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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).


Confused by financial and investing terms and jargon? Look through the list below with brief explanations of some commonly used terms. Can't find the term you're looking for in the list below? Try these websites:​

How do I find more information on letters and designations you might see listed after a financial professional's name.

See Our Guide to Designations

account statement
A record of transactions in an account at a financial institution or investment firm, usually provided each month.
accredited investor
A government, financial institution, large company, or individual with a required level of income or assets, permitted to invest in certain types of securities sold without a prospectus.
Advisers specialize in giving advice to clients about investing in securities, but they do not buy or sell securities for their clients. Advisers are registered with securities regulators to give investment advice.
affinity fraud
A type of scam that usually occurs in a group setting (ethnic groups, clubs, associations, religious groups, etc.). Scammers will gain trust by joining groups that they can share common interests; it is often easier to trust someone who is like you or has similar interests to you. Once trust is gained, it is easier to execute a scam.
Alberta Securities Commission (ASC)
The regulatory agency responsible for administering the province's securities laws.
Essentially contracts that are usually sold by life insurance companies, typically guaranteeing an income either to the purchaser (the “annuitant”) or their beneficiary (in the event the annuitant predeceases the beneficiary). With annuities, there are different types of income streams such as a lump sum payment or a stream of payments. Refer to the Department of Finance Canada for more information.
ask price
The lowest price a seller is willing to accept for a security.
Something that has a financial value and that could be converted into cash now or in the future.
asset mix
The allocation of assets within a fund or your portfolio that is invested in the major asset classes: cash and equivalents, fixed income, equity, alternative assets.
asset-backed commercial paper
Short-term debt typically issued by banks and financial institutions. This is a kind of commercial paper that is backed by pool of assets, such as credit card receivables, car loans, or mortgages.