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The Alberta Gazette
Part I
Vol. 110	Edmonton, Monday, December 15, 2014	No. 23
APPOINTMENTS
Appointment of Non-Presiding Justices of the Peace
(Justice of the Peace Act)
September 3, 2014 
Chong, Yu Shan of Calgary 
MacDonald, Corrie Lynn of Red Deer 
Morris, Kelly Maria of Calgary
September 30, 2014 
Nowakowski, Kim Tracy of Medicine Hat
November 29, 2014 
Loyek, Ayleen Adel of Red Deer
CHANGES OF NAME
Change of Name of Non-Presiding Justice of the Peace
(Justice of the Peace Act)
October 27, 2014 
TILL, Marilee Rhonda to MILLER, Marilee Rhonda of Fort McMurray
TERMINATIONS
Termination of Non-Presiding Justices of the Peace
(Justice of the Peace Act)
October 27, 2014 
Curran, Connie Edna 
Dack, Carolyn Marie 
Lawinger, Karen Annette 
Van Elslander, Jennifer Mare 
Wallace, Debra Ann 
Woroschuk, Melia Ann
Terminations of Justice of the Peace
(Justice of the Peace Act)
November 13, 2014 
Bourne, Neil of Lethbridge
November 15, 2014 
Brown, Malcolm of Calgary
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 Bow River 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 added to the irrigation district and the 
notation added to the certificate of title:
LINC Number
Short Legal Description as shown on title
Title Number
0022 213 558
S.E. 23-14-20-W4M
971 130 364
I certify the procedures required under part 4 of the Irrigation Districts Act have been 
completed and the area of the Bow River Irrigation District should be changed 
according to the above list.
Rebecca Fast, Office Administrator, 
Irrigation Secretariat.
On behalf of the St. Mary River 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 added to the irrigation district and the 
notation added to the certificate of title:
LINC Number
Short Legal Description as shown on title
Title Number
0013 502 639
4; 19;10;26;NW
021219552
0013 502 647
4; 19;10;26;NE
021 219 541
0021 641 089
4; 15;9;2;NW
011 019 171 + 1
0021 641 097
4; 15;9;2;SW
011019171+1
0021 641 147
4;15;9;2;SE
011 019 171 + 3
0021 641 386
4;15;9;2;NE
011019171+4
0021 641 394
4;15;9;2;SE
011019171+4
0022 713 481
4; 12;9;31;SW
941 002 607 + 1
0022 713 440
4;12;9;30;NW
941 002 607 + 2
0022 963 599
4;8; 10;9;NW
131 056 742 + 10
0022 963 607
4;8; 10;9;SW
131 056 742 + 10
0025 909 060
4; 13;9;25;NE
971 056 351 + 3
0022 647 846
4;13;9;25;NW
971 056 351 + 2
0023 393 986
4; 13;9;26;NW
991 036 656
0022 647 879
4; 13;9;26;NE
971 056 351 + 1
0027 792 274
4;13;9;35;SE
991 036 656 + 2
I certify the procedures required under part 4 of the Irrigation Districts Act have been 
completed and the area of the St. Mary River Irrigation District should be changed 
according to the above list.
Rebecca Fast, Office Administrator, 
Irrigation Secretariat.
______________
On behalf of the St. Mary River 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 deleted from the irrigation district and the 
notation removed from the certificate of title:
LINC Number
Short Legal Description as shown on title
Title Number
0035 395 269
1212873;17;5
131 163 416
0035 395 277
1212873;17;6
131 163 416 + 1
0035 395 285
1212873;17;7
131 163 416 + 2
I certify the procedures required under part 4 of the Irrigation Districts Act have been 
completed and the area of the St. Mary River Irrigation District should be changed 
according to the above list.
Rebecca Fast, Office Administrator, 
Irrigation Secretariat.
Education
Hosting Expenses Exceeding $600.00 
Paid during the period July 1, 2014 to September 30, 2014
Function: 2014 Excellence in Teaching Award Recipient Ceremony
Date: May 24, 2014
Amount: $41,588.86
Purpose: To host the award-recipient event and ceremony recognizing outstanding 
teachers and honouring creative, innovative and effective teaching in Alberta.
Location: Calgary, Alberta
Human Services
Office of the Public Trustee
Property being held by the Public Trustee for a period of Ten (10) Years 
(Public Trustee Act)
Section 11 (2)(b)
Name of Person Entitled 
to Property

Description 
 of Property 
held and its 
value or 
estimated value

Property part of 
deceased person's  
Estate or held under 
Court Order: 
Deceased's Name 
Judicial District Court 
File Number

Public Trustee 
Office 
 
Additional 
Information 

Child of Brian Keith Hatt
Cash on hand  
$19,623.02
Brian Keith Hatt
PTE# 043,400
Kathleen Colwill
Cash on hand  
$2,279.73
Estate of Agnes Lutke 
Judicial District of 
Calgary  
SES01 102059
PTE# 047,971
Irma Johnson
Cash on Hand 
$1,812.51
Robert Alvin Charles 
Bird  
Judicial District of 
Calgary
PTE#046,429
Marguerite Constance 
Durwin
Cash on Hand 
$13,483.26
Ernest Gordon 
Edwards  
International
PTE#047,673
David Andrew Balch
Cash on Hand 
$103,897.30
Allan Ramsay Balch 
Judicial District of 
Edmonton  
ES03 136214
163,721

Justice and Solicitor General
Designation of Designated Analyst Appointment
RCMP K Division 
Agblor, Anita Aba 
Ho, Clifton
(Date of Designation November 13, 2014)
Designation of Qualified Technician Appointment  
(Intox EC/IR II)
Edmonton Police Service 
Barron, Caitin Alexandra 
Bourque, Corey Raymond 
Brown-Smith, David Donald Joseph 
Brun, Leo Joseph 
Castro, Jeffrey Henry 
Collings, Joseph Micheal 
Donnelly, Adam John 
Dryer, Craig James 
Gabruck, Benjamin Joseph 
Gibson, James Kerr 
Hinks, Amanda Kim 
Luda, Sydney 
Miller, Justin David 
Moore, Gary Graham 
Mowatt, Joshua Paul 
Murk, Bradley Michael 
Neufeld, Lewis Samuel 
Ottewell, James Elliot 
Pallas, Jeremy Maddison 
Vanderploeg, Jason Mack 
Walker, Miles Virdell 
Woodburn, David Winston
(Date of Designation November 25, 2014)
Lacombe Police Service 
Zens, Bryan Robert
(Date of Designation November 13, 2014)
RCMP K Division, Traffic Services 
Augustine, Jeremy Michael Andrew 
Bieniewski, Hubert 
Butt, Christopher David 
Cheetham, Nicholas Joseph 
Curtis, Jason David 
Czarnecki, Jeffrey John 
Doucette, Eric George 
Dufour, Marc-Andre Joseph Rolland 
Gallagher, Alyssa Christina 
Genge, Mark Kenneth 
Goliath, Walter Michael 
Grobb, Clifford George Wallace 
LaMarche, Michael Joseph Martial 
LeBlanc, Gary Claude 
Leslie, Emma Claire 
Milleker, Dustin Dwight 
Mosley, Christopher Andrew 
Mueller, Katrina Maria 
Pearce, Brett Ellis 
Porterfield, Holly Brooke 
Rice, Leslie Neil 
Yurkowski, Anne Marie Elisabeth
(Date of Designation November 13, 2014)
Safety Codes Council
Municipal Accreditation
(Safety Codes Act)
Pursuant to Section 26 of the Safety Codes Act it is hereby ordered that
Town of Bow Island, Accreditation No. M000158, Order No. 2025
Having satisfied the terms and conditions of the Safety Codes Council is authorized to 
administer the Safety Codes Act including applicable Alberta amendments and 
regulations within the Municipality's boundaries for the discipline of Fire
Consisting of all parts of the Alberta Fire Code including investigations.  Excluding 
Part 4 requirements for Tank storage of flammable and combustible liquids.
Excluding any or all things, processes or activities located on all existing and future 
industrial facilities that are owned by or are under the care and control of an 
accredited corporation.
Accredited Date: September 16, 1995	Issued Date: November 24, 2014.
_______________
Pursuant to Section 26 of the Safety Codes Act it is hereby ordered that
Town of Olds, Accreditation No. M000167, Order No. 0593
Having satisfied the terms and conditions of the Safety Codes Council is authorized to 
administer the Safety Codes Act including applicable Alberta amendments and 
regulations within the Municipality's boundaries for the discipline of Fire
Consisting of all parts of the Alberta Fire Code including investigations.  Excluding 
Part 4 requirements for Tank storage of flammable and combustible liquids.
Excluding any or all things, processes or activities located on all existing and future 
industrial facilities that are owned by or are under the care and control of an 
accredited corporation.
Accredited Date: December 21, 1995	Issued Date: November 24, 2014.
_______________
Pursuant to Section 26 of the Safety Codes Act it is hereby ordered that
Town of Wainwright, Accreditation No. M000208, Order No. 2919
Having satisfied the terms and conditions of the Safety Codes Council is authorized to 
administer the Safety Codes Act including applicable Alberta amendments and 
regulations within the Municipality's boundaries for the discipline of Electrical
Consisting of all parts of the Canadian Electrical Code and Code for Electrical 
Installations at Oil and Gas Facilities.
Excluding the Alberta Electrical Utility Code.
Excluding any or all things, processes or activities located on all existing and future 
industrial facilities that are owned by or are under the care and control of an 
accredited corporation.
Accredited Date: November 17, 2014	Issued Date: November 24, 2014.
______________
Pursuant to Section 26 of the Safety Codes Act it is hereby ordered that
Town of Wainwright, Accreditation No. M000208, Order No. 2920
Having satisfied the terms and conditions of the Safety Codes Council is authorized to 
administer the Safety Codes Act including applicable Alberta amendments and 
regulations within the Municipality's boundaries for the discipline of Gas
Consisting of all parts of the Natural Gas and Propane Installation Code and Propane 
Storage and Handling Code.
Excluding any or all things, processes or activities located on all existing and future 
industrial facilities that are owned by or are under the care and control of an 
accredited corporation.
Accredited Date: November 17, 2014	Issued Date: November 24, 2014.
_______________
Pursuant to Section 26 of the Safety Codes Act it is hereby ordered that
Town of Wainwright, Accreditation No. M000208, Order No. 2921
Having satisfied the terms and conditions of the Safety Codes Council is authorized to 
administer the Safety Codes Act including applicable Alberta amendments and 
regulations within the Municipality's boundaries for the discipline of Plumbing
Consisting of all parts of the National Plumbing Code and Alberta Private Sewage 
Systems Standard of Practice.
Excluding any or all things, processes or activities located on all existing and future 
industrial facilities that are owned by or are under the care and control of an 
accredited corporation.
Accredited Date: November 17, 2014	Issued Date: November 24, 2014.
Alberta Securities Commission
Amendments to National Instrument 23-102 Use of Client Brokerage 
Commissions, National Instrument 24-101 Institutional Trade Matching 
and Settlement, National Instrument 81-107 Independent Review 
Committee for Investment Funds, and Multilateral Instrument 11-102 
Passport System
(Securities Act)
Made as a rule by the Alberta Securities Commission on October 15, 2014 pursuant to 
sections 223 and 224 of the Securities Act.
Amendments to Specified Instruments
1.	National Instrument 23-102 Use of Client Brokerage Commissions, 
National Instrument 24-101 Institutional Trade Matching and Settlement, 
National Instrument 81-107 Independent Review Committee for Investment 
Funds, and Multilateral Instrument 11-102 Passport System are amended 
by this Instrument.


