Registration 

Registration is the gateway into the capital markets. Once a firm or individual has been registered with the ASC it becomes a registrant. That firm or individual may then participate in the capital markets in an advising or dealing capacity, depending on the category of registration.

Trying to determine if an individual or firm is registered to sell investments? Click here to Check First.

Becoming Registered

Interested in becoming a registered dealer or adviser?  The ASC has prepared a checklist that will help you understand the requirements and application process.

Checklist: Application as a Dealer
For those seeking registration as a Scholarship Plan Dealer or Mutual Fund Dealer

Checklist: Application as an Adviser
For those seeking registration as a Portfolio Manager, Investment Counsel or Securities Adviser

Form 3: Application for registration as Dealer, Adviser or Underwriter

Please note, firms or individuals interested in becoming an investment dealer (or broker) must seek registration through IIROC.