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Registration Information



 

Alberta and Saskatchewan

 

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

 

  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.

     

    In order to enroll, applicant firms should follow the enrolment procedures set out on the NRD information website at www.nrd-info.ca. The applicant firm must submit the NRD Form 1, Form 2, and Form 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.


  2. All firms must submit a completed Form 33-109F6 (Application for Firm Registration) to the regulator. The Form 33-109F6 and supporting documents should be submitted to the regulator via email with scanned signatures. The Form 33-109F6 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 Form 33-109F6 must also be filed without supporting documents, with the Ontario Securities Commission.

 

Supporting Documents

 

The following documents must be submitted along with Form 33-109F6:

  • 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
255 – 5th Avenue S.W.
Suite 800 - Bow Valley Square 3
Calgary, Alberta T2P 3G6
(403) 262-6393

 

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British Columbia

 

  1. Registration with the B.C. Registry Services, Victoria.
    Under BC Instrument 22-502, the B.C. Securities Commission has authorized Investment Industry Regulatory Organization of Canada - Pacific District to register

    1. Investment Dealers

    2. the Chief Compliance Officer of an Investment Dealer

    3. a dealing representative of an Investment Dealer

    4. an ultimate designated person of an Investment Dealer

     

    B.C. Registry Services
    Ministry of Finance
    Corporate Registry
    E415, 4000 Seymour Place
    Victoria, B.C.
    V8W 9V1
    1-800-663-6102
    https://www.bconline.gov.bc.ca/

     

  2. All supporting documentation must be attached to the Form 33-109F6.

    The fee is in the amount of $2,500.00 (one-year period for an Investment Dealer). Fees will be requested via the National Registration Database (NRD).

  3. All applications for Partners, Executives, Directors, Investors 10% and over and dealing representatives must be submitted via the National Registration Database (NRD).

  4. All Open Location submissions are to be filed via NRD, for each office the firm intends to operate in the province.

  5. The fee for each trading individual is $250.00 for a one-year license and is remitted via NRD upon application.

 

For further information, please contact:
Manager, Registration
Investment Industry Regulatory Organization of Canada
Pacific District
Suite 2800, 1055 West Georgia Street
Vancouver, British Columbia V6E 3R5
(604) 683-6222

 

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Manitoba, Northwest Territories, Nunavut and Yukon

 

  1. All applications for Directors, Executives and Sales staff must be submitted via the National Registration Database (“NRD”).


  2. All Open Location submissions are to be filed via NRD, for each office the firm intends to operate in the province.

 

Note: IIROC has not been delegated the authority to register firms in the province of Manitoba, Northwest Territories, Nunavut and Yukon. As a result, a Form 33-109F6 - Firm Registration must be submitted directly to the applicable securities commission.

 

It is recommended that the applicable securities commission be directly contacted by the firm applying in order to ascertain what other documentation they will require. If IIROC Membership has not been granted, an Application for Membership must be made to the Toronto Head Office in conjunction with this application.

 

For further information, please contact:

 

Manager, Registration
Investment Industry Regulatory Organization of Canada
Prairie District
255 – 5th Avenue S.W.
Suite 800 - Bow Valley Square 3
Calgary, Alberta T2P 3G6
(403) 262-6393

 

For further information for Yukon registration only, please contact:

 

Manager, Registration
Investment Industry Regulatory Organization of Canada
Pacific District
Suite 2800, 1055 West Georgia Street
PO Box 11164, Royal Centre
Vancouver, British Columbia V6E 3R5
(604) 683-6222

 

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New Brunswick

 

New Dealer Registration

 

The regulation of Investment Dealers has been delegated to the Investment Industry Regulatory Organization of Canada (IIROC) in Toronto. All submissions are to be made directly to IIROC. If IIROC Membership has not been granted, an Application for Membership must be submitted in conjunction with any firm registration application.

 

This document describes the basic requirements for registration in New Brunswick. This document does not replace the necessity to seek 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 requests for additional clarification and/or information as necessary for registration.

 

Registration Process

  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.

     

    In order to enroll, applicant firms should follow the enrolment procedures set out on the NRD information website. The applicant firm must submit the NRD Form 1, Form 2, and Form 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.


  2. Once the above has been completed, the following documents must be submitted as part of the application for registration. Please be advised that processing of your application will be expedited if all required documents are submitted at the same time.