2.	The Instruments named in section 1 are amended by replacing "National 
Instrument 31-103 Registration Requirements" with "National Instrument 31-
103 Registration Requirements, Exemptions and Ongoing Registrant 
Obligations" wherever it occurs.
3.	This Instrument comes into force on January 11, 2015.
Alberta Securities Commission
Amendments to National Instrument 31-103 Registration Requirements, 
Exemptions and Ongoing Registrant Obligations
(Securities Act)
Made as a rule by the Alberta Securities Commission on October 15, 2014 pursuant to 
sections 223 and 224 of the Securities Act.
Amendments to National Instrument 31-103 Registration Requirements, 
Exemptions and Ongoing Registrant Obligations
1.	National Instrument 31-103 Registration Requirements, Exemptions and 
Ongoing Registrant Obligations is amended by this Instrument.
2.	Section 1.1 is amended by 
(a)	adding the following definitions:
"designated rating" has the same meaning as in National Instrument 81-
102 Investment Funds;
"designated rating organization" has the same meaning as in National 
Instrument 81-102 Investment Funds;
"DRO affiliate" means an affiliate of a designated rating organization 
that issues credit ratings in a foreign jurisdiction and that has been 
designated as such under the terms of the designated rating 
organization's designation;
"principal regulator" has the same meaning as in section 4A.1 of 
Multilateral Instrument 11-102 Passport System;
"sub-adviser" means an adviser to
(a)	a registered adviser, or 
(b)	a registered dealer acting as a portfolio manager as 
permitted by section 8.24 [IIROC members with 
discretionary authority];,
(b)	replacing "IIROC Provision" with "IIROC provision", "IIROC 
Provisions" with "IIROC provisions", "MFDA Provision" with 
"MFDA provision" and "MFDA Provisions" with "MFDA provisions" 
wherever these terms occur in National Instrument 31-103 
Registration Requirements, Exemptions and Ongoing Registrant 
Obligations, and
(c)	amending the definition of "sponsoring firm" by replacing "the 
registered firm" with "the firm registered in a jurisdiction of Canada".
3.	Section 1.3 is amended by 
(a)	repealing subsection (1),
(b)	replacing subsection (2) with the following:
(2)	For the purpose of a requirement in this Instrument to notify or to 
deliver or submit a document to the regulator or the securities 
regulatory authority, the person or company may notify or deliver 
or submit the document to the person or company's principal 
regulator.,
(c)	repealing subsection (3), and
(d)	adding the following subsections:
(4)	Despite subsection (2), for the purpose of the notice and delivery 
requirements in section 11.9 [registrant acquiring a registered 
firm's securities or assets], if the principal regulator of the 
registrant and the principal regulator of the firm identified in 
paragraph 11.9(1)(a) or 11.9(1)(b), if registered in any jurisdiction 
of Canada, are not the same, the registrant must deliver the 
written notice to the following:
(a)	the registrant's principal regulator; and 
(b)	the principal regulator of the firm identified in paragraph 
11.9(1)(a) or 11.9(1)(b) as applicable, if registered in any 
jurisdiction of Canada identified in paragraph 11.9(1)(a) or 
11.9(1)(b).
(5)	Subsection (2) does not apply to
(a)	section 8.18 [international dealer], and
(b)	section 8.26 [international adviser]..
4.	Paragraph 2.2(1)(e) is amended by replacing "[dealing with clients - 
individuals and firms]" with "Dealing with clients - individuals and firms".
5.	Section 3.3 is amended by adding the following subsection:
(4)	Subsection (1) does not apply to the examination requirements in
(a)	section 3.7 [scholarship plan dealer - dealing representative] if 
the individual was registered in a jurisdiction of Canada as a 
dealing representative of a scholarship plan dealer on and since 
September 28, 2009, and
(b)	section 3.9 [exempt market dealer - dealing representative] if the 
individual was registered as a dealing representative of an exempt 
market dealer in Ontario or Newfoundland and Labrador on and 
since September 28, 2009..
6.	Section 3.5 is amended by replacing "section 7.1(2)(b)" with "paragraph 
7.1(2)(b)".
7.	Section 3.6 is amended by replacing paragraph (a) with the following:
(a)	the individual has 
(i)	passed the Canadian Investment Funds Course Exam, the 
Canadian Securities Course Exam or the Investment Funds in 
Canada Course Exam, 
(ii)	passed the PDO Exam, the Mutual Fund Dealers Compliance 
Exam or the Chief Compliance Officers Qualifying Exam, and 
(iii)	gained 12 months of relevant securities industry experience in the 
36-month period before applying for registration;.
8.	Section 3.7 is amended by replacing "section" with "paragraph".
9.	Section 3.8 is replaced with the following:
3.8	Scholarship plan dealer - chief compliance officer
A scholarship plan dealer must not designate an individual as its chief 
compliance officer under subsection 11.3(1) [designating a chief compliance 
officer] unless the individual has
(a)	passed the Sales Representative Proficiency Exam,
(b)	passed the Branch Manager Proficiency Exam,
(c)	passed the PDO Exam or the Chief Compliance Officers 
Qualifying Exam, and
(d)	gained 12 months of relevant securities industry experience in the 
36-month period before applying for registration..
10.	Section 3.9 is amended by replacing "section 7.1(2)(d)" with "paragraph 
7.1(2)(d)".
11.	Section 3.10 is amended by replacing paragraph (a) with the following:
(a)	the individual has
(i)	passed the Exempt Market Products Exam or the Canadian 
Securities Course Exam,
(ii)	passed the PDO Exam or the Chief Compliance Officers 
Qualifying Exam, and
(iii)	gained 12 months of relevant securities industry experience in the 
36-month period before applying for registration;.
12.	Subsection 3.16(2.1) is amended by replacing "paragraphs" with "paragraph".
13.	Section 4.1 is amended by replacing subsection (1) with the following:
(1)	A firm registered in any jurisdiction of Canada must not permit an 
individual to act as a dealing, advising or associate advising 
representative of the registered firm if either of the following apply:
(a)	the individual acts as an officer, partner or director of another 
firm registered in any jurisdiction of Canada that is not an affiliate 
of the first-mentioned registered firm; 
(b)	the individual is registered as a dealing, advising or associate 
advising representative of another firm registered in any 
jurisdiction of Canada..
14.	Subsection 4.2(3) is amended by replacing "No later than the 7th day" with 
"No later than 7 days".
15.	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 
individual is commenced under securities legislation or under the rules of an 
SRO, the individual's registration remains suspended.. 
16.	Section 7.1 is amended by
(a)	replacing subparagraph (2)(d)(ii) with the following:
(ii)	subject to subsection (5), act as a dealer by trading a security that, 
if the trade were a distribution, would be exempt from the 
prospectus requirement, or,
(b)	repealing subparagraph (2)(d)(iii),
(c)	replacing ";" with "," at the end of subparagraph (2)(d)(iv), and
(d)	adding the following subsection:
(5)	An exempt market dealer must not trade a security if
(a)	the security is listed, quoted or traded on a marketplace, 
and 
(b)	the trade in the security does not require reliance on a 
further exemption from the prospectus requirement..
17.	Part 8 is amended by adding the following section after the title of Division 1:
8.0.1	General condition to dealer registration requirement exemptions
The exemptions in this Division are not available to a person or company if the 
person or company is registered in the local jurisdiction and if their category of 
registration permits the person or company to act as a dealer or trade in a 
security for which the exemption is provided..
18.	Section 8.5 is amended by
(a)	replacing "by the person or company if one of the following applies" 
with "in a security if either of the following applies", and
(b)	replacing paragraph (a) with the following:
(a)	the trade is made through a registered dealer, if the dealer is 
registered in a category that permits the trade unless, in 
furtherance of the trade, the person or company seeking the 
exemption solicits or contacts directly any purchaser or 
prospective purchaser in relation to the trade;.


19.	Division 1 of Part 8 is amended by adding the following section:
8.5.1	Trades through a registered dealer by registered adviser
The dealer registration requirement does not apply to a registered adviser, or an 
advising representative or associate advising representative acting on behalf of 
the registered adviser, in respect of trading activities that are incidental to its 
providing advice to a client, if the trade is made through a dealer registered in a 
category that permits the trade or a dealer operating under an exemption from 
the dealer registration requirement..
20.	Paragraph (a) of section 8.9 is amended by
(a)	replacing, in subparagraph (i), "sections 86(e)" with "section 86(e)" 
and adding "paragraph" before "131(1)(d)",
(b)	replacing, in subparagraph (iii), "sections 19(3)" with "section 19(3)" 
and adding "paragraph" before "58(1)(a)",
(c)	replacing, in subparagraph (v), "sections 36(1)(e)" with "paragraphs 
36(1)(e)",
(d)	replacing, in subparagraph (vi), "sections 41(1)(e)" with "paragraphs 
41(1)(e)",
(e)	replacing, in subparagraphs (vii) and (viii), "section" with "sections",
(f)	replacing, in subparagraph (ix), "sections 35(1)5 and 72(1)(d) of the 
Securities Act (Ontario)" with "section 35(1)5 and paragraph 72(1)(d) of 
the Securities Act (Ontario) as they existed prior to their repeal by 
sections 5 and 11 of the Securities Act (Ontario) S.O. 2009, c. 18, Sch. 
26",
(g)	replacing, in subparagraph (x), "section 2(3)(d)" with "paragraph 
2(3)(d)",
(h)	replacing, in subparagraph (xi), "sections 51 and 155.1(2)" with 
"section 51 and subsection 155.1(2)", and
(i)	replacing, in subparagraph (xii), "sections" with "paragraphs".
21.	Subsection 8.15(2) is amended by adding "or Alberta" after "Ontario".
22.	Subsection 8.17(2) is amended by replacing "subsection" with "paragraph".


23.	Section 8.18 is amended by
(a)	deleting, in subsection (1), the definition of "Canadian permitted 
client",
(b)	deleting, in subsection (2), "Canadian" before "permitted client" 
wherever it occurs,
(c)	replacing, in paragraph (2)(f), "acting" with "purchasing",
(d)	replacing, in paragraph (3)(d), "acting as principal or as agent" with 
"trading as principal or agent",
(e)	deleting, in subsection (4), "Canadian" before "permitted client" 
wherever it occurs, and
(f)	replacing, in subsection (5), "12 month period" with "12-month 
period".
24.	Subparagraph 8.19(2)(a)(i) is amended by replacing "section" with 
"paragraph".
25.	Section 8.20 is amended by
(a)	replacing subsection (1) with the following:
(1)	In British Columbia, New Brunswick and Saskatchewan, the 
dealer registration requirement does not apply to a person or 
company in respect of a trade in an exchange contract by the 
person or company if one of the following applies:
(a)	the trade is made through a registered dealer, if the dealer is 
registered in a category that permits the trade unless, in 
furtherance of the trade, the person or company seeking the 
exemption solicits or contacts directly any purchaser or 
prospective purchaser in relation to the trade;
(b)	the trade is made to a registered dealer who is purchasing 
as principal, if the dealer is registered in a category that 
permits the trade., and
(b)	replacing subsection (1.1) with the following:
(1.1)	In Alberta, the dealer registration requirement does not apply to a 
person or company in respect of a trade in a derivative on an 
exchange pursuant to standardized terms determined by the 
exchange and cleared by a clearing agency:
(a)	the trade is made through a registered dealer, if the dealer is 
registered in a category that permits the trade unless, in 
furtherance of the trade, the person or company seeking the 
exemption solicits or contacts directly any purchaser or 
prospective purchaser in relation to the trade;
(b)	the trade is made to a registered dealer who is purchasing 
as principal, if the dealer is registered in a category that 
permits the trade., and
(c)	repealing subsections (2) and (3).
26.	Part 8 is amended by adding the following section:
8.20.1	Exchange contract trades through or to a registered dealer - 
Alberta, British Columbia, New Brunswick and Saskatchewan
(1)	In British Columbia, New Brunswick and Saskatchewan,  the 
dealer registration requirement does not apply to a registered 
adviser, or an   advising representative or associate advising 
representative acting on behalf of the registered adviser, in respect 
of trading activities related to exchange contracts that are 
incidental to its providing advice to a client, if the trade is made 
through a dealer registered in a category that permits the trade or 
a dealer operating under an exemption from the dealer registration 
requirement.
(1.1)	In Alberta, the dealer registration requirement does not apply to a 
registered adviser, or an advising representative or associate 
advising representative acting on behalf of the registered adviser, 
in respect of trading activities related to a trade in a derivative on 
an exchange pursuant to standardized terms determined by the 
exchange and cleared by a clearing agency that are incidental to 
its providing advice to a client, if the trade is made through a 
dealer registered in a category that permits the trade or a dealer 
operating under an exemption from the dealer registration 
requirement..
27.	Subsection 8.21(1) is amended by deleting the definitions of "designated 
rating", "designated rating organization" and "DRO affiliate".
28.	Subsection 8.22(3) is amended by replacing "subsection" with "paragraph".


