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Issuer Forms

CNSX - Canadian National Stock Exchange was designed with small-cap issuers in mind; one of those considerations is a simple, yet comprehensive, application process.

For public companies seeking to list on the Exchange, Forms 1-4 must be completed and submitted with a cheque for $2000 plus tax. The balance of $10,000 plus tax must be paid prior to the listing date. Forms 5, 6, and 7 are required to maintain ongoing CNSX Issuer Disclosure requirements. Forms 8-12 are specifically for corporate transactions.



Please contact Radhika Ramkarran, or call (416) 572-2000, ext. 2435, for more information.


Please contact Listings@CNSX.ca to request forms in MS Word format.

Related Downloadable Files
Adobe Acrobat Form 10 - Notice of Proposed Transaction
[96,432 bytes]
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.
Adobe Acrobat Form 11 - Notice of Proposed Stock Option
[80,977 bytes]
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.
Adobe Acrobat FORM 12-Notice Of Proposed Stock Consolidation
[71,079 bytes]
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.
Adobe Acrobat Form 13 - Amendment of Warrant Terms
[97,577 bytes]
Pursuant to Policy 6 - Distributions, a Form 13 must be filed prior to the amendment of the terms of any share purchase warrants.
Adobe Acrobat FORM 1A - Application Letter
[63,588 bytes]
This is the application letter used by a new Issuer to apply to have its securities listed on CNSX Markets Inc.
Adobe Acrobat Form 1B - Listing Application
[124,319 bytes]
This application must be submitted to CNSX in printed form with the application fee and the documents listed in Appendix A located at the end of this document form.
Adobe Acrobat Form 2A - Listing Statement
[286,768 bytes]
This Listing Statement must be used for all initial applications for Listing and for Issuers resulting from a fundamental change. CNSX requires prospectus level disclosure in the Listing Statement and can require additional disclosure.
Adobe Acrobat Form 2B - Listing Summary
[67,210 bytes]
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.
Adobe Acrobat Form 3 - Personal Information Form
[194,776 bytes]
Completed by every individual who, if the securities of the Applicant described herein are accepted for listings on CNSX, will at the time of listing be a Related Person (as defined in CNSX Policy 1) of the Applicant Issuer–find out more about Personal Information disclosure.
Adobe Acrobat Form 4 - Listing Agreement
[65,921 bytes]
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 CNSX and all amendments and additions which may hereafter be made.
Adobe Acrobat Form 5 - Quarterly Listing Statement
[110,833 bytes]
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.
Adobe Acrobat Form 6 - Certificate of Compliance
[69,040 bytes]
The Issuer certifies to CNSX that the Issuer is in compliance with the requirements of applicable securities legislation and all CNSX Requirements.
Adobe Acrobat Form 7 - Monthly Progress Report
[105,166 bytes]
This report is part of CNSX'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.
Adobe Acrobat Form 8 - Notice of Prospectus Offering
[71,854 bytes]
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. Download for more.
Adobe Acrobat Form 9 - Notice of Private Placement
[76,672 bytes]
This is a notice of proposed issuance of listed securities, or securities convertible or exchangeable into listed securities. The Notice is used to disclosed 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.
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RC Background
CNSX News
CNSX announced today a new strategic partnership with Innovate Calgary and Alberta Deal Generator (ADG). Innovate Calgary and CNSX have forged a partnership agreement to enhance and support the technology and startup sector in Canada.
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CNSX Markets Inc. (“CNSX” or the “Exchange”) completed the second tranche of a financing, the first part of which was announced on December 17, 2012.
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