    1. A cover letter that explains that the firm is seeking registration in New Brunswick and/or other jurisdictions.

    2. 33-109F6 – Once confirmation of enrollment has been received by the Chief AFR, a firm may submit a completed Form 33-109F6 (Application for Firm Registration) to the regulator. 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 Investment Dealer will be headquartered in NB, the F6 and supporting documents must be sent to IIROC. 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. Firm set up on NRD in a pending state will be completed by the principal regulator. The firm will be notified when to begin the submission of the 33-109F4 applications which forms part of the firm’s application process.

 

Supporting Documents Include

 

  • Schedule B – Submission to jurisdiction and the appointment of an agent for service for each jurisdiction where the firm is seeking registration

  • Proof of registration as a corporation or partnership in all the jurisdictions in which the firm applied for registration

  • Constating documents (a certified or notarized copy of the Articles of Incorporation and/or any other related documents)

  • Organizational chart including detailed information about whether the firm has direct or indirect interest in another registrant and the nature of the interest

  • Ownership chart

 

  1. Form 33-109F4: Confirmation that forms have been/will be electronically completed for each Approved Person (includes but is not limited to Partners, Executives, Directors, Registered Representatives, Traders, Supervisors, and Investors) seeking registration via NRD following the filing of the registration application.

  2. Fees: Registration fees for each jurisdiction in which the application is being made are required. For initial firm application, the firm may opt to pay regulatory fees by cheque or through NRD once the firm enrollment is completed. For fee information, refer to the prescribed fees of the applicable jurisdiction for details. Fees for application for registration of individuals will be electronically pulled from the applicant’s account or a request for fees will be made by IIROC staff via email.

  3. Membership with IIROC. IIROC membership deals with Capital Requirements, Record Keeping, New Accounts and Supervision, Segregation of Funds and Securities, Statements of Account and Portfolio, Proficiency Requirements, Trading and other matters.

  4. Office Location Submissions via NRD for each office the firm intends to operate in the province. A fee per location opening will be pulled electronically with the NRD submission, where applicable.

  5. Each Office Location must be managed and supervised by a Supervisor qualified by way of authority, experience and competence who has successfully completed the proficiencies pursuant to IIROC Rule 2900.

 

For further information, please contact

 

Investment Industry Regulatory Organization of Canada
Suite 2000, 121 King Street West
Toronto, Ontario M5H 3T9

 

Managers, Registration

 

Christine Domasik (416) 865-3045
Kerry Newman (416) 943-5839
Lucy Pacheco (416) 943-6916

 

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Newfoundland and Labrador

 

New Dealer Registration

 

The regulation of Investment Dealers has been delegated to the Investment Industry Regulatory Organization of Canada (IIROC) in Toronto. All submissions are to be made directly to IIROC. If IIROC Membership has not been granted, an Application for Membership must be submitted in conjunction with any firm registration application.

 

This document describes the basic requirements for registration in Newfoundland and Labrador. This document does not replace the necessity to seek 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 requests for additional clarification and/or information as necessary for registration.

 

Registration Process

  1. If the firm has never enrolled on the National Registration Database (NRD) system: enrollment with the NRD administrator will be required. The three NRD enrollment forms, fees and other information required to enroll with the NRD administrator, is set out on the NRD information website. For additional assistance, call the NRD administrator help line: 1-800-219-5281.

     

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

  2. Once the above has been completed, the following documents must be submitted as part of the application for registration. Please be advised that processing of your application will be expedited if all required documents are submitted at the same time.
    1. Form 33-109F6 – Once confirmation of enrollment has been received by the Chief AFR, a firm may submit a completed Form 33-109F6 (Application for Firm Registration) to the regulator. 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. Firm set up will be completed by the regulator. The firm will be notified to begin the submission of the 33-109F4 applications which form part of the firm’s application process.


    2. Form 33-109F4: Confirmation that forms have been/will be electronically completed for each approved person (includes but is not limited to Partners, Executives, Directors, Registered Representatives, Traders, Supervisors, and Investors) seeking registration via NRD following the filing of the registration application.

       

      Proof of passing the applicable courses and a completed police check form must accompany each form filed.


    3. Fees for application for registration of the company: $600.00 payable to the Newfoundland Exchequer Account.

       

      Fees for application for registration of individuals will be electronically pulled from the applicant’s account or a request for fees will be made by IIROC staff via email.