29.	Part 8 is amended by adding the following section:
8.22.1	Short-term debt
(1)	In this section, "short-term debt instrument" means a negotiable 
promissory note or commercial paper maturing not more than one year 
from the date of issue. 
(2)	Except in Ontario, the dealer registration requirement does not apply to 
any of the following in respect of a trade in a short-term debt instrument 
with a permitted client:
(a)	a bank listed in Schedule I, II or III to the Bank Act (Canada);
(b)	an association to which the Cooperative Credit Associations Act 
(Canada) applies or a central cooperative credit society for which 
an order has been made under subsection 473 (1) of that Act;
(c)	a loan corporation, trust company, trust corporation, insurance 
company, treasury branch, credit union, caisse populaire, financial 
services cooperative or credit union league or federation that is 
authorized by a statute of Canada or of a jurisdiction in Canada to 
carry on business in Canada or in any jurisdiction in Canada, as 
the case may be;
(d)	the Business Development Bank of Canada;
(3)	The exemption under subsection (2) is not available to a person or 
company if the short-term debt instrument is convertible or 
exchangeable into, or accompanied by a right to purchase, another 
security other than another short-term debt instrument..
30.	Part 8 is amended by adding the following section after the title of Division 2:
8.22.2	General condition to adviser registration requirement exemptions
The exemptions in this Division are not available to a person or company if the 
person or company is registered in the local jurisdiction in a category of 
registration that permits the person or company to act as an adviser in respect 
of the activities for which the exemption is provided.. 
31.	Section 8.26 is amended by
(a)	deleting, in subsection (2), the definition of "Canadian permitted 
client", 


(b)	replacing subsection (3) 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 permitted 
client, other than a permitted client that is person or company 
registered under the securities legislation of a jurisdiction of 
Canada as an adviser or dealer, 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., 
and
(c)	replacing paragraph (4)(b) with the following:
(b)	the adviser is registered in a category of registration, 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, 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;.
32.	Part 8 is amended by adding the following section:
8.26.1	International sub-adviser
(1)	The adviser registration requirement does not apply to a sub-adviser if 
all of the following apply:
(a)	the obligations and duties of the sub-adviser are set out in a 
written agreement with the registered adviser or registered dealer; 
(b)	the registered adviser or registered dealer has entered into a 
written agreement with its clients on whose behalf investment 
advice is or portfolio management services are to be provided, 
agreeing to be responsible for any loss that arises out of the 
failure of the sub-adviser
(i)	to exercise the powers and discharge the duties of its office 
honestly, in good faith and in the best interests of the 
registrant and each client of the registrant for whose benefit 
the advice is or portfolio management services are to be 
provided, or 
(ii)	to exercise the degree of care, diligence and skill that a 
reasonably prudent person would exercise in the 
circumstances. 
(2)	The exemption under subsection (1) is not available unless all of the 
following apply:
(a)	the sub-adviser's head office or principal place of business is in a 
foreign jurisdiction;
(b)	the sub-adviser is registered in a category of registration, 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, 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 sub-adviser engages in the business of an adviser in the 
foreign jurisdiction in which its head office or principal place of 
business is located..
33.	Part 8 is amended by adding the following section after the title of Division 3:
8.26.2	General condition to investment fund manager registration 
requirement exemptions
The exemptions in this Division are not available to a person or company if the 
person or company is registered in the local jurisdiction as an investment fund 
manager..
34.	Section 8.28 is replaced with the following:
8.28	Capital accumulation plan
(1)	In this section
"capital accumulation plan" means a tax assisted investment or savings 
plan, including a defined contribution registered pension plan, a group 
registered retirement savings plan, a group registered education savings 
plan, or a deferred profit-sharing plan, that permits a plan member to 
make investment decisions among two or more investment options 
offered within the plan, and in Qu‚bec and Manitoba, includes a 
simplified pension plan;
"plan member" means a person that has assets in a capital accumulation 
plan;
"plan sponsor" means an employer, trustee, trade union or association or 
a combination of them that establishes a capital accumulation plan, and 
includes a plan service provider to the extent that the plan sponsor has 
delegated its responsibilities to the plan service provider; and
"plan service provider" means a person that provides services to a plan 
sponsor to design, establish, or operate a capital accumulation plan.
(2)	The investment fund manager registration requirement does not apply to 
a plan sponsor or their plan service provider in respect of activities 
related to a capital accumulation plan..
35.	Paragraph 8.30(d) is amended by replacing "Parts 13 [dealing with clients - 
individuals and firms] and 14 [handling client accounts - firms]" with "Parts 
13 Dealing with clients - individuals and firms and 14 Handling client 
accounts - firms".
36.	Section 9.1 is amended by replacing "Dealer Member" with "dealer member".
37.	Paragraphs 9.3(1)(b) and 9.4(1)(b) are amended by deleting "notifying the 
regulator of a".
38.	Paragraph 10.1(1)(k) is amended by deleting "to be paid by a registrant".
39.	Subsection 11.3(2) is amended by replacing "[registration requirements - 
individuals]" with "Registration requirements - individuals".
40.	Section 11.9 is amended by
(a)	replacing subsection (1) with the following:
(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)	for the first time, direct or indirect ownership, beneficial or 
otherwise, of 10% or more of the voting securities or other 
securities convertible into voting securities of 
(i) 	a firm registered in any jurisdiction of Canada or any 
foreign jurisdiction, or
(ii)	a person or company of which a firm registered in 
any jurisdiction of Canada or any foreign 
jurisdiction is a subsidiary;
(b)	all or a substantial part of the assets of a firm registered in 
any jurisdiction of Canada or any foreign jurisdiction.,
(b)	repealing subsection (3), and


(c)	replacing subsections (4), (5) and (6) with the following:
(4)	Except in Ontario and British Columbia, if, within 30 days of the 
receipt of a notice under subsection (1), the regulator or, in 
Qu‚bec, the securities regulatory authority notifies the registrant 
making the acquisition that the regulator or, in Qu‚bec, 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 receipt of a notice under 
subparagraph (1)(a)(i) or paragraph (1)(b), 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 under 
subsection (1) may request an opportunity to be heard on the 
matter by the regulator or, in Qu‚bec, the securities regulatory 
authority objecting to the acquisition..
41.	Section 11.10 is amended by
(a)	replacing subsection (1) with the following:
(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, for the first time, direct or indirect 
ownership, beneficial or otherwise, of 10% or more of the voting 
securities or other securities convertible into voting securities of any of 
the following:
(a)	the registered firm;
(b)	a person or company of which the registered firm is a 
subsidiary.,
(b)	replacing paragraph (2)(c) with the following:
(c)	include all facts that to the best of the registered firm's knowledge 
after reasonable inquiry regarding the acquisition are 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.,
(c)	repealing subsection (3), and
(d)	replacing subsections (5), (6) and (7) with the following:
(5)	Except in British Columbia and Ontario, if, within 30 days of the 
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, in Qu‚bec, 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 receipt of a notice under 
paragraph (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 by the regulator 
or, in Qu‚bec, the securities regulatory authority objecting to the 
acquisition..
42.	Section 12.2 is replaced with the following:
12.2	Subordination agreement
(1)	If a registered firm has entered into a subordination agreement in the 
form set out in Appendix B, it may exclude the amount of non-current 
related party debt subordinated under that agreement from the 
calculation of its excess working capital on Form 31-103F1 Calculation 
of Excess Working Capital.
(2)	The registered firm must deliver an executed copy of the subordination 
agreement referred to subsection (1) to the regulator or, in Qu‚bec, the 
securities regulatory authority on the earliest of the following dates:
(a)	10 days after the date on which the subordination agreement is 
executed;
(b)	the date on which the amount of the subordinated debt is excluded 
from the registered firm's non-current related party debt as 
calculated on Form 31-103F1 Calculation of Excess Working 
Capital.
(3)	The registered firm must notify the regulator or, in Qu‚bec, the 
securities regulatory authority 10 days before it
(a)	repays the loan or any part of the loan, or
(b)	terminates the agreement..
43.	Section 12.6 is amended by replacing "may" with "must" wherever it occurs.
44.	Subsection 12.12(3) is replaced with the following:
(3)	Subsection (2) does not apply to an exempt market dealer unless it is 
also registered in another category, other than the portfolio manager or 
restricted portfolio manager category..
45.	Section 12.14 is amended by
(a)	replacing paragraph (1)(c) with the following:
(c)	a completed Form 31-103F4 Net Asset Value Adjustments if any 
net asset value adjustment has been made in respect of an 
investment fund managed by the investment fund manager during 
the financial year.,
(b)	replacing paragraph (2)(c) with the following:
(c)	a completed Form 31-103F4 Net Asset Value Adjustments if any 
net asset value adjustment has been made in respect of an 
investment fund managed by the investment fund manager during 
the interim period., and
(c)	repealing subsection (3).
46.	Paragraph 13.2(2)(c) is amended by adding "[suitability]" after "section 
13.3".
47.	Subsection 13.10(1) is amended by replacing "subsection 13.8(c)" with 
"paragraph 13.8(c)".
48.	Subsection 13.16(1) is amended by adding "a" before "trading" in paragraph 
(a) of the definition of "complaint".
49.	Part 13 is amended by adding the following division:
Division 6	Registered sub-advisers
13.17 	Exemption from certain requirements for registered sub-advisers
(1)	A registered sub-adviser is exempt from the following requirements in respect 
of its activities as a sub-adviser: 
(a)	section 13.4 [identifying and responding to conflicts of interest];
(b)	division 3 [referral arrangements] of Part 13;
(c)	division 5 [complaints] of Part 13;
(d)	section 14.3 [disclosure to clients about the fair allocation of investment 
opportunities];
(e)	section 14.5 [notice to clients by non-resident registrants];
(f)	section 14.14 [account statements].
(2)	The exemption under subsection (1) is not available unless all of the following 
apply:
(a)	the obligations and duties of the registered sub-adviser are set out in a 
written agreement with the sub-adviser's registered adviser or registered 
dealer; 
(b)	the registered adviser or registered dealer has entered into a written 
agreement with its clients on whose behalf investment advice is or 
portfolio management services are to be provided agreeing to be 
responsible for any loss that arises out of the failure of the registered 
sub-adviser 
(i)	to exercise the powers and discharge the duties of its office 
honestly, in good faith and in the best interests of the registrant 
and each client of the registrant for whose benefit the advice is or 
portfolio management services are to be provided, or 
(ii)	to exercise the degree of care, diligence and skill that a reasonably 
prudent person would exercise in the circumstances..


50.	Part 14 is amended by
(a)	amending section 14.1.1, as that section is scheduled to come into 
force on July 15, 2016, by replacing "An investment fund manager" 
with "A registered investment fund manager",
(b)	amending paragraph 14.7(1)(c) by adding "the" before "Canadian 
Investor Protection Fund",
(c)	amending subparagraph 14.11.1(1)(b)(iii), as that subparagraph is 
scheduled to come into force on July 15, 2015,  by replacing 
"subparagraphs" with "subparagraph",
(d)	amending subsection 14.12(6) by replacing "Section 14.12(5)" with 
"Subsection 14.12(5)" and by adding "[investment fund trades by 
adviser to managed account]" after "section 8.6",
(e)	amending subsection 14.14 (2.1) by replacing "section" with 
"paragraph",
(f)	amending subsections 14.14(4) and 14.14(5), as these subsections are 
scheduled to come into force on July 15, 2015, by replacing 
"subsections" with "subsection",
(g)	amending subsection 14.14.2(3), as that subsection is scheduled to 
come into force on July 15, 2015, by adding "[definitions of terms used 
throughout this Instrument]" after "definition of "book cost" in section 
1.1",
(h)	amending subsection 14.18(4), as that subsection is scheduled to come 
into force on July 15, 2016, by replacing "subsections 14.14(5)" with 
"subsection 14.14(5)",
(i)	amending subsection 14.19(1), as that subsection is scheduled to come 
into force on July 15, 2016, by replacing "subsections" with 
"subsection", and
(j)	amending subsection 14.19(3), as that subsection is scheduled to come 
into force on July 15, 2016, by replacing "paragraphs" with 
"paragraph".
51.	Subsection 15.1(1) is amended by deleting ", in Qu‚bec,".


