jswizzle3737/ontario_laws_and_regs huggingface dataset:
1. (1) Subject to subsection (2), the words and terms used herein that are defined in section 1 of the Act are used in this Regulation as therein defined unless otherwise defined in this Regulation or the context otherwise requires.  R.R.O. 1990, Reg. 90, s. 1 (1). (2) The words and terms used herein that are defined in any Part of the Act are used as therein defined in the sections of this Regulation that relate to the subject-matter of that Part unless otherwise defined in this Regulation or the context otherwise requires.  R.R.O. 1990, Reg. 90, s. 1 (2).
2. Revoked:  O. Reg. 187/05, s. 1. Execution and Certification of Documents
3. (1) Except where otherwise provided in the Act or this Regulation, every document required or permitted to be filed with the Commission by an individual that is required to be signed or certified shall be manually signed and shall include below the signature the name of the individual in typewritten or printed form.  R.R.O. 1990, Reg. 90, s. 3 (1). (2) Subject to subsection (3), every document required or permitted to be filed with the Commission by a person, other than an individual, or company that is required to be signed or certified shall be manually signed by an officer or director of the person or company or, subject to subsection (4), by the attorney or agent of the person or company and shall include below the signature the name of the officer, director, attorney or agent in typewritten or printed form.  R.R.O. 1990, Reg. 90, s. 3 (2). (3) Where a partner signs or certifies a document required or permitted to be filed with the Commission on behalf of a professional partnership, the partner is not required to sign his or her name but if an individual other than a partner signs or certifies, the individual shall sign his or her name manually and the document shall include below the signature the name of the individual in typewritten or printed form.  R.R.O. 1990, Reg. 90, s. 3 (3). (4) Where a document required or permitted to be filed with the Commission by any person or company has been executed by an attorney or agent of the person or company, a duly completed power of attorney or document of authority authorizing the signing of the document shall be filed with the document unless the Director permits the filing of the document without the power of attorney or document of authority.  R.R.O. 1990, Reg. 90, s. 3 (4).
4. Revoked:  O. Reg. 490/10, s. 1. PART I   INVESTIGATIONS
5. The following practices and procedures apply to investigations conducted under the Act: 1. Every summons issued by a person under subsection 7 (4) or section 9 of the Act shall be served personally on the individual summoned who shall be paid the like fees and allowances for attendance before the person as are paid for the attendance of a witness summoned to attend before the Superior Court of Justice. 2. Every summons to a witness to appear before a person appointed to make an investigation under section 7 or 9 of the Act shall be in Form 1. 3. The service of a summons on a witness, the payment or tender of fees and allowances to the witness and the service of a notice on a witness may be proved by an affidavit in Form 2.  R.R.O. 1990, Reg. 90, s. 5. PART II   CONDITIONS OF RECOGNITION OF SELF REGULATORY BODIES
6. No association or organization shall be eligible for recognition as a self regulatory body under section 15 of the Act unless it has passed by-laws or regulations that impose requirements and conditions, applicable to its members who are dealers or advisers, that are deemed by the Commission to be substantially equivalent to the applicable requirements and conditions of registration set out in Part III.  R.R.O. 1990, Reg. 90, s. 6. PART III   REGISTRATION Interpretation
8. (1) Revoked:  O. Reg. 321/98, s. 2. (2) Every registrant who is an adviser shall elect to be classified into one or more of the following categories: 1. Commodity trading adviser, but only a person or company that holds himself, herself or itself out as engaging in the business of advising others either directly or through publications or writings as to trading in contracts but that does not purport to design such advice to accord with the financial objectives of specific customers, or intends so to act, may elect to be classified in this category. 2. Commodity trading counsel, but only a person or company that engages in or holds himself, herself or itself out as engaging in the business of advising others as to trading in specific contracts or that is primarily engaged in giving continuous advice as to trading in contracts on the basis of the particular objectives of each customer, or intends so to act, may elect to be classified in this category. 3. Commodity trading manager, but only a person or company that has elected to be classified as a commodity trading counsel and that engages in or holds himself, herself or itself out as engaging in the business of managing trading in contracts for customers through discretionary authority granted by one or more customers, or intends so to act, may elect to be classified in this category.  R.R.O. 1990, Reg. 90, s. 8 (2). Conditions of Registration — General
