Registration Reform 

 How about shrinking the number of registration categories from 239 to 30? Or eliminating the annual requirement for renewal of registration? "These are just some of the reforms we are proposing to harmonize registration across Canada," says Karen Andreychuk, ASC’s legal counsel, Market Regulation.

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About Dealers & Advisors

Under the Securities Act, firms and individuals must be registered with the ASC to give advice about securities or to trade, buy or sell securities. The ASC registers firms as advisers or dealers. Individuals are registered through the firm they work for.

Not sure what it all means? Check out the important definitions you need to know. 

Registration

Looking to find out if an individual or firm is registered to sell investments? Use our search.

Already a registrant? Check out our NRD Info and access frequently used forms.

Hoping to become registered? Review the requirement checklists.