Registration 

Under construction.

For more information on the registration application process, the National Registration Database, and for access to all forms required to complete this process, please see NI 33-109. Firms that are seeking registration and whose principal jurisdiction is Alberta, must file a 33-109F6 with the Alberta Securities Commission.

For information about the new registration reform program please see NI 31-103.

Becoming Registered

Interested in becoming a registered dealer or adviser?  The ASC has prepared a checklist that will help you understand the requirements and application process.

Checklist: Application as a Dealer
For those seeking registration as a Scholarship Plan Dealer or Mutual Fund Dealer

Checklist: Application as an Adviser
For those seeking registration as a Portfolio Manager, Investment Counsel or Securities Adviser

Form 3: Application for registration as Dealer, Adviser or Underwriter

Please note, firms or individuals interested in becoming an investment dealer (or broker) must seek registration through IIROC.