schema version:

SBSE-A/A: Applicant Data - Page 1

FORM SBSE-A

Application for Registration as a Security-based
Swap Dealer and Major Security-based Swap
Participant that is Registered or Registering
with the CFTC as a Swap Dealer or Major Swap Participant

Date:     Applicant NFA Number:  503705

OMB APPROVAL

OMB Number:  3235-AL05

Estimated average burden hours per response – initial: 34 hours

Estimated average burden hours per response – amendment: 1 hour

Estimated average additional burden hours for Schedule F – initial: 1.5 hours

Estimated average additional burden hours per response – amendment: 1.5 hours

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:

A. Full name of the applicant
NATIONAL BANK OF CANADA /FI/
B. IRS Empl. Ident. No.:
00-0000000
C. Applicant's NFA ID #:
503705
Applicant's CIK #:
0000926171
Applicant’s UIC # (if any):
D. Applicant's Main Address: (Do not use a P.O. Box)
Street Address 1:
600 DE LA GAUCHETIERE WEST
Street Address 2:
4TH FLOOR
City:
MONTREAL
State/Province/Country:
QUEBEC, CANADA
Zip/ Postal Code:
H3B 4L2
E. Mailing Address, if different:
Street Address 1:
1155 METCALFE ST
Street Address 2:
5TH FLOOR
City:
MONTREAL
State/Province/Country:
QUEBEC, CANADA
Zip/ Postal Code:
H3B 4S9
F. Business Telephone Number:
416-869-3707
G. Website/URL:
WWW.NBC.CA
H. Contact Employee:
Prefix:
First Name:
ANNE
Middle Name:
Last Name:
MONTMINY
Suffix:
Title:
SENIOR DIRECTOR SWAP DEALER COMPLIANCE
Phone:
646-629-6794
Email Address:
AMONTMINY@NBF-US.COM
I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):
Prefix:
First Name:
NIZAR
Middle Name:
Last Name:
ARAJI
Suffix:
Title:
VP & CCO, FINANCIAL MARKETS
Phone:
514-879-5355
Email Address:
NIZAR.ARAJI@BNC.CA

SBSE-A/A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.

The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.

Date
11-16-2022
Name of Applicant
NATIONAL BANK OF CANADA /FI/
By: Signature
NIZAR ARAJI
Name of Person Signing on Applicant's behalf
NIZAR ARAJI
Title of Person Signing on Applicant's behalf
VP & CCO, FINANCIAL MARKETS

SBSE-A/A: Applicant Data - Page 2

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  NATIONAL BANK OF CANADA /FI/
Date:     Applicant NFA No.:  503705

2.

A. The applicant is registering as a security-based swap dealer: ☒ Yes ☐ No
B. The applicant is registering as a major security-based swap participant: ☐ Yes ☒ No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
☐ Yes ☒ No
  • avail itself of a previously granted substituted compliance determination
☐ Yes ☒ No
with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder?

4.

Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? ☒ Yes ☐ No

5.

A. The applicant is currently registered with the Commodity Futures Trading Commission as a: ☒ Swap Dealer  ☐ Major Swap Participant
B. The applicant is registering with the Commodity Futures Trading Commission as a: ☐ Swap Dealer  ☐ Major Swap Participant

6.

Is the applicant a U.S. branch of a non-resident entity? ☐ Yes ☒ No

7.

Briefly describe the applicant's business:
Founded in 1859, National Bank of Canada offers financial services to individuals, businesses, institutional clients and governments across Canada. National Bank of Canada is one of Canada's six systemically important banks. National Bank of Canada operates through three business segments in Canada--Personal and Commercial Banking, Wealth Management and Financial Markets. A fourth segment U.S. Specialty Finance and International complements the growth of our domestic operations.

8.

Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. ☒ Yes ☐ No
If "yes," identify the prudential regulator:
☒ The Federal Reserve Board
☐ The Office of the Comptroller of the Currency
☐ The Federal Deposit Insurance Corporation
☐ The Farm Credit Administration
☐ The Federal Housing Finance Agency

9.

Is the applicant registered with the Commission as an investment adviser? ☐ Yes ☒ No

10.

A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? ☐ Yes ☒ No

11.

Does applicant engage in any other non-securities, financial services industry-related business? ☒ Yes ☐ No

If "yes," describe each other business briefly on Schedule B, Section I.

12.

Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? ☒ Yes ☐ No

SBSE-A/A: Applicant Data - Page 3

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  NATIONAL BANK OF CANADA /FI/
Date:     Applicant NFA No.:  503705

13.

Does the applicant have any arrangement:
A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? ☒ Yes ☐ No
B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? ☒ Yes ☐ No

If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.

14.

Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? ☐ Yes ☒ No

If "yes," complete appropriate item on Schedule B, Section II.

15.

Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others. ☐ Yes ☒ No

If "yes," complete appropriate item on Schedule B, Section II.

16.

Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? ☐ Yes ☒ No

If "yes," complete appropriate items on Schedule B, Section Ill.

17.

Is the applicant registered with a foreign financial regulatory authority? ☒ Yes ☐ No

If "yes," list all such registrations on Schedule F, Page 1, Section II.

18.

The applicant has ___ principals who are individuals.
15

Please list all principals who are individuals on Schedule A.

19.

Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? ☐ Yes ☒ No

If "yes," complete appropriate item on Schedule B, Section IV.

SBSE-A/A: Schedule A of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  NATIONAL BANK OF CANADA /FI/
Date:     Applicant NFA No.:  503705

PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)

Use Schedule A to identify all principals of the applicant who are individuals.

Complete the "Title or Status" column by entering board/management titles; status as partner, trustee, sole proprietor, or shareholder; and for shareholders, the class of securities owned (if more than one is issued).

Ownership Codes are:

NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more

Schedule A Record: 1

FULL LEGAL NAME

Prefix
Individuals: Last Name
DAVIS
Individuals: First Name
BRIAN
Individuals: Middle Name
ADAM
Suffix
Title or Status
COPRESIDENT AND CO CHIEF EXECUTIVE OFFICER, NBF
Date Title or Status Acquired(MM/YYYY)
01/2021
Date Individual began working for applicant (MM/YYYY)
12/2020
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
505693
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 2

FULL LEGAL NAME

Prefix
Individuals: Last Name
SKURKA
Individuals: First Name
DAVID
Individuals: Middle Name
Suffix
Title or Status
EVP, MD & CO-HEAD, CORPORATE & INVESTMENT BANKING
Date Title or Status Acquired(MM/YYYY)
11/2020
Date Individual began working for applicant (MM/YYYY)
10/2020
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539863
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 3

FULL LEGAL NAME

Prefix
Individuals: Last Name
GIROUARD
Individuals: First Name
DENIS
Individuals: Middle Name
Suffix
Title or Status
EVP, HEAD OF FINANCIAL MARKETS
Date Title or Status Acquired(MM/YYYY)
02/2021
Date Individual began working for applicant (MM/YYYY)
06/2016
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539862
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 4

FULL LEGAL NAME

Prefix
Individuals: Last Name
DUBUC
Individuals: First Name
ETIENNE
Individuals: Middle Name
Suffix
Title or Status
EVP & MD, HEAD of EQUITIES
Date Title or Status Acquired(MM/YYYY)
11/2020
Date Individual began working for applicant (MM/YYYY)
01/2005
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539861
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 5

FULL LEGAL NAME

Prefix
Individuals: Last Name
GINGRAS
Individuals: First Name
MARIE-CHANTAL
Individuals: Middle Name
Suffix
Title or Status
SVP, Financial Accounting
Date Title or Status Acquired(MM/YYYY)
04/2021
Date Individual began working for applicant (MM/YYYY)
08/1998
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
547756
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 6

FULL LEGAL NAME

Prefix
Individuals: Last Name
HOWES
Individuals: First Name
KARSTEN
Individuals: Middle Name
Suffix
Title or Status
SVP, MARKET RISK
Date Title or Status Acquired(MM/YYYY)
10/2016
Date Individual began working for applicant (MM/YYYY)
08/2014
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539992
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 7

FULL LEGAL NAME

Prefix
Individuals: Last Name
FERREIRA
Individuals: First Name
LAURENT
Individuals: Middle Name
Suffix
Title or Status
PRESIDENT & CHIEF EXECUTIVE OFFICER
Date Title or Status Acquired(MM/YYYY)
11/2021
Date Individual began working for applicant (MM/YYYY)
02/1998
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539860
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 8

FULL LEGAL NAME

Prefix
Individuals: Last Name
ROUSSEL
Individuals: First Name
MARTIN-PIERRE
Individuals: Middle Name
Suffix
Title or Status
EVP & CO-HEAD, CORPORATE AND INVESTMENT BANKING
Date Title or Status Acquired(MM/YYYY)
11/2020
Date Individual began working for applicant (MM/YYYY)
10/2020
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539968
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 9

FULL LEGAL NAME

Prefix
Individuals: Last Name
THERIAULT
Individuals: First Name
MARTIN
Individuals: Middle Name
Suffix
Title or Status
VP OPERATIONS, FINANCIAL MARKETS
Date Title or Status Acquired(MM/YYYY)
06/2018
Date Individual began working for applicant (MM/YYYY)
12/2009
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
540004
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 10

FULL LEGAL NAME

Prefix
Individuals: Last Name
LACASSE
Individuals: First Name
MIGUEL
Individuals: Middle Name
Suffix
Title or Status
EVP & MD, CO-HEAD GLOBAL FUNDING & TREASURY
Date Title or Status Acquired(MM/YYYY)
11/2020
Date Individual began working for applicant (MM/YYYY)
01/1999
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539864
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 11