52.	Section 16.10 is replaced with the following:
16.10	Proficiency for dealing and advising representatives
If an individual is registered in a jurisdiction of Canada as a dealing or advising 
representative in a category referred to in a section of Division 2 [education 
and experience requirements] of Part 3 on the day this Instrument comes into 
force, that section does not apply to the individual so long as the individual 
remains registered in the category..
53.	Form 31-103F1 Calculation of Excess Working Capital is amended by
(a)	replacing Line 5 of the table with the following:
Add 100% of non-current related party debt unless the firm and the 
lender have executed a subordination agreement in the form set out in 
Appendix B of National Instrument 31-103 Registration 
Requirements, Exemptions and Ongoing Registrant Obligations and 
the firm has delivered a copy of the agreement to the regulator or, in 
Qu‚bec, the securities regulatory authority. See section 12.2 of 
National Instrument 31-103 Registration Requirements, Exemptions 
and Ongoing Registrant Obligations.
(b)	replacing in Line 10 of the table "National Instrument 31-103, 
Registration Requirements, Exemptions and Ongoing Registrant 
Obligations" with "National Instrument 31-103 Registration 
Requirements, Exemptions and Ongoing Registrant Obligations",
(c)	replacing the introduction to the notes, below the table, with the 
following:
Notes:
Form 31-103F1 Calculation of Excess Working Capital 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.,
(d)	replacing the notes to Lines 5, 8 and 9 with the following:
Line 5. Related-party debt - Refer to the CICA Handbook for the 
definition of "related party" for publicly accountable enterprises. The 
firm is required to deliver a copy of the executed subordination 
agreement to the regulator or, in Qu‚bec, the securities regulatory 
authority on the earlier of a) 10 days after the date the agreement is 
executed or b) the date an amount subordinated by the agreement is 
excluded from its calculation of excess working capital on Form 31-
103F1 Calculation of Excess Working Capital. The firm must notify the 
regulator or, in Qu‚bec, the securities regulatory authority, 10 days 
before it repays the loan (in whole or in part), or terminates the 
subordination agreement. See section 12.2 of National Instrument 31-
103 Registration Requirements, Exemptions and Ongoing Registrant 
Obligations.
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) of National Instrument 31-103 Registration 
Requirements, Exemptions and Ongoing Registrant Obligations applies.
Line 9. Market Risk - The amount on this line must be calculated 
according to the instructions set out in Schedule 1 to Form 31-103F1 
Calculation of Excess Working Capital. A schedule supporting the 
calculation of any amounts included in Line 9 as market risk should be 
provided to the regulator or, in Qu‚bec, the securities regulatory 
authority in conjunction with the submission of Form 31-103F1 
Calculation of Excess Working Capital.,
(e)	in the last line of the notes to Line 12, replacing "this form" with 
"Form 31-103 Calculation of Excess Working Capital",
(f)	adding, immediately before paragraph (e) of Schedule 1 of Form 31-
103 Calculation of Excess Working Capital, the following:
Securities of mutual funds qualified by prospectus for sale in the United 
States of America: 5% of the net asset value per security if the fund is 
registered as an investment company under the Investment Companies 
Act of 1940, as amended from time to time, and complies with Rule 2a-7 
thereof.,
(g)	by replacing paragraph (l) of clause (ii) of paragraph (e) of Schedule 1 
of Form 31-103 Calculation of Excess Working Capital with the 
following:
(l)	SIX Swiss Exchange,
(h)	by deleting, in paragraph (b) of clause (i) of paragraph (f) of Schedule 
1 of Form 31-103 Calculation of Excess Working Capital, "of the 
loan or the rates set by Canadian financial institutions or Schedule III 
banks, whichever is greater", and
(i)	by deleting, in paragraph (b) of clause (ii) of paragraph (f) of 
Schedule 1 of Form 31-103 Calculation of Excess Working Capital, 
"of the loan or the rates set by Canadian financial institutions or 
Schedule III banks, whichever is greater".
54.	Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for 
Service is amended by replacing in Line 6. "National Instrument 31-103, 
Registration Requirements, Exemptions and Ongoing Registrant Obligations" 
with "National Instrument 31-103 Registration Requirements, Exemptions and 
Ongoing Registrant Obligations".
55.	The following form is added:
FORM 31-103F4 NET ASSET VALUE ADJUSTMENTS
(Section 12.14 [delivering financial information - investment fund manager])
This is to notify the regulator or, in Qu‚bec, the securities regulatory authority, of a 
net asset value (NAV) adjustment made in respect of an investment fund managed by 
the investment fund manager in accordance with paragraph 12.14(1)(c) or paragraph 
12.14(2)(c). All of the information requested should be provided on a fund by fund 
basis. Please attach a schedule if necessary.
1.   Name of the investment fund manager: 
2.   Name of each of the investment funds for which a NAV adjustment occurred: 
3.   Date(s) the NAV error occurred:
4.   Date the NAV error was discovered:
5.   Date of the NAV adjustment: 
6.   Original total NAV on the date the NAV error first occurred: 
7.   Original NAV per unit on each date(s) the NAV error occurred:
8.   Revised NAV per unit on each date(s) the NAV error occurred:
9.   NAV error as percentage (%) of the original NAV on each date(s) the NAV 
error occurred:
10. Total dollar amount of the NAV adjustment:
11. Effect (if any) of the NAV adjustment per unit or share:
12. Total amount reimbursed to security holders, or any corrections made to 
purchase and redemption transactions affecting the security holders of each 
investment fund affected, if any:
13. Date of the NAV reimbursement or correction to security holder transactions, 
if any:
14. Total amount reimbursed to investment fund, if any: 
15. Date of the reimbursement to investment fund, if any: 
16. Description of the cause of the NAV error: 
17. Was the NAV error discovered by the investment fund manager?
Yes ?    No ?
18. If No, who discovered the NAV error? 
19. Was the NAV adjustment a result of a material error under the investment 
fund manager's policies and procedures?
Yes ?    No ? 
20. Have the investment fund manager's policies and procedures been changed 
following the NAV adjustment? 
Yes ?    No ?
21. If Yes, describe the changes: 
22. If No, explain why not:
23. Has the NAV adjustment been communicated to security holders of each of 
the investment funds affected?
Yes ?    No ?
24. If Yes, describe the communications: 
Notes:
Line 2. NAV adjustment - Refers to the correction made to make the investment 
fund's NAV accurate.
Line 3. NAV error - Refers to the error discovered on the Original NAV. Please 
refer to Section 12.14 of Companion Policy 31-103CP Registration Requirements, 
Exemptions and Ongoing Registrant Obligations for guidance on NAV error and 
causes of NAV errors.
Line 3. Date(s) the NAV error occurred - Means the date of the NAV error first 
occurred and the subsequent dates of the NAV error.
Line 8. Revised NAV per unit - Refers to the NAV per unit calculated after taking 
into account the NAV error. 
Line 9. NAV error as a percentage (%) of the original NAV - Refers to the 
following calculation: 
(Revised NAV / Original NAV) - 1 x 100
56.	APPENDIX B is amended, in paragraph (b) of section 2, by adding "," after 
"in respect to the Loan".
57.	APPENDIX G is amended by
(a)	deleting, under the caption "NI 31-103 Provision" with regard to 
"section 12.2", "notifying the regulator of a",
(b)	deleting, under the caption "IIROC Provision" with regard to 
"subsection 14.2(2) [relationship disclosure information], the 
following:
IIROC has not yet assigned a number to the relationship disclosure 
dealer member rule in its Client Relationship Model proposal. We will 
refer to the dealer member rule number when IIROC has assigned one.
, and
(c)	adding "9. Dealer Member Rule 3500 [Relationship Disclosure]" at the 
end of the list of IIROC Provisions.
58.	APPENDIX H is amended by deleting, under the caption "NI 31-103 
Provision" with regard to "section 12.2", "notifying the regulator of a".
59.	(1)	Subject to subsection (2), this Instrument comes into force on January 
11, 2015.
(2)	Paragraph 16(d) and section 29 of this Instrument come into force on 
July 11, 2015.


Alberta Securities Commission
Amendments to National Instrument 33-109 Registration Information
(Securities Act)
Made as a rule by the Alberta Securities Commission on October 15, 2014 pursuant to 
sections 223 and 224 of the Securities Act.
Amendments to National Instrument 33-109 Registration Information
1.	National Instrument 33-109 Registration Information is amended by this 
Instrument.
2.	Section 1.1 is amended by
(a)	adding the following definition:
"business location" means a location where the firm carries out an activity that 
requires registration, and includes a residence if regular and ongoing activity 
that requires registration is carried out from the residence or if records relating 
to an activity that requires registration are kept at the residence;,
(b)	replacing the definition of "cessation date" with the following:
"cessation date" means the last day on which an individual had authority to act 
as a registered individual on behalf of their sponsoring firm or was a permitted 
individual of their sponsoring firm, because of the end of, or a change in, the 
individual's employment, partnership, or agency relationship with the firm;, 
and
(c)	replacing the definition of "permitted individual" with the following:
"permitted individual" means
(a)	a director, chief executive officer, chief financial officer, or chief 
operating officer of a firm, or a functional equivalent of any of those 
positions,
(b)	an individual who has beneficial ownership of, or direct or indirect 
control or direction over, 10 percent or more of the voting securities of a 
firm, or
(c)	a trustee, executor, administrator, or other personal or legal 
representative, that has direct or indirect control or direction over 10 
percent or more of the voting securities of a firm;.
3.	Subsection 2.3(2) is amended by
(a)	adding "(other than Item 13.3(c))", after "[Regulatory disclosure]" in 
subparagraph (c)(i), and
(b)	replacing paragraph (d) with the following:
(d)	the individual is seeking reinstatement with a sponsoring firm in one or 
more of the same categories of registration in which the individual was 
registered on the cessation date;.
4.	Subsection 2.6(1) is amended by replacing "subsection" with "paragraph".
5.	Section 3.1 is amended by
(a)	replacing, in subsection (1), "subsections" with "subsection", and 
(b)	replacing, in subsection (4), "Submission to Jurisdiction and 
Appointment of Agent for Service" with "Submission to jurisdiction and 
appointment of agent for service".
6.	Subsection 4.1(4) is amended by
(a)	deleting ":" after "if the change relates to",
(b)	replacing ";" with "," at the end of paragraphs (a) and (b),
(c)	replacing "." with ", or" at the end of paragraph (c), and
(d)	adding the following paragraph:
(d)	any information on Schedule C of Form 33-109F4..
7.	Section 4.2 is amended by
(a)	in paragraphs (2)(a) and (2)(b), replacing "subsection" with 
"paragraph", and
(b)	in paragraph (4)(b), replacing "subsection" with "paragraph".
8.	Section 8.2 is amended by replacing "National Instrument 31-103 Registration 
Requirements and Exemptions" with "National Instrument 31-103 Registration 
Requirements, Exemptions and Ongoing Registrant Obligations".
9.	The title of all schedules to forms of National Instrument 33-109 
Registration Information is amended by replacing "SCHEDULE", wherever 
this word appears, with "Schedule".
10.	Form 33-109F1 is amended by
(a)	replacing the paragraph after the heading "Terms" with the 
following:
In this form, "cessation date" (or "effective date of termination") means the last 
day on which an individual had authority to act as a registered individual on 
behalf of their sponsoring firm or the last day on which an individual was a 
permitted individual of their sponsoring firm, because of the end of, or a 
change in, the individual's employment, partnership, or agency relationship 
with the firm.,
(b)	replacing "[National Registration Database]" with "National 
Registration Database" in the second paragraph after the heading 
"How to submit the form",
(c)	replacing "termination date" with "cessation date" in the second 
paragraph after the heading "When to submit the form",
(d)	in Item 3, replacing "Address" with "Business location address",
(e)	in section 1 of Item 4 under "Cessation date / Effective date of 
termination", replacing the sentence with the following:
This is the last day that the individual had authority to act in a registerable 
capacity on behalf of the firm, or the last day that the individual was a 
permitted individual., 
(f)	adding, at the end of section 2 of Item 4, the following:
If "Other", explain: _______________________________________, 
(g)	adding, in section 8 of Item 5, "or materially" after "Did the individual 
repeatedly", and
(h)	replacing Item 7 with the following:
Item 7   Warning
It is an offence under securities legislation and derivatives legislation, 
including commodity futures legislation, to give false or misleading 
information on this form..
11.	Form 33-109F2 is amended by
(a)	adding "or provide notice of other changes to the information on 
Schedule C of Form 33-109F4" at the end of the sentence after the 
heading "GENERAL INSTRUCTIONS",
(b)	adding "National Registration Database" after "National Instrument 
31-102" in the second paragraph after the heading "How to submit 
this form",
(c)	replacing section 1 of Item 2 with the following:
1.	Are you filing this form under the passport system / interface for 
registration? 
Choose "No" if you are registered in 
(a)	only one jurisdiction of Canada
(b)	more than one jurisdiction of 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 of Canada and you are requesting a 
change only in your principal jurisdiction.
Yes	?	No	?,
(d)	deleting "of individual categories of registration" in section 2 of Item 2,
(e)	replacing "36 month period" with "36-month period" in section 3 of 
Item 4,
(f)	replacing " "Not Applicable" above" with " "N/A" " in section 3 of 
Item 4,
(g)	replacing "yes" with "Yes" in section 3 of Item 4,
(h)	adding, in Item 5, "registration" before "category",
(i)	amending Item 6 by replacing "Schedule A" with "Schedule B" 
wherever this expression appears, and replacing, in the second 
paragraph, "SROs" with "SRO" and "enforce their respective by-laws" 
with "enforce its by-laws",
(j)	replacing Item 7 with the following:
Item 7   Warning
It is an offence under securities legislation and derivatives legislation, 
including commodity futures legislation, to give false or misleading 
information on this form.,
(k)	in Schedule A, replacing the third paragraph with the following:
Indicate the continuing education activities in which you have participated 
during the last 36 months and that are relevant to the category of registration 
you are applying for:, and
(l)	replacing Schedule B with the following:


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) 297-6454

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 Canada)
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 
Financial and Consumer Services 
Commission of New Brunswick / 
Commission des services financiers et 
des services aux consommateurs du 
Nouveau-Brunswick 
Suite 300, 85 Charlotte Street 
Saint John, NB  E2L 2J2 
Attention:  Director of Securities  
Telephone: (506) 658-3060




Newfoundland and Labrador 
Superintendent of Securities, Service 
NL 
Government of Newfoundland and 
Labrador 
P.O. Box 8700 
2nd Floor, West Block 
Confederation Building 
St. John's, NL A1B 4J6 
Attention: Manager of Registrations 
Telephone: (709) 729-5661
Nova Scotia 
Nova Scotia Securities Commission 
Suite 400, 5251 Duke Street 
Halifax, NS B3J 1P3 
Attention: Deputy Director, Capital 
Markets 
Telephone: (902) 424-7768

Northwest Territories 
Government of the Northwest 
Territories 
Department of Justice  
1st Floor Stuart M. Hodgson Building 
5009 - 49th Street 
Yellowknife, NWT X1A 2L9 
Attention: Deputy Superintendent of 
Securities 
Telephone: (867) 920-8984
Nunavut 
Government of Nunavut 
Department of Justice 
P.O. Box 1000 Station 570 
Iqaluit, NU X0A 0H0 
Attention: Deputy Registrar of Securities 
Telephone: (867) 975-6590
Ontario 
Ontario Securities Commission 
22nd Floor 
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 Office 
Department of Community Affairs and 
Attorney General 
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




Saskatchewan 
Financial and Consumer Affairs Authority 
of Saskatchewan 
Suite 601, 1919 Saskatchewan Drive 
Regina, SK S4P 4H2 
Attention: Deputy Director, Capital 
Markets 
Telephone: (306) 787-5871


Yukon 
Government of Yukon 
Superintendent of Securities 
Department of Community Services  
P.O. Box 2703 C-6 
Whitehorse, YT Y1A 2C6 
Attention: Superintendent of Securities 
Telephone: (867) 667-5314
Self-regulatory organization 
Investment Industry Regulatory 
Organization of Canada 
121 King Street West, Suite 2000 
Toronto, Ontario M5H 3T9 
Attention: Privacy Officer 
Telephone: (416) 364-6133 
E-mail: PrivacyOfficer@iiroc.ca.

