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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

face value
The value printed on the face of currency or other financial instruments, like bonds or debentures. The amount that a lender will receive when a bond or debenture is repaid, exclusive of interest.
financial adviser
A person who offers advice about buying or selling investments.
financial institution
A bank, trust company, credit union or other institution that offers financial services such as savings and chequing accounts, loans and credit cards.
financial plan
A written plan that helps you identify your goals and figure out how to manage your money to achieve them.
financial planners
People who determine how individuals can meet their goals through proper management of their financial resources. They offer financial services such as budgeting, cash and debt management, retirement and tax planning. Except in Québec, financial planners are not subject to provincial registration or regulation. Financial planners cannot trade securities or recommend investments to their clients unless they are registered with the provincial securities regulator in their province. Some financial planners are registered to trade in mutual funds and segregated funds (an insurance product), allowing them to trade and advise clients on mutual funds or insurance products only.
financial statements​
A formal record of a company’s financial activities for a period of time, usually including a statement of financial position or balance sheet, statement of comprehensive income or income statement, cash flows or a cash flow statement, and notes.
The Financial Industry Regulatory Authority is the largest independent regulator for all US securities firms.
fixed income investments
Investments that give you fixed interest or dividend income such as government and corporate bonds, debentures and preferred shares.
flow-through partnership
Provides tax-assisted investment in a portfolio of flow-through shares of resource companies (generally oil and gas or mineral exploration) with earnings and capital appreciation for the benefit of the limited partnership.
flow-through share
A special type of common share issued by oil and gas or mineral exploration companies that allows certain tax deductions.
foreign exchange(Forex)
Investing in different currencies to make money on the changes in exchange rates. Also known as FX trading.
A contract where the seller agrees to deliver to the buyer an agreed amount of an asset at a specified price on a specified future date. Forwards are traded in the over-the-counter market.
front-end load
A sales charge or commission investors pay when an investment is initially purchased.
A derivative product whereby the seller agrees to deliver to the buyer an agreed amount of an asset at a specified price on a future date. Futures are traded on an exchange.