FULL LEGAL NAME

Prefix
Individuals: Last Name
ARAJI
Individuals: First Name
NIZAR
Individuals: Middle Name
Suffix
Title or Status
VP & CHIEF COMPLIANCE OFFICER, FINANCIAL MARKETS
Date Title or Status Acquired(MM/YYYY)
06/2020
Date Individual began working for applicant (MM/YYYY)
01/2019
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539996
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 12

FULL LEGAL NAME

Prefix
Individuals: Last Name
ST-JOHN
Individuals: First Name
SEAN
Individuals: Middle Name
Suffix
Title or Status
EVP & MD, CO-HEAD FIXED INCOME, CURRENCIES & COMMODITIES
Date Title or Status Acquired(MM/YYYY)
01/2021
Date Individual began working for applicant (MM/YYYY)
12/2020
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539999
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 13

FULL LEGAL NAME

Prefix
Individuals: Last Name
SHMUYLOVICH
Individuals: First Name
YURY
Individuals: Middle Name
Suffix
Title or Status
EVP & MD, CO-HEAD GLOBAL FUNDING & TREASURY
Date Title or Status Acquired(MM/YYYY)
01/2021
Date Individual began working for applicant (MM/YYYY)
12/2020
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539958
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 14

FULL LEGAL NAME

Prefix
Individuals: Last Name
Tessier
Individuals: First Name
Jean-Francois
Individuals: Middle Name
Suffix
Title or Status
EVP and MD, Hd of CO, Co-Hd of Risk Mgmt Sol and Str Prods
Date Title or Status Acquired(MM/YYYY)
11/2022
Date Individual began working for applicant (MM/YYYY)
04/2002
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
552548
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 15

FULL LEGAL NAME

Prefix
Individuals: Last Name
Verschuere
Individuals: First Name
Martin
Individuals: Middle Name
Suffix
Title or Status
EVP and MD, Hd of Cur and EQ, Co-Hd of Str Prods
Date Title or Status Acquired(MM/YYYY)
11/2022
Date Individual began working for applicant (MM/YYYY)
12/2000
Does person have an ownership interest in the applicant ☒ Yes ☐ No
If yes, include ownership code
☒ NA - less than 5%
☐ A - 5% but less than 10%
☐ B - 10% but less than 25%
☐ C - 25% but less than 50%
☐ D - 50% but less than 75%
☐ E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
552592
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

SBSE-A/A: Schedule B of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  NATIONAL BANK OF CANADA /FI/
Date:     Applicant NFA No.:  503705

Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.

This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: ☐ Initial   ☒ Amended

Section I

Other Business

Item 11: Does applicant engage in any other non-securities, financial services industry-related business?

UIC (if any), or other Unique Identification Number(s):
Assigning Regulator(s)/Entity(s):
OSFI
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
Personal & Commercial (banking services, credit services, financing, investment solutions, insurance), Wealth management (private banking, trust and estate services), Financial Markets (corporate banking, investment banking), and U.S. Specialty Finance and International.

Section II

Record Maintenance Arrangements I Business Arrangements I Control Persons I Financings

(Check one)☒ Item 13A   ☐ Item 13B   ☐ Item 14   ☐ Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? ☐ Firm   ☐ Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one)☐ Item 13A   ☒ Item 13B   ☐ Item 14   ☐ Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? ☐ Firm   ☐ Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).

SBSE-A/A: SCHEDULE F of Form SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  NATIONAL BANK OF CANADA /FI/
Date:     Applicant NFA No.:  503705

Section I

Service of Process and Certification Regarding Access to Records

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person applicant designates and appoints as agent for service of process

Prefix
First Name
Anik
Middle Name
Last Name
LaPointe
Suffix

B. Address of United States person applicant designates and appoints as agent for service of process

Street Address 1
65 East 55th Street
Street Address 2
8th Floor
City
New York
State
NEW YORK
Zip/Postal Code
10022

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.

Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240. 15Fb2-4].

Signature:
Nizar Araji
Name:
Nizar Araji
Title:
VP & Chief Compliance Officer, Financial Markets
Date:
04-22-2022

Section II

Registration with Foreign Financial Regulatory Authorities

Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

English Name of Foreign Financial Regulatory Authority
Authority of Financial Markets
Foreign Registration No. (if any)
English Name of Country:
QUEBEC, CANADA
English Name of Foreign Financial Regulatory Authority
Office of the Superintendant of Financial Institution
Foreign Registration No. (if any)
English Name of Country:
CANADA (FEDERAL LEVEL)
English Name of Foreign Financial Regulatory Authority
Canada Deposit Insurance Corporation
Foreign Registration No. (if any)
English Name of Country:
CANADA (FEDERAL LEVEL)

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.



This regulatory filing also includes additional resources:
officercertifcate.pdf
regulators.pdf
thirdparties.pdf
summaryofchangesjft1.pdf
summaryofchangesmv1.pdf
form7r.pdf
opinionofcounsel.pdf
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