9. (1) No registration or renewal of registration shall be granted unless the applicant has complied with the applicable requirements of this Part at the time of the granting of the registration or renewal of registration.  R.R.O. 1990, Reg. 90, s. 9 (1). (2) Each registrant shall comply with the applicable requirements of this Part and the failure to do so shall be considered by the Commission in any proceeding under section 24 of the Act.  R.R.O. 1990, Reg. 90, s. 9 (2). (3) No registrant or partner, officer or associate of a registrant shall have a direct or indirect interest in any other registrant without the approval of the Director.  R.R.O. 1990, Reg. 90, s. 9 (3). Futures Commission Merchants conditions of registration — membership on self-regulatory body or exchange
10. No registration or renewal of registration shall be granted to an applicant for registration as a futures commission merchant unless, (a) the applicant is a corporation incorporated under the laws of Canada or of a province of Canada or is a partnership or limited partnership formed under the laws of a province of Canada; and (b) the applicant is, (i) a member in good standing of a self-regulatory body recognized under section 15 of the Act, or (ii) a dealer member in good standing of a commodity futures exchange registered under section 19 of the Act.  O. Reg. 321/98, s. 3. conditions of registration — minimum personnel
11. (1) Subject to subsection (2), every futures commission merchant shall have available to serve customers not less than, (a) two individuals, (i) each of whom is registered as a partner or officer of the dealer or as a salesperson, or (ii) one of whom is registered as a partner or officer of the dealer or as a salesperson and one of whom is the individual responsible for discharging the obligations of a person or company registered as a partner of the dealer; and (b) either of, (i) a third individual as is referred to in clause (a), or (ii) an employee of the dealer authorized by an individual referred to in clause (a) to accept customers’ unsolicited instructions in his or her absence and designated by the Director under subsection 22 (3) of the Act as non-trading, but the dealer need only make available two of such individuals at any time in normal circumstances and during usual business hours.  R.R.O. 1990, Reg. 90, s. 11 (1); O. Reg. 321/98, s. 4 (1). (2) The Director may exempt, subject to such terms and conditions as the Director may impose, a futures commission merchant from the requirement of subsection (1) where the Director is satisfied that adequate service will be available to the customers of the dealer although fewer individuals than are required under subsection (1) are available to serve customers.  R.R.O. 1990, Reg. 90, s. 11 (2); O. Reg. 321/98, s. 4 (2).
12. Revoked:  O. Reg. 321/98, s. 5.
13. Revoked:  O. Reg. 321/98, s. 5. Futures Commission Merchants and Advisers conditions of registration — capital requirement
15. (1) Every adviser that is not a member in good standing of a self-regulatory body recognized under section 15 of the Act or of a commodity futures exchange registered under section 19 of the Act shall deliver to the Commission within 90 days after the end of the adviser’s financial year a copy of the adviser’s audited financial statement for the financial year prepared in accordance with generally accepted accounting principles.  O. Reg. 321/98, s. 7. (2) Every financial statement required to be delivered under subsection (1) shall include, (a) a statement of comprehensive income, a statement of changes in equity, and a statement of cashflows, each for the financial year; and (b) a statement of financial position as at the end of the financial year signed by one director of the registrant.  R.R.O. 1990, Reg. 90, s. 15 (2); O. Reg. 490/10, s. 3 (1, 2). (3) The financial statement required by subsection (1) shall be audited in accordance with generally accepted auditing standards.  R.R.O. 1990, Reg. 90, s. 15 (3). (4), (5) Revoked:  O. Reg. 490/10, s. 3 (3). (6) The financial statements required by this section shall be reported upon by a person, acceptable to the Commission, who is the auditor of the registrant or is an accountant eligible for appointment as the auditor.  R.R.O. 1990, Reg. 90, s. 15 (6).
16. Every registrant shall, if the Commission at any time requests, enter into a subordination agreement in the form prescribed by the Commission.  R.R.O. 1990, Reg. 90, s. 16; O. Reg. 321/98, s. 8.
17. Every futures commission merchant that is not a member in good standing of a self-regulatory body recognized by the Commission under section 15 of the Act shall deliver to the Commission within fifteen business days of the end of each month a monthly financial and position report in such form as is prescribed by the published requirements of the Commission.  R.R.O. 1990, Reg. 90, s. 17; O. Reg. 321/98, s. 9.
18. (1) Every registrant that is not a member in good standing of a self-regulatory body recognized by the Commission under section 15 of the Act shall issue a direction to an auditor instructing the auditor to conduct any audit requested by the Commission or the Director during the registrant’s registration or renewal of registration and shall deliver a copy of the direction to the Commission, (a) with the registrant’s application for registration; and (b) immediately after the registrant changes auditors.  R.R.O. 1990, Reg. 90, s. 18 (1); O. Reg. 321/98, s. 10. (2) Where the Commission or the Director requests an auditor to conduct an audit of the financial affairs of a registrant in accordance with a direction referred to in subsection (1), all fees related to the audit shall be paid by the registrant.  R.R.O. 1990, Reg. 90, s. 18 (2).
