8
1
7820951
NW 30-53-2-W5
3.310
982248750001
1626005
2
2
7923161
SW 35-52-2-W5
3.530
992291982
1725020
20
1
7720174
SE 24-53-2-W5
3.370
022052819
1735014
15
1
7820951
NW 30-53-2-W5
5.220
062273632
1920072
8-16
7
4733AQ
SW 35-52-3-W5
0.900
052183438
2008028
30
2
7621642
SE 22-53-3-W5
3.150
022220469
2019011
12
1
7622246
NE 24-53-3-W5
3.000
992330365
2354106
7
8
7920494
SW 9-53-4-W5
-
082092989
2836027
2
2
61MC
SE 15-53-5-W5
0.230
072179708001
2986001
-
2
7822810
SE 31-50-6-W5
39.530
992196989
3922000
-
-
-
SW 20-51-7-W5
108.300
052058897
3982000
-
-
-
SW 35-51-7-W5
161.000
932332550
572002
2
1
9722030
SW 23-52-27-W4
4.800
032137789

1.	The market values presented as reserve bids on the properties being offered for 
sale by public auction on August 17, 2011.
2.	That each parcel offered for sale at public auction be subject to the reserve bid 
and to the reservations and conditions contained in the existing certificates of 
title.
3.	Redemption of a parcel of land offered for sale may be affected by payment of 
all arrears of taxes, penalties and costs at any time prior to 10:00 a.m. on August 
17, 2011.
4.	The terms and conditions of sale for purchasing auction properties are:
a.	Sales are cash only, with a 10% deposit upon acceptance of an offer at the 
public auction, with the balance of the purchase price due within thirty (30) 
days, and
b.	GST will be applied on all lands sold at public auction, and
c.	The deposit is non-refundable, and
d.	Properties will be offered for sale on an "as is, where is" basis, and Parkland 
County makes no representation and gives no warranty whatsoever as to the 
adequacy of services, soil conditions, land use districting, building and 
development conditions, absence or presence of environmental 
contamination, or the developability of any subject land for any intended use 
by the Purchaser, and
e.	No terms and conditions of sale will be considered other than those 
specified by Parkland County, and
f.	No bid will be accepted where the bidder attempts to attach conditions to the 
sale of any parcel of land, and
g.	All successful bidders are required to execute a Sale Agreement in a form 
and substance acceptable to Parkland County at the close of the public 
auction.
Dated at Parkland County, Alberta, June 8, 2011.
Jennifer McAdam, Coordinator, Legislative & Administrative Services.
______________
Town of McLennan
Notice is hereby given that under the provisions of the Municipal Government Act, 
the Town of McLennan will offer for sale, by public auction, in the Council 
Chambers at the Municipal Office, McLennan, Alberta, on Thursday, September 8, 
2011, at 10:30 a.m., the following lands:
Lot
Block
Plan 
C. of T. or Linc
17
22
8355 ET
012 007 883
5 & 6
21
2200 ET
062 075 855
21
32
N4979 HW
972 156 145
Each parcel will be offered for sale subject to a reserve bid and to the reservations and 
conditions contained in the existing Certificate of Title.
The Town of McLennan may, after the public auction, become the owner of any 
parcel of land not sold at the public auction.
Redemption may be effected by payment of all arrears of taxes and costs at any time 
prior to the sale.
Terms: Cash
Dated at McLennan, Alberta, June 10, 2011.
Tammy Dillabough, Chief Administrative Officer.
______________
Town of Sundre
Notice is hereby given that, under the provisions of the Municipal Government Act, 
the Town of Sundre will offer for sale, by public auction (sealed bids), at the Town 
Office, 717 Main Avenue W., Sundre, Alberta, on Wednesday, August 31, 2011, at 
3:00 p.m., the following lands:
Title
Lot
Block
Plan
Roll #
971 159 433
1
X
9711022
1931.000
Each parcel will be offered for sale, subject to a reserve bid and to the reservations 
and conditions contained in the existing certificate of title.
The land is being offered for sale on an "as is, where is" basis, and the Town of 
Sundre makes no representation and gives no warranty whatsoever as to the adequacy 
of services, soil conditions, land use districting, building and development conditions, 
absence or presence of environmental contamination, or developability of the subject 
land for any intended use by the Purchaser.  No bid will be accepted where the bidder 
attempts to attach conditions precedent to the sale of any parcel.  No terms and 
conditions will be considered other than those specified by the Town of Sundre.
The Town of Sundre may, after the public auction, become the owner of any parcel of 
land not sold at the public auction.
Terms: All bids must be presented in a sealed envelope; Cash or Certified cheque.  A 
10% deposit is payable upon the acceptance of the bid at the public auction.  The 
balance of the accepted bid is due within thirty days from the date of the auction or 
the deposit will be forfeited and the Town will consider the next bid.  Purchaser must 
pay Sep. 1 - Dec. 31, 2011 taxes of $812.58 for Roll # 1931.000 within 30 days of 
purchase.
Redemption may be affected by payment of all arrears of taxes and costs at any time 
prior to the sale.
Dated at the Town of Sundre, Alberta, June 30, 2011.
Ryan Leuzinger, Interim Chief Administrative Officer.
______________
Town of Tofield
Notice is hereby given that, under the provisions of the Municipal Government Act, 
the Town of Tofield will offer for sale, by public auction, in the Council Chambers, 
Town Administration Building, 5407 50 Street, Tofield, Alberta, on Monday, August 
15, 2011, at 10:00 a.m., the following land:
Plan
Block
Lot
C of T
3999AC
18
16
082383955
Each parcel will be offered for sale, subject to a reserve bid and to the reservations 
and conditions contained in the existing certificate of title.
The land is being offered for sale on an "as is, where is" basis, and the Town of 
Tofield makes no representation and gives no warranty whatsoever as to the adequacy 
of services, soil conditions, land use districting, building and development conditions, 
absence or presence of environmental contamination, or the develop ability of the 