    4. A certified or notarized copy of Articles of Incorporation and/or any other related documents.

    5. Membership with IIROC. IIROC membership deals with Capital Requirements, Record Keeping, New Accounts and Supervision, Segregation of Funds and Securities, Statements of Account and Portfolio, Proficiency Requirements, Trading and other matters.

    6. A statement of policies pursuant to Section 187 of the Regulations.

    7. Evidence of registration pursuant to the Newfoundland and Labrador Corporate Registry.

    8. Office Location Submissions via NRD for each office the firm intends to operate in the province. A fee per branch opening will be pulled electronically with the NRD submission.

    9. Each Office Location must be managed and supervised by a Supervisor qualified by way of authority, experience and competence who has successfully completed the proficiencies pursuant to IIROC Rule 2900.

 

For further information, please contact

 

Investment Industry Regulatory Organization of Canada
Suite 2000, 121 King Street West
Toronto, Ontario M5H 3T9

 

Managers, Registration

 

Christine Domasik (416) 865-3045
Kerry Newman (416) 943-5839
Lucy Pacheco (416) 943-6916

 

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Nova Scotia and Prince Edward Island

 

IIROC does not have delegation for individual or firm registration in Nova Scotia or Prince Edward Island. For firms applying for the first time to be an Investment Dealer, approval and registration must be obtained from IIROC and the applicable securities commission/securities regulatory authority respectively.

 

For registration approval in these jurisdictions, the following is required:

  1. All applications for approved persons (includes Partners, Executives, Directors, Supervisors, Registered Representatives and Investors) must be submitted via the National Registration Database (NRD). Enrollment forms for accessing NRD can be downloaded from NRD information website.

  2. Open Location Submissions filed via NRD are to be filed for each office location the firm intends to operate in the province.

 

Note: The applicable Securities Commission/ securities regulatory authority must be contacted directly in order to ascertain any documentation they may require.

 

For further information, please contact

 

Investment Industry Regulatory Organization of Canada
Nova Scotia and Prince Edward Island Jurisdictions
Suite 2000, 121 King Street West
Toronto, Ontario M5H 3T9

 

Managers, Registration

 

Christine Domasik (416) 865-3045
Kerry Newman (416) 943-5839
Lucy Pacheco (416) 943-6916

 

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Ontario

 

For firms applying in the Province of Ontario (in a resident or non-resident capacity).

 

  1. All applications for Approved Persons (Partners, Executives, Directors, Registered Representatives, and Investors) must be submitted via the National Registration Database (NRD). Enrollment forms for accessing NRD can be downloaded from NRD information website.

  2. Business Location Opening submission via NRD, for each office the firm intends to operate in the province.

 

Note: The Investment Industry Regulatory Organization of Canada (IIROC) has not been delegated the authority to register firms in the province of Ontario. As a result, a Form 33-109F6 must be submitted directly to the Ontario Securities Commission (OSC). It is recommended that the OSC be directly contacted by the firm applying in order to ascertain what documentation they will require.

 

For further information, please contact

 

Investment Industry Regulatory Organization of Canada
Suite 2000, 121 King Street West
Toronto, Ontario M5H 3T9

 

Managers, Registration

 

Christine Domasik (416) 865-3045
Kerry Newman (416) 943-5839
Lucy Pacheco (416) 943-6916

 

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Quebec

 

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.

 

In order to enroll, applicant firms should follow the enrolment procedures set out on the NRD information website. The applicant firm must submit the NRD Form 1, Form 2, and Form 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.

 

Firm Registration

 

IIROC has not been delegated the authority to register firms in the province of Quebec. As a result, a Form 33-109F6 must be submitted directly to the Autorité des marches financiers (AMF). It is recommended that the AMF be directly contacted by the firm applying in order to ascertain what documentation is required. Email address: [email protected]

 

Registration of individuals

 

  1. All applications for Directors, Executives and Sales Staff must be submitted via the National Registration Database (“NRD”). Enrollment forms for accessing the NRD can be downloaded from NRD information website.

  2. All Open a Location submissions are to be filed via NRD for each office the firm intends to operate in the province.

 

For further information, please contact

 

Manager, Registration
Investment Industry Regulatory Organization of Canada
Quebec District
Suite 1550
5, Place Ville Marie
Montreal, Quebec H3B 2G2
(514) 878-2854

 

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