19. (1) Every audit required under section 18 of the Act shall relate to the affairs of the registrant and shall be performed in accordance with generally accepted auditing standards and the audit requirements published by the Commission.  R.R.O. 1990, Reg. 90, s. 19 (1). (2) Every report of an auditor required under section 18 of the Act shall be prepared in accordance with generally accepted auditing standards.  R.R.O. 1990, Reg. 90, s. 19 (2). (3) No registrant shall withhold, destroy or conceal any information or documents or otherwise fail to cooperate with a reasonable request made by an auditor of a registrant in the course of an audit required under section 18 of the Act.  R.R.O. 1990, Reg. 90, s. 19 (3). conditions of registration — insurance
20. (1) Except where the Director is satisfied in a particular case that reduced or no coverage would not be prejudicial to the public interest, every futures commission merchant shall maintain insurance by means of, (a) a broker’s blanket bond with trading losses coverage; or (b) a comprehensive dishonesty, disappearance and destruction policy with trading losses coverage, on terms acceptable to the Director, in an amount of not less than $200,000, or such larger amount as is indicated to be necessary by the statement referred to in section 21.  R.R.O. 1990, Reg. 90, s. 20 (1). (2) Revoked:  O. Reg. 321/98, s. 11. (3) Except where the Director is satisfied in a particular case that reduced or no coverage would not be prejudicial to the public interest, every adviser shall maintain insurance on terms acceptable to the Director in an amount of not less than $10,000 or such larger amount as is indicated to be necessary by the statement referred to in section 21.  R.R.O. 1990, Reg. 90, s. 20 (3).
21. (1) Except for members of a self-regulatory body recognized by the Commission under section 15 of the Act, every person or company applying for registration or renewal of registration as a dealer or adviser shall deliver to the Director with the application a certified statement that full consideration has been given by the directors of the dealer or adviser to the amount of insurance necessary to cover insurable risks in the business of the applicant and that either, (a) the minimum amount of coverage required by this Regulation is sufficient; or (b) the minimum amount of coverage required by this Regulation is not sufficient but that an indicated amount of coverage would be sufficient.  R.R.O. 1990, Reg. 90, s. 21 (1); O. Reg. 321/98, s. 12. (2) No registration or renewal of registration shall be granted where in the opinion of the Director the minimum amount of insurance required by this Regulation or, where a larger amount is indicated in a certified statement referred to in subsection (1), the amount stated in the statement is not sufficient.  R.R.O. 1990, Reg. 90, s. 21 (2).
22. Every registrant shall forthwith notify the Commission in writing of, (a) any change in; or (b) any claim, exceeding the lesser of $25,000 or 5 per cent of the minimum free capital that is required to be maintained under section 14, made under, the provisions of any insurance policy maintained pursuant to the requirements of this Part.  R.R.O. 1990, Reg. 90, s. 22. Futures Commission Merchants conditions of registration — compensation fund
23. Every registered futures commission merchant shall participate in, (a) a compensation fund that a self-regulatory body recognized under section 15 of the Act or a commodity futures exchange registered under section 19 of the Act participates in; (b) a compensation fund established by a self-regulatory body recognized under section 15 of the Act or a commodity futures exchange registered under section 19 of the Act; or (c) a contingency trust fund established by a trust corporation registered under the Loan and Trust Corporations Act.  O. Reg. 321/98, s. 13. Futures Commission Merchants and Advisers conditions of registration — record keeping
25. Unless otherwise required by applicable legislation to be maintained for a longer period of time, (a) documents relating to unexecuted orders or instructions as prescribed by paragraph 6 of subsection 24 (3); (b) confirmations as prescribed by sections 42 and 45 of the Act; (c) statements of purchase and sale as prescribed by section 43 of the Act; and (d) monthly statements as prescribed by section 44 of the Act, shall be maintained for a period of at least two years, and (e) documents relating to executed orders or instructions as prescribed in paragraph 6 of subsection 24 (3) shall be maintained for a period of at least six years and shall be retained in a readily accessible location for the first two years of that six-year period.  R.R.O. 1990, Reg. 90, s. 25.