subject land for any intended use by the Purchaser.  No bid will be accepted where the 
bidder attempts to attach conditions precedent to the sale of any parcel.  No terms and 
conditions of sale will be considered other than those specified by the Town.  No 
further information is available at the auction regarding the land to be sold.
Redemption may be effected by certified payment of all arrears of taxes, penalties and 
costs, at any time, prior to the date of public auction.
Terms: 10 % deposit and balance within 90 days of date of public auction.  All sales 
are subject to current taxes.  GST may apply on properties sold at the public auction.
Dated at Tofield, Alberta, June 15, 2011.
Cindy Neufeld, Chief Administrative Officer.
______________
Town of Valleyview
Notice is hereby given that, under the provisions of the Municipal Government Act, 
the Town of Valleyview will offer for sale, by public auction, in the Town Council 
Chambers 4802 - 50th Street, Valleyview, Alberta, on Thursday, September 8, 2011, 
at 2:00 p.m., the following lands:
Lot
Block
Plan
C of T
24
16
1229 KS
082090299
5A & 6A
19
7721351
952223668 & 952223668+1
2
8
6877 KS
082234432
8 & 9
15
6107 HW
102115619
8
B
7521716
#8 Westview Manufactured Home Park
13
B
7521716
#13 Westview Manufactured Home Park
4
B
6375 MC
#4 Horizon Mobile Home Park
Each parcel will be offered for sale, subject to a reserve bid and to the reservations 
and conditions contained in the existing certificate of title.
The land is being offered for sale on an "as is, where is" basis, and the Town of 
Valleyview makes no representation and gives no warranty whatsoever as to the 
adequacy of services, soil conditions, land use districting, building and development 
conditions, absence or presence of environmental contamination, or the developability 
of the lands for any intended use by the successful bidder.  No bid will be accepted 
where the bidder attempts to attach conditions to the sale of any parcel of land.  No 
terms and conditions of sale will be considered other than those specified by the 
Town of Valleyview.  
The Town of Valleyview may, after the public auction, become the owner of any 
parcel of land not sold at the public auction.
Terms: Cash or Certified Cheque
Redemption may be effected by payment of all arrears of taxes and costs at any time 
prior to the sale.
Dated at Valleyview, Alberta, June 13, 2011.
Garry Peterson, Town Manager.
______________
Town of Viking
Notice is hereby given that under the provisions of the Municipal Government Act, 
the Town of Viking will offer for sale, by public auction, in the Town Office, Viking, 
Alberta, on Wednesday, August 24, 2011, at 12:30 p.m., the following land:
Lots
Block
Plan
C of T
14 thru 18
6
1174W
022 467 928
The parcel will be offered for sale subject to a reserve bid and to the reservations and 
conditions contained in the existing Certificate of Title.
The property contains a derelict building and a number of chattels stored in the yard, 
resulting in an unsightly appearance.  A purchaser of this land will be required, in a 
timely manner (to be determined by the Town of Viking and the purchaser); to 
remove the building and the chattels.  If these steps are not taken by the purchaser, the 
Town will issue an order requiring these steps be carried out, failing which the Town 
will do so and add the costs to the tax roll of the property.
The Town of Viking may, after the public auction, become the owner of any parcel of 
land not sold at the public auction.
Terms: Cash or certified cheque.
Redemption may be effected by payment of all arrears of taxes and costs at any time 
prior to the sale.
Dated at Viking, Alberta, May 24, 2011.
Rod Krips, Chief Administrative Officer.
______________
Village of Berwyn
Notice is hereby given that under the provisions of the Municipal Government Act, 
the Village of Berwyn will offer for sale, by public auction, in the Village Office 
Council Chambers, Village of Berwyn Administration Building, Berwyn, Alberta, on 
Wednesday, August 10, 2011, at 2:00 p.m., the following lands:
Lot
Block
Plan 
C. of T.
12
2
1090CL
002 159 472
17
1
3973RS
002 175 065
21
4
8132ET
032 235 303
11
9
7821034
042 379 235
-
1
8322677
052 370 530
2,3
2
1449CL
062 244 940
21
8
7921617
062 307 992
14
1
2529ET
062 508 711
18
1
4675MC
072 002 673
13
9
7921617
072 335 206
1
2
1449CL
072 458 778
5
9
7821034
082 249 669
17
7
8220282
092 365 553
Each parcel will be offered for sale subject to a reserve bid and to the reservations and 
conditions contained in the existing Certificate of Title.
The Village of Berwyn may, after the public auction, become the owner of any parcel 
of land not sold at the public auction.
Terms: Cash
Redemption may be effected by payment of all arrears of taxes and costs at any time 
prior to the sale.
Dated at Berwyn, Alberta, June 10, 2011.
Mike Rudkin, Chief Administrative Officer.







NOTICE TO ADVERTISERS
The Alberta Gazette is issued twice monthly, on the 15th and last day.
Notices and advertisements must be received ten full working days before the 
date of the issue in which the notices are to appear. Submissions received after 
that date will appear in the next regular issue.
Notices and advertisements should be typed or written legibly and on a sheet separate 
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The dates for publication of Tax Sale Notices in The Alberta Gazette are as follows:
 
Issue of
Earliest date on which 
sale may be held
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September 9


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October 11


September 15
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November 10


October 15
November 25
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December 11


November 15
December 26
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January 10


December 15
January 25
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February 10
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