12.	Form 33-109F3 is amended by
(a)	adding "National Registration Database" after "National Instrument 
31-102" in the second paragraph after the heading "How to submit 
this form",
(b)	replacing Item 1 with the following:
Item 1   Type of business location 
Branch or business location ?
Sub-branch (Mutual Fund Dealers Association of Canada members only) ?,
(c)	replacing Item 3 with the following:


Item 3   Business location information
Business location address __________________________________________
	(a post office box is not a valid business location address)
Mailing address (if different from business location address) ______________
Telephone number (____) _________________
Fax number (____) _________________
E-mail address _______________________,
(d)	replacing, in the second paragraph of Item 4, "SROs" with "SRO", 
and "enforce their respective by-laws" with "enforce its by-laws",
(e)	replacing Item 5 with the following:
Item 5   Warning
It is an offence under securities legislation and derivatives legislation, 
including commodity futures legislation, to give false or misleading 
information on this form.,
(f)	adding the following at the end of the portion of the Form with the 
heading "Certification - NRD format" in Item 6:
?	If the business location is a residence, the individual conducting business 
from that business location has completed a Form 33-109F4 Registration 
of Individuals and Review of Permitted Individuals certifying that they 
give their consent for the regulator or, in Qu‚bec, the securities 
regulatory authority to enter the residence for the administration of 
securities legislation and derivatives legislation, including commodity 
futures legislation.,
(g)	replacing the first paragraph under the heading "Certification - 
Format other than NRD format" in Item 6 with the following:
By signing below, I certify to the securities regulator or, in Qu‚bec, the 
securities regulatory authority, in each jurisdiction where I am submitting this 
form for the firm, either directly or through the principal regulator, that:
*	I have read this form and understand the questions, 
*	all of the information provided on this form is true, and complete, 
and
*	if the business location specified in this form is a residence, the 
individual conducting business from that business location has 
completed a Form 33-109F4 Registration of Individuals and Review 
of Permitted Individuals certifying that they give their consent for 
the regulator or, in Qu‚bec, the securities regulatory authority to 
enter the residence for the administration of securities legislation 
and derivatives legislation, including commodity futures 
legislation., and
(h)	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) 297-6454

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 Canada)
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 
Financial and Consumer Services 
Commission of New Brunswick / 
Commission des services financiers et 
des services aux consommateurs du 
Nouveau-Brunswick 
Suite 300, 85 Charlotte Street 
Saint John, NB  E2L 2J2 
Attention:  Director of Securities  
Telephone: (506) 658-3060

Newfoundland and Labrador 
Superintendent of Securities, Service 
NL 
Government of Newfoundland and 
Labrador 
P.O. Box 8700 
2nd Floor, West Block 
Confederation Building 
St. John's, NL A1B 4J6 
Attention: Manager of Registrations 
Telephone: (709) 729-5661
Nova Scotia 
Nova Scotia Securities Commission 
Suite 400, 5251 Duke Street 
Halifax, NS B3J 1P3 
Attention: Deputy Director, Capital 
Markets 
Telephone: (902) 424-7768

Northwest Territories 
Government of the Northwest 
Territories 
Department of Justice  
1st Floor Stuart M. Hodgson Building 
5009 - 49th Street 
Yellowknife, NWT X1A 2L9 
Attention: Deputy Superintendent of 
Securities 
Telephone: (867) 920-8984
Nunavut 
Government of Nunavut 
Department of Justice 
P.O. Box 1000 Station 570 
Iqaluit, NU X0A 0H0 
Attention: Deputy Registrar of Securities 
Telephone: (867) 975-6590
Ontario 
Ontario Securities Commission 
22nd Floor 
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 Office 
Department of Community Affairs and 
Attorney General 
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

Saskatchewan 
Financial and Consumer Affairs Authority 
of Saskatchewan 
Suite 601, 1919 Saskatchewan Drive 
Regina, SK S4P 4H2 
Attention: Deputy Director, Capital 
Markets 
Telephone: (306) 787-5871


Yukon 
Government of Yukon 
Superintendent of Securities 
Department of Community Services  
P.O. Box 2703 C-6 
Whitehorse, YT Y1A 2C6 
Attention: Superintendent of Securities 
Telephone: (867) 667-5314
Self-regulatory organization 
Investment Industry Regulatory 
Organization of Canada 
121 King Street West, Suite 2000 
Toronto, Ontario M5H 3T9 
Attention: Privacy Officer 
Telephone: (416) 364-6133 
E-mail: PrivacyOfficer@iiroc.ca.

13.	Form 33-109F4 is amended by
(a)	replacing the paragraph under the heading "GENERAL 
INSTRUCTIONS", with the following:
Complete and submit this form to the relevant regulator(s) or in Qu‚bec, the 
securities regulatory authority, or self-regulatory organization (SRO) if an 
individual is seeking 
*	registration in individual categories,
*	to be reviewed as a permitted individual. 
You are only required to submit one form even if you are applying to be 
registered in several categories. This form is also used if you are seeking to be 
reviewed as a permitted individual. A post office box is not acceptable as a 
valid business location address.,
(b)	replacing the portion of the Form after the heading "Terms" and 
before the heading "How to submit this form" with the following:
In this form:
"Approved person" means, in respect of a member (Member) of the Investment 
Industry Regulatory Organization of Canada (IIROC), an individual who is a 
partner, director, officer, employee or agent of a Member who is approved by 
IIROC or another Canadian SRO to perform any function required under any 
IIROC or other Canadian SRO by-law, rule, or policy;
"Canadian Investment Manager designation" means the designation earned 
through the Canadian investment manager program prepared and administered 
by CSI Global Education Inc. and so named on the day this Instrument comes 
into force, and every program that preceded that program, or succeeded that 
program, that does not have a significantly reduced scope and content when 
compared to the scope and content of the first-mentioned program;
"CFA Charter" means the charter earned through the Chartered Financial 
Analyst program prepared and administered by the CFA Institute and so named 
on the day this Instrument comes into force, and every program that preceded 
that program, or succeeded that program, that does not have a significantly 
reduced scope and content when compared to the scope and content of the first-
mentioned program;
"Derivatives" means financial instruments, such as futures contracts (including 
exchange traded contracts), futures options and swaps whose market price, 
value or payment obligations are derived from, or based on, one or more 
underlying interests.  Derivatives can be in the form of instruments, agreements 
or securities;
"Major shareholder" and "shareholder" mean a shareholder who, in total, 
directly or indirectly owns voting securities carrying 10 per cent or more of the 
votes carried by all outstanding voting securities;
"Sponsoring firm" means the registered firm where you will carry out your 
duties as a registered or permitted individual; and
"You", "your" and "individual" mean the individual who is seeking 
registration or the individual who is filing this form as a permitted individual 
under securities legislation or derivatives legislation or both.,
(c)	under the heading "NRD format", deleting "You are only required to 
submit one form regardless of the number of registration categories you 
are seeking.", and replacing "securities regulation experience" with 
"securities law experience",
(d)	replacing, in the second paragraph under the heading "Format, other 
than NRD format", "Item" with "item",
(e)	replacing, in the third paragraph under the heading "Format, other 
than NRD format", "securities regulation experience" with "securities 
law experience", and "National Registration Database", with "NRD",
(f)	replacing, in sections 2 and 3 of Item 1, "yes" with "Yes",
(g)	adding the following at the end of Item 2:
3.  Business e-mail address 
     __________________________________________,
(h)	amending section 1 of Item 5 by
(i)	replacing "no" with "No",
(ii)	deleting "only in your principal jurisdiction" in paragraph (b), 
and
(iii)	replacing "," with "." after "in any jurisdiction of Canada",
(i)	amending Item 7 by
(i)	in the first paragraph of section 1, replacing "A post office box 
is not acceptable" with "A post office box is not an acceptable 
address for service", and
(ii)	replacing "E-mail address, if available", at the end of section 1, 
with	"Business e-mail address",
(j)	replacing section 2 of Item 8 with the following:
2.	Student numbers
If you have a student number for a course that you successfully completed with 
one of the following organizations, provide it below:
CSI Global Education: _________________________
IFSE Institute: ________________________________
Institute of Canadian Bankers (ICB): ______________
CFA Institute: ________________________________
Advocis: ____________________________________
RESP Dealers Association of Canada: ________________________________
Other: _________________________________________________________,
(k)	amending section 4 of Item 8 by
(i)	replacing "Not Applicable below" with "N/A",
(ii)	replacing "36 month period" with "36-month period", and
(iii)	replacing "yes" with "Yes",
(l)	replacing Item 9 with the following:
Item 9   Location of employment 
1.	Provide the following information for your new sponsoring firm. If you 
will be working out of more than one business location, provide the following 
information for the business location out of which you will be doing most of 
your business. If you are only filing this form because you are a permitted 
individual and you are not employed by, or acting as agent for, the sponsoring 
firm, select "N/A".
NRD location number: ______________________________________
Unique Identification Number (optional): ________________________
Business location address: ____________________________________ 
(number, street, city, province, territory or state, country, postal code)
Telephone number: (___) ________________________
Fax number: (___) ________________________
N/A	?
2.	If the firm has a foreign head office, and/or you are not a resident of 
Canada, provide the address for the business location in which you will be 
conducting most of your business. If you are only filing this form because you 
are a permitted individual and you are not employed by, or acting as agent for, 
the sponsoring firm, select "N/A".
Business location address _____________________________________
	(number, street, city, province, territory or state, country, postal code)
Telephone number (____) _________________
Fax number (____) _________________
N/A	?
[The following under #3 "Type of business location", #4 and #5 is for a 
Format other than NRD format only]
3.	Type of business location:
? Head office 
? Branch or business location 
? Sub-branch (members of the Mutual Fund Dealers Association of 
Canada only)
4.	Name of supervisor or branch manager: __________________________ 
5.	?	Check here if the mailing address of the business location is the 
same as the business location address provided above. Otherwise, 
complete the following:
Mailing address: _______________________________________________ 
	(number, street, city, province, territory or state, country, postal code),
(m)	replacing Item 10 with the following:
Item 10   Current employment, other business activities, officer positions 
held and directorships
Complete a separate Schedule G for each of your current business and 
employment activities, including employment and business activities with your 
sponsoring firm and any employment and business activities outside your 
sponsoring firm. Also include all officer or director positions and any other 
equivalent positions held, as well as positions of influence. The information 
must be provided
*	whether or not you receive compensation for such services, and
*	whether or not any such position is business related.,
(n)	replacing Item 11 with the following:
Item 11   Previous employment and other activities 
On Schedule H, complete your history of employment and other activities for 
the past 10 years.,
(o)	amending Item 12 by adding a "," after "Schedule I", wherever it 
appears, 
(p)	amending Item 13 as follows:
(i)	Adding "The questions below relate to any jurisdiction of Canada 
and any foreign jurisdiction." after the heading "Item 13   
Regulatory disclosure",
(ii)	deleting "in any province, territory, state or country" wherever 
these words appear, and
(iii)	replacing, in paragraph (c) of section 1, "8(3)" with "8.3",
(q)	replacing Item 14 with the following:
Item 14   Criminal disclosure
The questions below apply to offences committed in any jurisdiction of Canada 
and any foreign jurisdiction.
You must disclose all offences, including:
*	a criminal offence under federal statutes such as the Criminal Code 
(Canada), Income Tax Act (Canada), the Competition Act (Canada), 
Immigration and Refugee Protection Act (Canada) and the Controlled 
Drugs and Substances Act (Canada), even if
o	a record suspension has been ordered under the Criminal Records 
Act (Canada)
o	you have been granted an absolute or conditional discharge under 
the Criminal Code (Canada), and
*	a criminal offence, with respect to questions 14.2 and 14.4, of which you 
or your firm has been found guilty or for which you or your firm have 
participated in the alternative measures program within the previous 
three years, even if a record suspension has been ordered under the 
Criminal Records Act (Canada)
You are not required to disclose:
*	charges for summary conviction offences that have been stayed for six 
months or more,
*	charges for indictable offences that have been stayed for a year or more,
*	offences under the Youth Criminal Justice Act (Canada), and
*	speeding or parking violations. 
Subject to the exceptions above:
1.	Are there any outstanding or stayed charges against you alleging a 
criminal offence that was committed? 
Yes	?	No	?
If "Yes", complete Schedule K, Item 14.1.
2.	Have you ever been found guilty, pleaded no contest to, or been granted 
an absolute or conditional discharge from any criminal offence that was 
committed?
Yes	?	No	?
If "Yes", complete Schedule K, Item 14.2.
3.	To the best of your knowledge, are there any outstanding or stayed 
charges against any firm of which you were, at the time the criminal 
offence was alleged to have taken place, a partner, director, officer or 
major shareholder?
Yes	?	No	?
If "Yes", complete Schedule K, Item 14.3.
4.	To the best of your knowledge, has any firm, when you were a partner, 
officer, director or major shareholder, ever been found guilty, pleaded no 
contest to or been granted an absolute or conditional discharge from a 
criminal offence that was committed?
Yes	?	No 	?
If "Yes", complete Schedule K, Item 14.4.,
(r)	amending Item 15 as follows:
(i)	Adding "The questions below relate to any jurisdiction of Canada 
and any foreign jurisdiction." after the heading "Item 15   Civil 
disclosure", and
(ii)	deleting "in any province, territory, state or country" wherever 
these words appear,
(s)	replacing, in section 2 of Item 16, "$5,000" wherever it appears, with 
"$10,000",
(t)	amending Item 20 as follows:
(i)	in the second sentence of the second paragraph under the 
heading "SROs", replacing "protected by law such as, police" 
with "protected by law such as police", and
(ii)	replacing the first sentence of the last paragraph of Item 20 with 
the following:
You certify that you have discussed the questions in this form, together with 
this Agreement, with an Officer, Supervisor or Branch Manager of your 
sponsoring member firm and, to your knowledge and belief, the authorized 
Officer, Supervisor or Branch Manager was satisfied that you fully understood 
the questions and the terms of this Agreement.,
(u)	replacing Item 21 with the following:
Item 21   Warning
It is an offence under securities legislation and derivatives legislation, 
including commodity futures legislation, to give false or misleading 
information on this form.,
(v)	amending Item 22 as follows:
(i)	adding the following after the last sentence of the first 
paragraph of section 1:
If the business location specified in this form is a residence, I hereby 
give my consent for the regulator or, in Qu‚bec, the securities regulatory 
authority to enter that residence for the administration of securities 
legislation and derivatives legislation, including commodity futures 
legislation.,
(ii)	adding "and the certification above" after "provided me with all 
of the information on this form" in the last paragraph of section 
1, and
(iii)	replacing, in the "Individual" section of "Certification - Format 
other than NRD format", the first paragraph with the following:
By signing below, I certify to the regulator, or in Qu‚bec the securities 
regulatory authority, in each jurisdiction where I am filing or submitting 
this form, either directly or through the principal regulator, that:
*	I have read this form and understand the questions, 
*	all of the information provided on this form is true, and complete, 
and
*	if the business location specified in this form is a residence, I hereby 
give my consent for the regulator or, in Qu‚bec, the securities 
regulatory authority to enter that residence for the administration of 
securities legislation and derivatives legislation, including 
commodity futures legislation.
Signature of individual _________________	      Date _________,
(w)	amending Schedule A by 
(i)	replacing "?" with ":" after "(for example, marriage, divorce, 
court order, commonly used name or nickname)" in Item 1.2 
wherever it occurs,
(ii)	deleting "?" after "(for example, trade name or team name)" in 
Item 1.3 under the heading "Name 1:",
(iii)	replacing "N\A" with "N/A" in Item 1.3 under the heading 
"Name 1:", and
(iv)	adding "N/A ?" after "No ?" in Item 1.3 under the headings 
"Name 2:" and "Name 3:",
(x)	amending Schedule C by
(i)	adding "[  ] permitted individual" between "[  ] Chief 
Compliance Officer" and "[ ] Officer - Specify title:" in 
"Categories common to all jurisdictions under securities 
legislation - Individual categories and permitted activities",
(ii)	replacing "[  ] Floor Trader" with  "[  ] Floor Broker" in 
"Manitoba - Individual categories and permitted activities", and
(iii)	replacing the section for "Qu‚bec" with the following:
Qu‚bec
Firm categories
[  ] Derivatives Dealer
[  ] Derivatives Portfolio Manager
Individual categories and permitted activities
[  ] Derivatives Dealing Representative
[  ] Derivatives Advising Representative
[  ] Derivatives Associate Advising Representative,
(y)	amending Schedule D by replacing "E-mail address" in Item 7.1 with 
"Business e-mail address" ,
(z)	amending Schedule E by replacing the text after the table with the 
following:
If you have listed the CFA Charter in Item 8.1, please indicate by checking 
"Yes" below if you are a current member of the CFA Institute permitted to use 
this charter.
Yes	?	No	?
If "No", please explain why you no longer hold this designation: 
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
If you have listed the Canadian Investment Manager Designation in Item 8.1, 
please indicate by checking "Yes" below if you are currently permitted to use 
this designation.
Yes	?	No	?