26. (1) Subject to subsection (2), every registrant shall maintain the situs of the registrant’s books and records in Ontario.  R.R.O. 1990, Reg. 90, s. 26 (1). (2) Where the head office of the registrant is not in Ontario, the registrant shall maintain in Ontario such books and records as are necessary to record properly the registrant’s business transactions and financial affairs in Ontario.  R.R.O. 1990, Reg. 90, s. 26 (2). conditions of registration — new accounts, supervision and procedures
27. (1) No dealer or adviser shall be granted registration or renewal of registration unless the dealer or adviser has established a procedure to supervise the conduct of the dealer’s or adviser’s business and has submitted it to, and has had the procedure approved by, the Director.  R.R.O. 1990, Reg. 90, s. 27 (1); O. Reg. 321/98, s. 15. (2) The procedure required by subsection (1) shall be set out in writing and shall relate to, at least, (a) the acceptance of new accounts; (b) the review and endorsement of transactions; (c) the regular review of correspondence; (d) the regular review of each client’s account; (e) the receipt and control of clients’ money, securities and property, including the authorization, allocation and delivery of clients’ securities to deposit institutions as collateral for a loan; (f) the investigation of individuals prior to sponsoring applications for registration as a salesperson of a registered dealer or as a partner or officer of a registered dealer or as a partner or officer of a registered adviser, as the case may be; (g) the requirements relating to discretionary accounts, if any, including minimum equity levels and prompt approval by a designated partner or officer of each order and frequent review of the account; (h) the policy followed with respect to allocation of executed orders among component accounts within omnibus accounts; (i) the operation and review of firm trading accounts; and (j) the review of the supervisory procedure.  R.R.O. 1990, Reg. 90, s. 27 (2). (3) The names and offices of the individuals responsible for the procedure required by subsection (1) shall be filed with the Director on submission of the procedure and thereafter any changes in such names and offices shall be filed with the Director forthwith.  R.R.O. 1990, Reg. 90, s. 27 (3). (4) Every dealer and adviser shall forthwith notify the Director in writing of any material change in the procedure required by subsection (1) to supervise the conduct of the dealer’s or adviser’s business.  R.R.O. 1990, Reg. 90, s. 27 (4). (5) Every dealer and adviser shall comply in the procedure to supervise the conduct of the dealer’s or adviser’s business that has been submitted to the Director.  R.R.O. 1990, Reg. 90, s. 27 (5). (6) This section does not apply to registrants who are members of a self-regulatory body recognized by the Commission under section 15 of the Act.  R.R.O. 1990, Reg. 90, s. 27 (6).
29. (1) In this section, “responsible person” means a commodity trading manager and every individual who is a partner, director or officer of a commodity trading manager together with every affiliate of a commodity trading manager and every individual who is a director, officer or employee of such affiliate or who is an employee of the commodity trading manager, if the affiliate or the individual participates in the formulation of, or has access prior to implementation to, trading decisions made on behalf of or the advice given to the client of the commodity trading manager.  R.R.O. 1990, Reg. 90, s. 29 (1). (2) Every commodity trading counsel shall maintain standards directed to ensuring fairness in the allocation of trading opportunities among the commodity trading counsel’s customers and a copy of the policies established shall be furnished to each customer and filed with the Commission.  R.R.O. 1990, Reg. 90, s. 29 (2). (3) Every commodity trading counsel shall charge clients directly for services and such charge may be based upon the dollar value of the client’s portfolio, but not on the value or volume of the transactions initiated for the client and, except with the written agreement of the client, shall not be contingent upon profits or performance.  R.R.O. 1990, Reg. 90, s. 29 (3). (4) Every commodity trading manager shall obtain an undertaking from every responsible person not to trade for his, her or its account, as the case may be, or knowingly permit or arrange for any associate to trade, in reliance upon information as to trades made or to be made for the account of a client of the commodity trading manager and the commodity trading manager shall establish and maintain procedures designed to disclose when a responsible person or an associate of a responsible person has contravened the undertaking.  R.R.O. 1990, Reg. 90, s. 29 (4). (5) Where there has been a material change in the ownership or control of a commodity trading counsel or where it is proposed that a commodity trading counsel sell or assign the account of a customer in whole or in part to another registrant, the commodity trading counsel shall, prior to such sale or assignment or immediately after such material change, as the case may be, give a written explanation to the customer of the proposal or change and the commodity trading counsel shall inform the customer of the customer’s right to withdraw the customer’s account.  R.R.O. 1990, Reg. 90, s. 29 (5).
