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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).

Glossary

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

offering document
A document that offers securities for sale, including an offering memorandum or a prospectus.
offering memorandum
A document that describes the business of an issuer prepared by the company itself. This is a legal document about the investment that must contain specific information, including a detailed explanation of the company’s business, its audited financial statements, the risks of the investment, and how the company plans to use the money it raises from investors. An offering memorandum helps potential buyers make an investment decision on exempt-market securities.
Ombudsman for Banking Services and Investments (OBSI)
An independent Canadian body that investigates complaints from individuals and small businesses about products and services provided by banks and investment and mutual fund dealers. Its objective is to provide impartial and prompt resolution of complaints. This service is free of charge; however, one must first try to resolve complaints directly with the bank or dealer before contacting OBSI.
open-end mutual fund
A type of mutual fund that does not limit the number of shares or units that can be issued by the fund.
option
The right to buy or sell an asset at a specific price for a specific period of time.
order
A decision issued by a securities regulatory authority under the securities regulation of the relevant province or territory.
Over-the-Counter Bulletin Board (OTCBB)
A quotation service that displays quotes, last-sale prices and volume information for equity securities trading over-the-counter in the United States. It is where market makers in an issuer's shares publish the prices at which they are prepared to buy or sell those securities.
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