If "No", please explain why you no longer hold this designation:
_______________________________________________________________
_______________________________________________________________
______________________________________________________________,
(aa)	amending Item 8.4 of Schedule F by replacing the last paragraph with 
the following:
Indicate the continuing education activities in which you have participated 
during the last 36 months and that are relevant to the category of registration 
you are applying for:,
(ab)	amending Schedule G as follows:
(i)	replacing the first paragraph with the following:
Complete a separate Schedule G for each of your current business and 
employment activities, including employment and business activities with your 
sponsoring firm and any employment and business activities outside your 
sponsoring firm. Also include all officer or director positions and any other 
equivalent positions held, as well as positions of influence. The information 
must be provided
*	whether or not you receive compensation for such services, and
*	whether or not any such position is business related., 
(ii)	deleting "with this firm" after "include details" in the paragraph 
under the heading "3. Description of duties", and
(iii)	adding "." at the end of the sentence in paragraph D. under the 
heading "5. Conflicts of interest",
(ac)	amending Schedule J by replacing, in paragraph (c) of Item 13.1, 
"8(3)" with "8.3",
(ad)	amending Item 14.2 and Item 14.4 of Schedule K by adding "," after 
"discharge from a criminal offence",
(ae)	amending Schedule M by adding "the" after "including why" in Item 
16.2,
(af)	amending Schedule N as follows:
(i)	replacing, in the first paragraph, "Firm name:" with the 
following:
Name of firm (whose business is trading in or advising on securities or 
derivatives, or both):
______________________________________________________, and
(ii)	replacing, in paragraph (g), "if applicable" with "N/A ?" 
wherever it appears, and
(ag)	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) 297-6454

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 Canada)
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 
Financial and Consumer Services 
Commission of New Brunswick / 
Commission des services financiers et 
des services aux consommateurs du 
Nouveau-Brunswick 
Suite 300, 85 Charlotte Street 
Saint John, NB  E2L 2J2 
Attention:  Director of Securities  
Telephone: (506) 658-3060

Newfoundland and Labrador 
Superintendent of Securities, Service 
NL 
Government of Newfoundland and 
Labrador 
P.O. Box 8700 
2nd Floor, West Block 
Confederation Building 
St. John's, NL A1B 4J6 
Attention: Manager of Registrations 
Telephone: (709) 729-5661
Nova Scotia 
Nova Scotia Securities Commission 
Suite 400, 5251 Duke Street 
Halifax, NS B3J 1P3 
Attention: Deputy Director, Capital 
Markets 
Telephone: (902) 424-7768

Northwest Territories 
Government of the Northwest 
Territories 
Department of Justice  
1st Floor Stuart M. Hodgson Building 
5009 - 49th Street 
Yellowknife, NWT X1A 2L9 
Attention: Deputy Superintendent of 
Securities 
Telephone: (867) 920-8984
Nunavut 
Government of Nunavut 
Department of Justice 
P.O. Box 1000 Station 570 
Iqaluit, NU X0A 0H0 
Attention: Deputy Registrar of Securities 
Telephone: (867) 975-6590
Ontario 
Ontario Securities Commission 
22nd Floor 
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 Office 
Department of Community Affairs and 
Attorney General 
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


Saskatchewan 
Financial and Consumer Affairs Authority 
of Saskatchewan 
Suite 601, 1919 Saskatchewan Drive 
Regina, SK S4P 4H2 
Attention: Deputy Director, Capital 
Markets 
Telephone: (306) 787-5871


Yukon 
Government of Yukon 
Superintendent of Securities 
Department of Community Services  
P.O. Box 2703 C-6 
Whitehorse, YT Y1A 2C6 
Attention: Superintendent of Securities 
Telephone: (867) 667-5314
Self-regulatory organization 
Investment Industry Regulatory 
Organization of Canada 
121 King Street West, Suite 2000 
Toronto, Ontario M5H 3T9 
Attention: Privacy Officer 
Telephone: (416) 364-6133 
E-mail: PrivacyOfficer@iiroc.ca.

14.	Form 33-109F5 is amended by
(a) replacing the numbers with bullet points in the first paragraph after the 
heading "GENERAL INSTRUCTIONS",
(b) replacing "[National Registration Database]" with "National Registration 
Database" in paragraph (b) after the heading "How to submit this form",
(c) replacing, in the second paragraph of Item 3, "SROs" with "SRO", and 
"enforce their respective by-laws" with "enforce its by-laws",
(d) replacing Item 4 with the following:
Item 4   Warning
It is an offence under securities legislation and derivatives legislation, 
including commodity futures legislation, to give false or misleading 
information on this form.,
(e)	adding in paragraph 3. of Item5 "National Registration Database" 
after "NI 31-102", and
(f)	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) 297-6454

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 Canada)
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 
Financial and Consumer Services 
Commission of New Brunswick / 
Commission des services financiers et 
des services aux consommateurs du 
Nouveau-Brunswick 
Suite 300, 85 Charlotte Street 
Saint John, NB  E2L 2J2 
Attention:  Director of Securities  
Telephone: (506) 658-3060

Newfoundland and Labrador 
Superintendent of Securities, Service 
NL 
Government of Newfoundland and 
Labrador 
P.O. Box 8700 
2nd Floor, West Block 
Confederation Building 
St. John's, NL A1B 4J6 
Attention: Manager of Registrations 
Telephone: (709) 729-5661
Nova Scotia 
Nova Scotia Securities Commission 
Suite 400, 5251 Duke Street 
Halifax, NS B3J 1P3 
Attention: Deputy Director, Capital 
Markets 
Telephone: (902) 424-7768

Northwest Territories 
Government of the Northwest 
Territories 
Department of Justice  
1st Floor Stuart M. Hodgson Building 
5009 - 49th Street 
Yellowknife, NWT X1A 2L9 
Attention: Deputy Superintendent of 
Securities 
Telephone: (867) 920-8984
Nunavut 
Government of Nunavut 
Department of Justice 
P.O. Box 1000 Station 570 
Iqaluit, NU X0A 0H0 
Attention: Deputy Registrar of Securities 
Telephone: (867) 975-6590
Ontario 
Ontario Securities Commission 
22nd Floor 
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 Office 
Department of Community Affairs and 
Attorney General 
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


Saskatchewan 
Financial and Consumer Affairs Authority 
of Saskatchewan 
Suite 601, 1919 Saskatchewan Drive 
Regina, SK S4P 4H2 
Attention: Deputy Director, Capital 
Markets 
Telephone: (306) 787-5871


Yukon 
Government of Yukon 
Superintendent of Securities 
Department of Community Services  
P.O. Box 2703 C-6 
Whitehorse, YT Y1A 2C6 
Attention: Superintendent of Securities 
Telephone: (867) 667-5314
Self-regulatory organization 
Investment Industry Regulatory 
Organization of Canada 
121 King Street West, Suite 2000 
Toronto, Ontario M5H 3T9 
Attention: Privacy Officer 
Telephone: (416) 364-6133 
E-mail: PrivacyOfficer@iiroc.ca.