30. (1) No futures commission merchant shall effect trades on the futures commission merchant’s own behalf or for any partner, officer, director or employee of the futures commission merchant or any associate of such persons through an omnibus account maintained for customers other than partners, officers, directors or employees of the futures commission merchant or any associate of such persons.  R.R.O. 1990, Reg. 90, s. 30 (1). (2) No futures commission merchant shall effect trades for non-discretionary accounts through an omnibus account maintained for discretionary accounts.  R.R.O. 1990, Reg. 90, s. 30 (2). (3) Every futures commission merchant shall require from each of the futures commission merchant’s customers for whom trades are effected through an omnibus account not less than that amount of margin that would be required from such customers if their trades were effected through fully disclosed accounts.  R.R.O. 1990, Reg. 90, s. 30 (3).
31. (1) No registered dealer shall effect trades for a customer through a discretionary account without having secured from the customer prior written authorization defining the extent of the discretionary authority which authority shall, (a) subject to subsection (2), have a term of no more than twelve months; (b) not be renewable except in writing; and (c) be terminable on specified notice by either party.  R.R.O. 1990, Reg. 90, s. 31 (1). (2) The prior written authorization referred to in subsection (1) may be of a term longer than twelve months where other arrangements, acceptable to the Director, to ensure the customer’s cognizance that the authorization continues in force are followed.  R.R.O. 1990, Reg. 90, s. 31 (2).
32. No registered dealer shall accept securities as margin except those bonds, debentures or other evidences of indebtedness referred to in subsection 35 (3).  R.R.O. 1990, Reg. 90, s. 32.
33. (1) Where a registrant maintains a commodity futures account and a securities account for the same customer and the commodity futures account contains an amount of money, securities, property, proceeds and funds in excess of the amount of margin required to be held in the account under section 41 of the Act and the securities account contains a debit balance of $5,000 or more, the registrant shall transfer to the securities account as much of the excess amount in the commodity futures account as is necessary to eliminate or, if the excess amount is less than the debit balance amount, to reduce to the greatest extent possible the debit balance in the securities account.  R.R.O. 1990, Reg. 90, s. 33 (1). (2) Subsection (1) does not apply to a registrant in respect of a customer’s commodity futures and securities accounts where the customer has directed the registrant, in writing or orally, if subsequently confirmed in writing, (a) to transfer an excess amount less than the excess amount otherwise required to be transferred under that subsection; or (b) not to transfer any excess amount, from the commodity futures account to the securities account.  R.R.O. 1990, Reg. 90, s. 33 (2). (3) In this section, “securities account” means an account on which a customer is charged interest when there is a debit balance in the account.  R.R.O. 1990, Reg. 90, s. 33 (3).
34. A registrant who maintains a commodity futures account and a securities account for the same customer may make a transfer of any amount of money, securities, property, proceeds and funds in the commodity futures account in excess of the amount of margin required to be held in the account under section 41 of the Act from the commodity futures account to the securities account of the customer if, (a) the transfer is made in accordance with a written agreement between the registrant and the customer; and (b) the transfer is not a transfer referred to in section 33.  R.R.O. 1990, Reg. 90, s. 34. Futures Commission Merchants conditions of registration — segregation of customers’ money, securities and property
35. (1) Subject to subsection (2), the segregation of money, securities, property, proceeds or funds required by section 46 of the Act may be satisfied by the deposit of such money, securities, property, proceeds or funds with a registered futures commission merchant or a clearing member of a commodity futures exchange recognized or registered by the Commission or designated by the Commodity Futures Trading Commission as a contract market under the Commodity Exchange Act (U.S.) to margin, guarantee or secure the trades or contracts of the customers of a registered dealer.  R.R.O. 1990, Reg. 90, s. 35 (1). (2) All money, securities, property, proceeds or funds segregated for the benefit of customers under section 46 of the Act, when deposited by a registered dealer with a deposit institution or with another dealer shall be deposited under an account name that clearly shows that they are customers’ money, securities, property, proceeds or funds.  R.R.O. 1990, Reg. 90, s. 35 (2); O. Reg. 321/98, s. 16 (1). (3) No registered dealer shall invest money, proceeds or funds segregated for the benefit of customers under section 46 of the Act except in bonds, debentures, or other evidences of indebtedness, (a) of or guaranteed by the Government of Canada or any province of Canada or by the Government of the United States of America or any state thereof; (b) of or guaranteed by a bank listed in Schedule I or II to the Bank Act (Canada), a trust or loan corporation registered under the Loan and Trust Corporations Act, an insurance company licensed under the Insurance Act or a credit union within the meaning of the Credit Unions and Caisses Populaires Act, 2020; or (c) of or guaranteed by a bank which is a member of the Federal Reserve Board in the United States of America, and maturing not more than one year from the date of purchase.  R.R.O. 1990, Reg. 90, s. 35 (3); O. Reg. 321/98, s. 16 (2); O. Reg. 579/17, s. 1; O. Reg. 117/22, s. 2. (4) Any investment of money, proceeds or funds under subsection (3) shall be made through an account or accounts maintained under subsection (1) and proceeds from the sale of such securities shall be redeposited in such account or accounts.  R.R.O. 1990, Reg. 90, s. 35 (4). (5) Securities purchased under subsection (3), when deposited by a registered dealer with a deposit institution, with another dealer or with a dealer registered under the Securities Act shall be deposited under an account name that clearly shows that they are customers’ securities.  R.R.O. 1990, Reg. 90, s. 35 (5). (6) Any securities purchased under subsection (3) shall be included in the registered dealer’s books and records at values not more than the close of market on the last preceding trading day.  R.R.O. 1990, Reg. 90, s. 35 (6).
