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Form 1A - Application Letter

This is the application letter used by a new Issuer to apply to have its securities listed on the Exchange. Current as of March 2020.

Form 1B - Listing Application

This application must be submitted to the Exchange in printed form with the application fee and the documents listed in Appendix A to this form.

Form 2A - Listing Statement

The Listing Statement must be used for all initial applications for Listing and for Issuers resulting from a fundamental change.

Form 2B - Listing Summary

This form summarizes the Issuers Listing Statement. The form also functions as an opportunity for Issuers to make corrections or amendments to any previous statements which they may have submitted at an earlier date.

Form 3 - Personal Information Form Part 1

Completed by every individual who, if the securities of the Applicant described herein are accepted for listings on the Exchange, will at the time of listing be a Related Person (as defined in CSE Policy 1) of the Applicant Issuer. All applicants regardless of citizenship/residency are required to submit two pieces of ID.

Please see CRV instructions (Part II) for more detail.

Form 3 - Personal Information Form Part 2

This police record check must be sent in completed with the Personal Information Form Part 1 (Form 3).  This requirement applies only to current and past residents of Canada.  ​ Individuals residing outside of Canada will receive email instructions following submission of a Form 3.

PDF icon CRV Instructions Jan 2020.pdf

Form 4 - Listing Agreement

The Issuer shall, and shall cause its Related Persons, employees, agents, and consultants to comply, be bound by and observe all existing regulations, by-laws, rules and policies of the Exchange and all amendments and additions which may hereafter be made.

Form 5 - Quarterly Listing Statement

This Statement must be posted on or before the day on which the Issuer’s unaudited interim financial statements are to be filed under the Securities Act, or, if no interim statements are required to be filed … download for further information.

Form 6 - Certificate of Compliance

The Issuer certifies that the Issuer is in compliance with the requirements of applicable securities legislation and all Exchange Requirements.

Form 7 - Monthly Progress Report

This report is part of the Exchange's enhanced disclosure regime and is not intended to replace the Issuer’s obligation to separately report material information forthwith upon the information becoming known to management.

Form 8 - Notice of Prospectus Offering

This document requires a full description of securities to be issued: Class; Number; Price per security; Voting rights, etc. Also, details must be provided of the net proceeds to the Issuer – per security and aggregate proceeds.

Form 9 - Notice Of Issuance Or Proposed Issuance Of Listed Securities

This Form is for a proposed issuance of listed securities, or securities convertible or exchangeable into listed securities. The Form is used to disclose details of Private Placement financing, or a transaction involving the issuance of shares. The disclosure will enable a reader to appreciate the significance of the transaction without reference to other material.

Form 10 - Notice of Proposed Transaction

Provide details of the transaction including the date, description and location of assets, if applicable, parties to and type of agreement (eg: sale, option, license, contract for Investor Relations Activities etc.) and relationship to the Issuer.

Form 11 - Notice of Proposed Stock Options

This form specifically requires information such as: New Options Granted; Date of Grant; Name of Optionee; Position (Director/Officer/Employee/Consultant/Management) Company Insider? Number of Optioned Shares, etc. Download for more information.

Form 12 - Notice of Proposed Consolidation or Reclassification

For reporting a proposed reclassification, which is any change to the terms of a listed security other than a stock split or dividend, this form provides full details of the reclassification; Number of securities outstanding and reserved, etc.

Form 13 - Amendment of Warrant Terms

Pursuant to Policy 6 - Distributions, a Form 13 must be filed prior to the amendment of the terms of any share purchase warrants.

CSE Dealer Application and Agreement

CSE Request to Add Trader

Market Maker Application

CSE Approved Traders may apply to become a Market Maker. Simply download the PDF form and send the completed document by email to [email protected] or fax to 416-572-4160 attention CSE Market Operations. A separate market maker form must be filled out for each security. Applications will be processed within 24 hours. There may be more than one market maker on a CSE listed security.

CSE Decryption Key Release

CSE dealers may wish to authorize a vendor to receive decryption keys that enable them to access private content pertaining to their trading activity. The CSE requires a letter of authorization from the dealer before releasing the decryption keys.

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