This guide outlines the registration process with the Alberta Securities Commission (ASC) and provides the applicant with quick references to registration links, forms and contact information to assist with the application process.
View and print the guide (PDF).
Membership in Self- Regulatory Organizations:
To seek registration and membership as an Investment Dealer in Alberta, refer to the Investment Industry Regulatory Organization of Canada (IIROC) link below:
http://www.iiroc.ca/English/About/BecomingAMember/Pages
/ApplicantsInfoGuide.aspx
Mutual Fund Dealers must file their registration application with the ASC however, the firm must apply for membership with the Mutual Fund Dealers Association of Canada (MFDA), refer to the link below:
http://www.mfda.ca/members/becoming.html
NRD Inquiries:
Email: ASC.NRD.Inquiries@asc.ca
Phone: (403) 297-2069