15.	Form 33-109F6 is amended by
(a)	replacing "Firm registration" with "Firm Registration" in the title of 
Form 33-109F6,
(b)	adding "In this form:" immediately after the heading "Definitions",
(c)	replacing "Principal Regulator" with "Principal regulator" in the list 
under the heading "Definitions",
(d)	replacing "Submission to Jurisdiction and Appointment of Agent for 
Service" with "Submission to jurisdiction and appointment of agent for 
service" in section 1 of the portion of the Form after the heading 
"Contents of the form",
(e)	replacing section 2 of the portion of the Form after the heading 
"Contents of the form" with the following:
2.	Business plan, policies and procedures manual, and client 
agreements (except in Ontario) (question 3.3),
(f)	replacing, in the penultimate paragraph of the portion of the Form 
after the heading "How to complete and submit the form", "which" 
with "that",
(g)	replacing the last paragraph of the portion of the Form after the 
heading "How to complete and submit the form" with the following:
It is an offence under securities legislation and derivatives legislation, 
including commodity futures legislation, to give false or misleading 
information on this form.,
(h)	deleting the "*" after question "5.5" in the third paragraph of section 
1.3,
(i)	amending section 2.2 as follows:
(i)	adding "location" after "business" in paragraph (a) wherever it 
appears, and
(ii)	 replacing paragraph (b) with the following:
(b)	If a firm is not registered in a jurisdiction of Canada, indicate the 
jurisdiction of Canada in which the firm expects to conduct most 
of its activities that require registration as at the end of its current 
financial year or conducted most of its activities that require 
registration as at the end of its most recently completed financial 
year.,
(j)	replacing "Submission to Jurisdiction and Appointment of Agent for 
Service" with "Submission to jurisdiction and appointment of agent for 
service" in section 2.4,
(k)	replacing sections 2.5 and 2.6 with the following:




A registered 
firm must 
have an 
individual 
registered in 
the category 
of ultimate 
designated 
person.
2.5	Ultimate designated person 
Legal name

Officer title

Telephone number

E-mail address

NRD number, if available

Address
?	Same as firm head office address

Address line 1

Address line 2


City

Province/territory/state
Country

Postal/zip code




A registered 
firm must 
have an 
individual 
registered in 
the category 
of chief 
compliance 
officer.
2.6	Chief compliance officer 
	?	Same as ultimate designated person
Legal name

Officer title

Telephone number

E-mail address

NRD number, if available

Address
?	Same as firm head office address

Address line 1

Address line 2


City

Province/territory/state
Country

Postal/zip code



(l)	replacing the third paragraph of section 3.3 with the following:
Attach the firm's business plan, policies and procedures manual and client 
agreements, including any investment policy statements and investment 
management agreements, except if the regulator in Ontario is the principal 
regulator of the firm seeking registration, unless the regulator in Ontario has 
requested they be provided.,
(m)	adding "." at the end of the second bullet in section 5.1,
(n)	replacing "all jurisdiction" with "all jurisdictions" in the second 
paragraph of Item 5.4,
(o)	adding the following guidance for section 5.6:
This information is required only if the firm is applying for registration in 
Qu‚bec as a mutual fund dealer or as a scholarship plan dealer.,
(p)	replacing the first paragraph of Part 9 with the following:
It is an offence under securities legislation and derivatives legislation, 
including commodity futures legislation, to give false or misleading 
information on this form.,
(q)	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) 297-6454

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 Canada)


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 
Financial and Consumer Services 
Commission of New Brunswick / 
Commission des services financiers et 
des services aux consommateurs du 
Nouveau-Brunswick 
Suite 300, 85 Charlotte Street 
Saint John, NB  E2L 2J2 
Attention:  Director of Securities  
Telephone: (506) 658-3060
Newfoundland and Labrador 
Superintendent of Securities, Service 
NL 
Government of Newfoundland and 
Labrador 
P.O. Box 8700 
2nd Floor, West Block 
Confederation Building 
St. John's, NL A1B 4J6 
Attention: Manager of Registrations 
Telephone: (709) 729-5661
Nova Scotia 
Nova Scotia Securities Commission 
Suite 400, 5251 Duke Street 
Halifax, NS B3J 1P3 
Attention: Deputy Director, Capital 
Markets 
Telephone: (902) 424-7768










Northwest Territories 
Government of the Northwest 
Territories 
Department of Justice  
1st Floor Stuart M. Hodgson Building 
5009 - 49th Street 
Yellowknife, NWT X1A 2L9 
Attention: Deputy Superintendent of 
Securities 
Telephone: (867) 920-8984
Nunavut 
Government of Nunavut 
Department of Justice 
P.O. Box 1000 Station 570 
Iqaluit, NU X0A 0H0 
Attention: Deputy Registrar of Securities 
Telephone: (867) 975-6590
Ontario 
Ontario Securities Commission 
22nd Floor 
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 Office 
Department of Community Affairs and 
Attorney General 
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

Saskatchewan 
Financial and Consumer Affairs Authority 
of Saskatchewan 
Suite 601, 1919 Saskatchewan Drive 
Regina, SK S4P 4H2 
Attention: Deputy Director, Capital 
Markets 
Telephone: (306) 787-5871


Yukon 
Government of Yukon 
Superintendent of Securities 
Department of Community Services  
P.O. Box 2703 C-6 
Whitehorse, YT Y1A 2C6 
Attention: Superintendent of Securities 
Telephone: (867) 667-5314





Self-regulatory organization 
Investment Industry Regulatory 
Organization of Canada 
121 King Street West, Suite 2000 
Toronto, Ontario M5H 3T9 
Attention: Privacy Officer 
Telephone: (416) 364-6133 
E-mail: PrivacyOfficer@iiroc.ca,

(r)	amending Schedule B by replacing "Submission to Jurisdiction and 
Appointment of Agent for Service" with "Submission to jurisdiction and 
appointment of agent for service" in sections 7 and 8, and under the 
heading "Acceptance", wherever these terms appear, and
(s)	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 non-current related 
party debt unless the firm and the 
lender have executed a 
subordination agreement in the 
form set out in Appendix B of 
National Instrument 31-103 
Registration Requirements, 
Exemptions and Ongoing 
Registrant Obligations and the firm 
has delivered a copy of the 
agreement to the regulator or, in 
Qu‚bec, the securities regulatory 
authority. See section 12.2 of 
National Instrument 31-103 
Registration Requirements, 
Exemptions and Ongoing 
Registrant Obligations.




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:
Form 31-103F1 Calculation of Excess Working Capital 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. The firm is required to deliver a 
copy of the executed subordination agreement to the regulator or, in Qu‚bec, the 
securities regulatory authority on the earlier of a) 10 days after the date the agreement 
is executed or b) the date an amount subordinated by the agreement is excluded from 
its calculation of excess working capital on Form 31-103F1 Calculation of Excess 
Working Capital. The firm must notify the regulator or, in Qu‚bec, the securities 
regulatory authority, 10 days before it repays the loan (in whole or in part), or 
terminates the subordination agreement.  See section 12.2 of National Instrument 31-
103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
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) of National 
Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant 
Obligations applies.
Line 9. Market Risk - The amount on this line must be calculated according to the 
instructions set out in Schedule 1 to Form 31-103F1 Calculation of Excess Working 
Capital. A schedule supporting the calculation of any amounts included in Line 9 as 
market risk should be provided to the regulator or, in Qu‚bec, the securities 
regulatory authority in conjunction with the submission of Form 31-103F1 
Calculation of Excess Working Capital.
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 Form 31-103F1 Calculation of Excess Working Capital.

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 Canada Inc. 
or its DRO affiliate, or Standard & Poor's Rating Services (Canada) or its DRO 
affiliate, 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 Investment 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.
Securities of mutual funds qualified by prospectus for sale in the United States of 
America: 5% of the net asset value per security if the fund is registered as an 
investment company under the Investment Companies Act of 1940, as amended from 
time to time, and complies with Rule 2a-7 thereof.
(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)	SIX 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.
(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. 
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..
16.	Form 33-109F7 is amended by
(a)	replacing the first sentence after the heading "GENERAL 
INSTRUCTIONS" with the following:
Complete and submit this form to the relevant regulator(s) or in Qu‚bec, the 
securities regulatory authority, or self-regulatory organization (SRO) if an 
individual has left a sponsoring firm and is seeking to reinstate their 
registration in one or more of the same categories or reinstate their same status 
of permitted individual as before with a sponsoring firm.,
(b)	replacing "end of three months" with "90th day" in section 1 after the 
heading "GENERAL INSTRUCTIONS",
(c)	adding "other than changes to Item 13.3(c)" after "Items 13 (Regulatory 
Disclosure)" in section 2 after the heading "GENERAL 
INSTRUCTIONS",
(d)	in the last paragraph after the heading "Terms", replacing 
"[Registration of Individuals and Review of Permitted Individuals]" 
with "Registration of Individuals and Review of Permitted Individuals" 
and deleting "or elsewhere in the securities legislation of your province 
or territory. Please refer to those definitions",
(e)	adding "with securities law experience" after "legal adviser" in the 
paragraph after the heading "NRD format" and in the third 
paragraph after the heading "Format, other than NRD format",
(f)	replacing "If "yes"" with "If "Yes"" in the last sentence of section 4 of 
Item 1,
(g)	replacing "E-mail address, if available" in section 1 of Item 4 with 
"Business e-mail address",
(h)	replacing Item 5 with the following:
Item 5 	  Location of employment
1.	Provide the following information for your new sponsoring firm. If you 
will be working out of more than one business location, provide the following 
information for the business location out of which you will be doing most of 
your business. If you are only filing this form because you are a permitted 
individual and are not employed by, or acting as agent for, the sponsoring firm, 
select "N/A". 
Unique Identification Number (optional): ___________
NRD location number: __________________________
Business location address: _______________________________________ 
(number, street, city, province, territory or state, country, postal code)
Telephone number: (____)___________  Fax number: (____)  ___________
N/A	?
2.	If the new sponsoring firm has a foreign head office, and/or you are not 
a resident of Canada, provide the address for the business location in 
which you will be conducting most of your business. If you are only 
filing this form because you are a permitted individual and are not 
employed by, or acting as agent for, the sponsoring firm, select "N/A".
Business location address: _______________________________________ 
(number, street, city, province, territory or state, country, postal code)
Telephone number: (____)___________  Fax number: (____)  ___________
N/A	?
[The following under #3 "Type of business location", #4 and #5 is for a Format 
other than NRD format only]
3.	Type of business location:
?   Head office
?   Branch or business location
?   Sub-branch (Mutual Fund Dealers Association members only)
4.	Name of supervisor or branch manager: __________________________
5.	?	Check here if the mailing address of the business location is 
the same as the business location address provided above. 
Otherwise, complete the following:
Mailing address: ________________________________________ 
(number, street, city, province, territory or state, country, postal code),
(i)	replacing Item 7 with the following:
Item 7   Current employment, other business activities, officer positions 
held and directorships
Name of your new sponsoring firm:  _________________________
Complete a separate Schedule D for each of your current business and 
employment activities, including employment and business activities with your 
new sponsoring firm and any employment and business activities outside your 
new sponsoring firm. Also include all officer or director positions and any 
other equivalent positions held, as well as positions of influence. The 
information must be provided
*	whether or not you receive compensation for such services, and
*	whether or not any such position is business related.,
(j)	adding ", other than changes to Item 13.3(c)" after "Regulatory 
disclosure (Item 13" in section 1 of Item 9,
(k)	replacing " 'Reactivation of Registration' " with " "Reactivation of 
Registration" " in the second paragraph of section 2 of Item 9,
(l)	replacing Item 11 with the following:
Item 11   Warning
It is an offence under securities legislation and derivatives legislation, 
including commodity futures legislation, to give false or misleading 
information on this form.,
(m)	 replacing section 1 of Item 12 with the following:
1.	Certification - NRD format:
	I confirm I have discussed the questions in this form with an officer, 
branch manager or supervisor of my sponsoring firm. To the best of my 
knowledge, the officer, branch manager or supervisor was satisfied that I fully 
understood the questions. I will limit my activities to those permitted by my 
category of registration. If the business location specified in this form is a 
residence, I hereby give my consent for the regulator or, in Qu‚bec, the 
securities regulatory authority to enter that residence for the administration of 
securities legislation and derivatives legislation, including commodity futures 
legislation.
?	I am making this submission as agent for the individual. By checking 
this box, I certify that the individual provided me with all of the 
information on this form and the certification above.,
(n)	in section 2 of Item 12, replacing the portion of the Form after the 
heading "Individual" and before the heading "Authorized partner or 
officer of the new sponsoring firm" with the following: 
	By signing below, I certify to the regulator, or in Qu‚bec the securities 
regulatory authority, in each jurisdiction where I am submitting this form, 
either directly or through the principal regulator that:
*	I have read the form and understand the questions, 
*	all of the information provided on this form is true, and complete, and
*	if the business location specified in this form is a residence, I hereby 
give my consent for the regulator or, in Qu‚bec, the securities regulatory 
authority to enter that residence for the administration of securities 
legislation and derivatives legislation, including commodity futures 
legislation.
Signature of individual____________________  Date signed______________ 
(YYYY/MM/DD),
(o)	amending Schedule B as follows:
(i)	adding "[  ] Permitted Individual" between "[  ] Chief 
Compliance Officer" and "[ ] Officer - Specify title:" in 
"Categories common to all jurisdictions under securities 
legislation - Individual categories and permitted activities",
(ii)	replacing "[  ] Floor Trader" with "[  ] Floor Broker" in 
"Manitoba - Individual categories and permitted activities", and
(iii)	replacing the section for "Qu‚bec" with the following:
Qu‚bec
Firm categories
[  ] Derivatives Dealers
[  ] Derivatives Portfolio Manager
Individual categories and permitted activities
[  ] Derivatives Dealing Representative
[  ] Derivatives Advising Representative
[  ] Derivatives Associate Advising Representative,
(p)	amending Schedule C by replacing "E-mail address" in Item 4.1 with 
"Business e-mail address",
(q)	amending Schedule D as follows:
(i)	replacing the first paragraph with the following:
Complete a separate Schedule D for each of your current business and 
employment activities, including employment and business activities 
with your new sponsoring firm and any employment and business 
activities outside your new sponsoring firm. Also include all officer or 
director positions and any other equivalent positions held, as well as 
positions of influence. The information must be provided
*	whether or not you receive compensation for such services, and
*	whether or not any such position is business related., and
(ii)	deleting "with this firm" after "include details" in the paragraph 
under the heading "3. Description of duties",
(iii) 	renumbering paragraph D in section 5 as paragraph E, and
(iv)	adding the following paragraph in section 5:
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.
_________________________________________________________
_________________________________________________________
_________________________________________________________, 
(r)	amending Schedule E by
(i)	replacing the title of the Schedule "Ownership of securities and 
derivatives firms (Item 8)" with "Ownership of securities in 
new sponsoring firm (Item 8)",
(ii)	adding, after "Firm name" in the first paragraph, "(whose 
business is trading in or advising on securities or derivatives, or 
both)", and
(iii)	replacing, in paragraph (g), "if applicable" with "N/A ?" 
wherever it appears, and


