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.

CSE_FORM_1A_-_Application_Letter.docx

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.

CSE_Form_1B_-_Listing_Application_Feb_2017.docx

Form 2A - Listing Statement

The Listing Statement must be used for all initial applications for Listing and for Issuers resulting from a fundamental change. The Listing Statement contains comprehensive disclosure about the issuer.

CSE Form 2A - Listing Statement.docx

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.

CSE Form 2B - Listing Summary.docx

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_January_2019.docx

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.

CSE Form 4 - Listing Agreement.docx

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.

CSE Form 5 - Quarterly Listing Statement.docx

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.

CSE Form 6 - Certificate of Compliance.docx

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.

CSE Form 7 - Monthly Progress Report.docx

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.

CSE Form 8 - Notice of Prospectus Offering.docx

Form 9 - Notice of Proposed Issuance of 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.

CSE_Form_9_-_Notice_of_Issuance_of_Securities_-_December_2018.docx

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.

CSE Form 10 - Notice of Proposed Transaction.doc

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.

CSE Form 11 - Notice of Proposed Stock Option.doc

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.

CSE Form 12 Notice Of Proposed Stock Consolidation.docx

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 Form 13 Amendment of Warrant Terms.docx