Services aux collectivités

Office of the Superintendent of Securities

Registration of Firms

registration_firms

Yukon Archives, Anton Vogee fonds #18

1) The firm applies for registration with its principal regulator based on the place of the firm's head office. The firm must enroll with the National Registration Database (NRD) to obtain its NRD number as a first step in the application process. NRD access will enable the firm to submit electronic filings to the principal regulator on NRD.

For NRD information and forms: www.nrd-info.ca

Complete and submit NRD form 1, 2, 3 and pay the enrolment fee t

Attn: NRD Administrator
Canadian Depository for Securities (CDS Inc.)
85 Richmond Street West
Toronto, Ontario M5H 2C9
Phone # 1-800-219-5381

2) Form 33-109F6 is to be completed and submitted for initial registration as a Dealer, Advisor or Investment Fund Manager, for registration in an additional Canadian jurisdiction(s) or to add a registration category to a firm's current registration.

  • In order to be registered, the firm has to comply with the Securities Act, NI31-103, NI33-109.
  • If the firm is seeking registration in Ontario, and Ontario is not the firm's principal regulator, copy of the form 33-109F6 must be filed with Ontario Securities Commission.
  • If the firm is seeking registration as a restricted dealer, the form 33-109F6 has to be completed and submitted with each Canadian jurisdiction where the registration is sought. In case of registration in more than one Canadian jurisdiction in other category/ies than of restricted dealer, only one form need to be completed and submitted.

3) Following supporting documents are to be submitted with the completed 33-109F6:

  • Schedule B of Form 33-109F6;
  • Articles of Incorporation or Corporate Registration/ Proof of Extra Provincial Registration;
  • Organizational Chart;
  • Business Plan;
  • Calculation of Excess Working Capital;
  • Audited Financial Statements;
  • Letter of Direction to Auditor;
  • Policies and Procedures Manual and Applicable Client Forms and Agreements;
  • Subordination Agreement, if any;
  • Copy of Financial Instituation Bond with sufficient coverage;
  • Director's Resolution Approving Incurance.
  • 4) Principal regulator will contact the firm upon receipt of the application package and when the firm is set up in pending state on NRD. The firm will be requested to resubmit fees through the firm's Electronic Fund Transer (EFT) account with NRD.

  • NRD Fees: http://www.nrd-info.ca/fees/fees_index.jsp?lang=en
  • Regulatory Fees: http://www.nrd-info.ca/regulatory-fees.jsp?lang=en