(s)	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) 297-6454

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 Canada)
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 
Financial and Consumer Services 
Commission of New Brunswick / 
Commission des services financiers et 
des services aux consommateurs du 
Nouveau-Brunswick 
Suite 300, 85 Charlotte Street 
Saint John, NB  E2L 2J2 
Attention:  Director of Securities  
Telephone: (506) 658-3060



Newfoundland and Labrador 
Superintendent of Securities, Service 
NL 
Government of Newfoundland and 
Labrador 
P.O. Box 8700 
2nd Floor, West Block 
Confederation Building 
St. John's, NL A1B 4J6 
Attention: Manager of Registrations 
Telephone: (709) 729-5661
Nova Scotia 
Nova Scotia Securities Commission 
Suite 400, 5251 Duke Street 
Halifax, NS B3J 1P3 
Attention: Deputy Director, Capital 
Markets 
Telephone: (902) 424-7768

Northwest Territories 
Government of the Northwest 
Territories 
Department of Justice  
1st Floor Stuart M. Hodgson Building 
5009 - 49th Street 
Yellowknife, NWT X1A 2L9 
Attention: Deputy Superintendent of 
Securities 
Telephone: (867) 920-8984
Nunavut 
Government of Nunavut 
Department of Justice 
P.O. Box 1000 Station 570 
Iqaluit, NU X0A 0H0 
Attention: Deputy Registrar of Securities 
Telephone: (867) 975-6590
Ontario 
Ontario Securities Commission 
22nd Floor 
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 Office 
Department of Community Affairs and 
Attorney General 
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





Saskatchewan 
Financial and Consumer Affairs Authority 
of Saskatchewan 
Suite 601, 1919 Saskatchewan Drive 
Regina, SK S4P 4H2 
Attention: Deputy Director, Capital 
Markets 
Telephone: (306) 787-5871


Yukon 
Government of Yukon 
Superintendent of Securities 
Department of Community Services  
P.O. Box 2703 C-6 
Whitehorse, YT Y1A 2C6 
Attention: Superintendent of Securities 
Telephone: (867) 667-5314
Self-regulatory organization 
Investment Industry Regulatory 
Organization of Canada 
121 King Street West, Suite 2000 
Toronto, Ontario M5H 3T9 
Attention: Privacy Officer 
Telephone: (416) 364-6133 
E-mail: PrivacyOfficer@iiroc.ca,


17.	This Instrument comes into force on January 11, 2015.
Alberta Securities Commission
Amendments to National Instrument 52-107 Acceptable Accounting 
Principles and Auditing Standards
(Securities Act)
Made as a rule by the Alberta Securities Commission on October 15, 2014 pursuant to 
sections 223 and 224 of the Securities Act.


Amendments to National Instrument 52-107 Acceptable Accounting Principals 
and Auditing Standards
1.	National Instrument 52-107 Acceptable Accounting Principles and Auditing 
Standards is amended by this Instrument.
2.	Section 2.1 is amended by
(a)	adding, at the end of subsection (1), "that are subject to National 
Instrument 81-106 Investment Fund Continuous Disclosure in respect of 
their reporting requirements as investment funds", and
(b)	replacing, in paragraph (2)(a), "National Instrument 31-103 
Registration Requirements and Exemptions" with "National Instrument 
31-103 Registration Requirements, Exemptions and Ongoing Registrant 
Obligations".
3.	This Instrument comes into force on January 11, 2015.
Service Alberta
Notice of Intent to Dissolve
(Cooperatives Act)
Nanton Seed Cleaning Plant Limited
Notice is hereby given that a Notice of Intent to Dissolve was issued to Nanton Seed 
Cleaning Plant Limited on November 18, 2014.
Dated at Edmonton, Alberta, November 18, 2014.
Mark Seville, Director of Cooperatives (as delegated).
Treasury Board and Finance
Notice of Adjustment to the Minor Injury Amount
(Insurance Act)
Pursuant to the Minor Injury Regulation, the maximum amount awarded for minor 
injuries is adjusted to $4,892 and is applicable to minor injuries caused in motor 
vehicle accidents occurring in Alberta on or after January 1, 2015.
The following appendix sets out the method of calculating the adjustment to the 
minor injury amount.
Dated at Edmonton this 26th day of November, 2014.
Mark Prefontaine 
Superintendent of Insurance.
Ref: Insurance Act 
Minor Injury Regulation 
APPENDIX
The maximum amount recoverable as damages for non-pecuniary losses for all minor 
injuries sustained by a claimant as a result of an accident occurring during the 2015 
calendar year is $4,892.
This amount is based on the annual change in the Alberta Consumer Price Index 
(CPI), and calculated using the following formulas:
(a)	The annual change in the Alberta CPI was calculated to one-tenth of a percentage 
point using the formula X = (A-B) / B where:
X is the annual change in the Alberta CPI;
A is the sum of the 12 individual monthly CPI indexes for the 12 month period 
ending on September 30, 2014; and
B is the sum of the 12 individual monthly CPI indexes for the 12 month period 
ending on September 30, 2013;
(b)	The result in (a) is multiplied by the 2014 minor injury amount and rounded to 
the nearest whole dollar to derive the increase in the minor injury amount for 
2015; and
(c)	The increase in (b) is added to the 2014 minor injury amount and rounded to the 
nearest whole dollar to establish the 2015 minor injury amount.
The following data was used in the calculation:
Month
Alberta  
Consumer Price 
Index
Month
Alberta Consumer 
Price Index
Oct-12
128.0
Oct-13
129.3
Nov-12
127.3
Nov-13
129.5
Dec-12
126.5
Dec-13
129.1
Jan-13
126.5
Jan-14
129.9
Feb-13
127.7
Feb-14
130.8
Mar-13
128.1
Mar-14
133.1
Apr-13
128.7
Apr-14
132.2
May-13
129.5
May-14
132.8
Jun-13
129.8
Jun-14
132.3
Jul-13
129.6
Jul-14
132.9
Aug-13
129.4
Aug-14
132.7
Sep-13
129.5
Sep-14
132.9
Summation (B)
1540.6
Summation (A)
1577.5
2011 basket, monthly (2002=100)

Based on the above, the annual change in the Alberta CPI, rounded to one-tenth of a 
percentage point, is 0.02395 or 2.4 per cent.  The increase in the minor injury amount 
for 2015 is 2.4 per cent of the 2014 minor injury amount of $4,777 rounded to the 
nearest whole dollar, or $115.  Accordingly, the 2015 minor injury amount is set at 
$4,892.
The historical minor injury amounts, reported by effective date, are:
Effective Date Range
Minor Injury Amount
October 1, 2004 to December 31, 2006
$4,000
January 1, 2007 - December 31, 2007
$4,144
January 1, 2008 - December 31, 2008
$4,339
January 1, 2009 - December 31, 2009
$4,504
January 1, 2010 - December 31, 2010
$4,518
January 1, 2011 - December 31, 2011
$4,559
January 1, 2012 - December 31, 2012
$4,641
January 1, 2013 - December 31, 2013
$4,725
January 1, 2014 - December 31, 2014
$4,777
January 1, 2015 - December 31, 2015
$4,892

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 
Investplus Belvedere Finance Corp. on November 24, 2014.
Dated at Calgary, Alberta on November 24, 2014.
Craig L. Bentham, Barrister and Solicitor.
Notice is hereby given that a Certificate of Intent to Dissolve was issued to 
Investplus Belvedere Investments Corp. on November 24, 2014.
Dated at Calgary, Alberta on November 24, 2014.
Craig L. Bentham, Barrister and Solicitor.
Notice is hereby given that a Certificate of Intent to Dissolve was issued to John 
Pickett International Ltd. on November 24, 2014.
Dated at Calgary, Alberta on November 24, 2014.
Notice is hereby given that a Certificate of Intent to Dissolve was issued to 
Seniorscircle.ca Ltd. on November 17, 2014.
Dated at Calgary, Alberta on November 18, 2014.
Michael Strilchuk, Barrister and Solicitor.
Notice is hereby given that SSP Offshore Inc. has, pursuant to s. 212 of the Business 
Corporations Act (Alberta), filed a Statement of Intent to Dissolve with the Registrar 
of Corporations who has issued a Certificate of Intent to Dissolve dated November 
21, 2014.
SSP Offshore Inc. will forthwith, in accordance with the provisions of s. 212 of the 
Business Corporations Act (Alberta), proceed to collect its property and do all acts 
required to liquidate its business and distribute its remaining property to its 
shareholders.
Any enquiries with respect to this notice shall be given to legal counsel for SSP 
Offshore Inc., Ryan Zahara, Barrister and Solicitor, at Blake, Cassels & Graydon 
LLP, 855 - 2 Street SW, Suite 3500, Calgary, Alberta, T2P 4J8; phone: (403) 260-
9600; fax: (780) 260-9700.
Dated at Calgary, Alberta on November 24, 2014.
L. Daniel Wilson, President


Notice of General Meeting
(Companies Act)
Canadian Centre for Energy Information
Canadian Centre for Energy Information is being voluntarily wound up pursuant to 
the Companies Act, R.S.A. 2000, c. C-21. Notice is hereby given that a general 
meeting of Canadian Centre for Energy Information will be held on December 17, 
2014 at 3:00 p.m. at 2100, 350 7th Avenue SW, Calgary, Alberta for the purpose of 
laying before the meeting the account of the winding-up (showing how the winding-
up has been conducted and the property of the company has been disposed of) and 
giving any explanation thereof.
Dated at Calgary, Alberta on November 10, 2014. 
Jeff Gaulin, Liquidator.
Public Sale of Land
(Municipal Government Act)
Town of Wembley
Notice is hereby given that, under the provisions of the Municipal Government Act, 
the Town of Wembley will offer for sale, by public auction, in the Town Office at 
9940 - 101 Street, Wembley, Alberta, on Thursday, March 5, 2015, at 10:00 a.m., the 
following lands:
Lot
Block
Plan
Title Number
24
5
7820853
052439771
12
21
7921749
092026822
The parcels will be offered for sale, subject to a reserve bid and to the reservations 
and conditions contained in the existing certificate of title.
The lands with or without improvements are being offered for sale on an "as is", 
"where is" basis, and the Town of Wembley makes no representation and gives no 
warranty whatsoever as to the adequacy of services, soil conditions, land use 
districting, building development conditions, absence or presence of environmental 
contamination, or the develop ability of the subject land for any intended use of the 
purchaser.
Terms: Cash, Certified Cheque or Bank Draft payable to the Town of Wembley, non-
refundable deposit of 20% of the successful bid at the time of sale with balance of bid 
due within 15 days.  No bid will be accepted where the bidder attempts to attach 
conditions precedent to the sale of any parcel.
The Town of Wembley may, after the public auction, become the owner of any parcel 
of land that is 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.
Lori Parker, 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 
from the covering letter. An electronic submission by email or disk is preferred. 
Email submissions may be sent to the Editor of The Alberta Gazette at 
albertagazette@gov.ab.ca. The number of insertions required should be specified and 
the names of all signing officers typed or printed. Please include name and complete 
contact information of the individual submitting the notice or advertisement.
Proof of Publication: Statutory Declaration is available upon request.
A copy of the page containing the notice or advertisement will be mailed to each 
advertiser without charge.
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
December 31
February 10


January 15
February 25
January 31
March 13


February 14
March 27
February 28
April 10


March 14
April 24
March 31
May 11


April 15
May 26
April 30
June 10


May 15
June 25
May 30
July 10


June 15
July 26
The charges to be paid for the publication of notices, advertisements and documents 
in The Alberta Gazette are:
Notices, advertisements and documents that are 5 or fewer pages	$20.00
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Please add 5% GST to the above prices (registration number R124072513).


PUBLICATIONS
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Alternatives:
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Copies of Alberta legislation and select government publications are available from:
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