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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

Registering with the ASC for the First Time?

Registering with the ASC 

A person or company shall not act as a dealer, adviser or investment fund manager without being registered in accordance with securities laws in Alberta (subject to relying on an exemption). In order to determine whether registration is required as a dealer or adviser, a firm or individual must consider whether their activities amount to trading or advising for a business purpose. There is no “business trigger” for registration as an investment fund manager. If a firm engages in investment fund manager activities, it must register.

See How to Apply

Registrant Toolkit

Registrant Toolkit

Information for all registrants, including those newly registered.

See Registrant Toolkit

Information About Exemptions

Market Registration Exemptions

Want to know the rules regarding exemptions?

See Information
About Exemptions