On September 28, 2009, a new Canada-wide registration regime came into force for firms and individuals who sell securities, offer investment advice or manage investment funds. National Instrument 31-103 Registration Requirements and Exemptions, and related rules and amendments, aims to harmonize, streamline and modernize registration requirements across Canada.

Registration requirements and associated exemptions are governed primarily by National Instrument 31-103 ‘Registration Requirements and Exemptions’ and National Instrument 33-109 ‘Registration Information’

The Canadian Securities Administrators (CSA) website provides a National Registration Search tool which contains the names of all registrants (individuals and firms) in Canada, with the exception of those registered solely with the Ontario Securities Commission (OSC).

For ease of reference please find links to commonly used registration forms:
 

• Form 31-103F1     
  Calculation of Access Working Capital
  
  
• Form 31-103F2     
  Submission to Jurisdiction and Appointment of Agent for Service
  
  
• Form 31-103F3     
  Use of Mobility Exemption
  
  
• Form 33-109F1     
  Notice of Termination of Registered Individuals and Permitted Individuals and Permitted Individuals
  
  
• Form 33-109F2     
  Change or Surrender of Individual
  
  
• Form 33-109F3     
  Business Location Other Than Head Office
  
  
• Form 33-109F4     
  Registration of Individuals and Review of Permitted Individuals
  
  
• Form 33-109F5     
  Change of Registration Information
  
  
• Form 33-109F6      
  Firm Registration
  
  
• Form 33-109F7     
  Reinstatement of Registered Individuals and Permitted Individuals