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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).


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

day trading
The purchase and subsequent sale of a security in the same day. Day traders attempt to make profits by leveraging substantial amounts of capital to benefit from small price movements in highly liquid securities. They often count upon momentum as they enter into trades that can last anywhere from a few seconds to a few minutes. Day trading can be extremely risky and is definitely not for everyone.
People who are registered to buy or sell securities on behalf of clients and give advice to clients about the purchase or sale of securities. Some dealers are registered with a self-regulatory organization like the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada.
Similar to a bond; a loan for a specific term where repayment is secured by the general credit of the borrower.
An amount borrowed from lenders. The borrower pays interest for the use of the money and is obliged to repay by a specific date. Examples include bonds, commercial paper, and debentures.
deferred sales charge (DSC)
A sales charge or commission you pay when an investment is sold.
defined benefit pension plan
A pension plan that defines a benefit for an employee upon that employee's retirement. The amount of the benefit depends on factors such as years of contribution to the plan or years of employment. A specific income is guaranteed and knownfor retirement with no risk but it is set based on earnings and years worked, with no other way to increase it.
defined contribution pension plan
A pension plan with an individual account for each participant with benefits based on the amount contributed to the account, plus or minus income, gains, expenses and losses allocated to the account. This plan often includes the ability for you to control the amount of contributions going in to your plan and even what your plan invests in. The retirement income is totally dependent on income generated on the investments in the plan and the amount contributed to the plan.
deposit insurance
An insurance plan designed to protect the money you deposit if a bank, credit union or trust company fails (see CDIC).
A financial contract that gives you the right to buy and sell at specified prices. Examples include call and put options.
disciplinary action
Action taken by a securities regulator to discipline an individual, company or registrant. This can include a fine or a ban from the securities market.
discount brokerage firm
Brokerage firms that charge a lower fee to buy and sell securities, compared to a full-service broker, but provide no investment advice.
discretionary trade
When you give someone else (usually your portfolio manager) the authority to make investment decisions and to trade securities for you without checking with you on each trade.
A way to reduce portfolio risk and volatility by investing in various types of investments. It is unlikely the value of these securities will move up or down at the same time.
A portion of a company's profits paid to shareholders.
dividend reinvestment plan (DRIP)
If a company has a DRIP, then dividends may be used to purchase additional shares. Not all DRIPs are identical, but any company that has a DRIP will be able to provide the specifics of their DRIP.
dividend yield
A financial ratio that shows how much a company pays out in dividends relative to the current share price.
dollar cost averaging
A timing strategy that requires investing money at regular intervals regardless of market conditions. Designed to reduce price volatility.