36. Every written agreement referred to in subsection 46 (2) of the Act shall, as it relates to the pledge of a customer’s securities or property with a dealer for the purpose of trading in contracts, be in Form 4.  R.R.O. 1990, Reg. 90, s. 36. Futures Commission Merchants and Advisers conditions of registration — proficiency requirements
38. (1) Subject to subsection (2), no dealer shall be granted registration unless each individual responsible for supervising the commodity business of that dealer has successfully completed the Commodity Supervisors’ Examination.  R.R.O. 1990, Reg. 90, s. 38 (1); O. Reg. 321/98, s. 18. (2) The Director may exempt, subject to such terms and conditions as the Director may impose, a dealer from the requirements of subsection (1) where in the Director’s opinion each individual responsible for supervising the commodity futures business of that dealer has the educational qualifications and experience that are equivalent to those required under subsection (1) and it would not be prejudicial to the public interest to do so.  R.R.O. 1990, Reg. 90, s. 38 (2).
39. Revoked:  O. Reg. 17/03, s. 1. Renewal of Registration
40. (1) Subject to subsections (2) and (2.1), every registration and renewal of registration expires at the end of the day preceding the first anniversary of the granting of the registration or renewal of registration, as the case may be.  R.R.O. 1990, Reg. 90, s. 40 (1); O. Reg. 248/92, s. 1 (1). (2) The registration or renewal of registration of every salesperson, floor trader, partner and officer of a registered dealer expires at the same time as the registration or renewal of registration of the registered dealer.  R.R.O. 1990, Reg. 90, s. 40 (2). (2.1) In the event of an amalgamation or merger of two or more registrants, the registration or renewal of registration of the successor registrant expires at the end of the day preceding the first anniversary of the latest of the dates on which registration or renewal of registration was granted to each of the predecessor registrants.  O. Reg. 248/92, s. 1 (2). (3) Every application for renewal of registration shall be filed no later than thirty days prior to the date on which the registration or renewal of registration expires.  R.R.O. 1990, Reg. 90, s. 40 (3).
41. (1) An applicant for renewal of registration as a dealer or adviser shall complete and execute Form 9 or, where the applicant is registered under the Securities Act, shall file a letter with the Director requesting renewal of registration under this Act.  R.R.O. 1990, Reg. 90, s. 41 (1). (2) An applicant for renewal of registration as a salesperson or as a partner or officer of a registered dealer or adviser shall complete and execute Form 10 or, where the applicant is registered under the Securities Act, shall file a letter with the Director requesting renewal of registration under this Act.  R.R.O. 1990, Reg. 90, s. 41 (2). Examination of Registrants
42. Every notice to submit to an examination under section 28 of the Act shall be in Form 11.  R.R.O. 1990, Reg. 90, s. 42. Amendments to Registration
43. Upon receipt and review of a notice to the Director under Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information, the Director may require an application for amendment of registration prepared in accordance with Form 12 or 13.  O. Reg. 17/03, s. 2. Exemption from Registration Requirements
45. Every statement furnished under section 40 of the Act to a prospective customer by a registered dealer or registered adviser shall be in, (a) Form 14 where the prospective customer contemplates trades in commodity futures contracts; or (b) Form 15 where the prospective customer contemplates trades in commodity futures options.  R.R.O. 1990, Reg. 90, s. 45. PART V   ENFORCEMENT Endorsement of Warrants