New Dealer Registration

The regulation of Investment Dealers has been delegated to the Investment Industry Regulatory Organization of Canada (IIROC) in Alberta and Saskatchewan and all submissions should be made directly to IIROC. If IIROC Membership has not been granted, an Application for Membership must be made to our Toronto head office in conjunction with this application.

This document describes the basic requirements for registration in Alberta and Saskatchewan.   Nothing in this document should be taken as legal advice.  The service of a solicitor familiar with securities matters is recommended to assist with an application. 

In order to efficiently review the application for registration, we suggest that you follow the attached outline when completing your initial filing.  This list does not preclude request for additional clarification and information as necessary for registration.

Registration Process

Step 1:

If the firm has not enrolled to use the National Registration Database (NRD), enrollment is required to obtain a unique NRD number.  This will allow firms to submit applications, notices, and update information through the internet-based NRD system.

a) In order to enroll, applicant firms should follow the enrolment procedures set out on the NRD information website at www.nrd-info.ca.  The enrolment forms are also found on this site.  The applicant firm must submit the NRD forms 1, 2, and 3, required documentation and fees as outlined on the website. 

If the firm has enrolled on the NRD system:  there is no need to enroll again.

Step 2

All firms must submit a completed Form 33-109F6 (Application for Firm Registration) to the regulator.  The Form 6 may be found on the ASC website via the following link:  http://www.albertasecurities.com under Forms & Fees.  The F6 and supporting documents should be submitted to the regulator via email with scanned signatures.  The F6 should only be sent to the firm’s Principal Regulator (determined by where the firm’s head office is located).  If the firm is seeking registration in Ontario, and Ontario is not the firm’s principal regulator, a copy of the F6 must also be filed without supporting documents, with the Ontario Securities Commission.

Supporting Documents:

The following documents must be submitted along with the F6:

Constating documents (articles of incorporation & By-Laws)
Organization chart
Ownership chart
Schedule B – Submission to Jurisdiction and Appointment of Agent for Service for each jurisdiction where the firm is seeking registration

You must include all supporting documents and fees with your submission and may be asked to provide other information and documents to help determine whether the firm is suitable for registration. 

Fees: 

Registration fees for each jurisdiction in which the application is being made are required.  For fee information, refer to the prescribed fees of the applicable jurisdiction for details. 

For further information, please contact:
Manager, Registration
Investment Industry Regulatory Organization of Canada
Prairie District
Suite 2300, 355 – 4th Avenue S.W.
Calgary, Alberta     T2P 0J1

(403) 260-6293

You must include all supporting documents and fees with your submission and may be asked to provide other information and documents to help determine whether the firm is suitable for registration.