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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).

Frequently Used Forms and Fees

Forms

31-103F1 Calculation of Excess Working Capital
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service
31-103F3 Use of Mobility Exemption
31-103F4 Net Asset Value Adjustments
Appendix B – Subordination Agreement
33-109F5 Change of Registration Information
33-109F6 Firm Registration
Revised Suppression of Terrorism and UN Sanctions Reporting Form (Published 30 Jul 2010)

Regulatory and NRD User Fees

ASC Staff will contact the firm by telephone or email upon receipt of the application package and when the firm has been set up in pending state on NRD. The firm will be requested to resubmit fees through the firm’s Electronic Fund Transfer account with CDS / NRD. For more information on fees, refer to the links below:

See NRD Fees



See Regulatory Fees