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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

A regular payment made to a retired or disabled employee, usually from a fund that the employer and employee have contributed to in prior years.
performance fee
An incentive fee paid to the manager of an investment fund that is based on the portfolio's performance.
Most “phishing” is accomplished by an email purported to be from a firm asking for the client to assist with a security issue by providing their name, account number, password and other information necessary to access the accounts. The “phishing” emails usually adopt or rely upon corporate logos and information derived from the inappropriately used firm’s website.
pink sheets
An electronic system published by Pink Sheets LLC, to display bid and ask quotation prices of securities. It is mainly used by stock brokers trading over-the-counter securities in the United States.
These swindles promise high returns on group investments. Each participant is encouraged to bring in new investors. There is no actual investment; money from previous investors is used to pay new investors to make it appear as if money is being made. The only people who make money are the people who started them.
The bundle of stocks, bonds or other investments you hold.
portfolio manager
Person who is authorized to make discretionary trades for you. Sometimes investors allow their portfolio​ manager to make discretionary trades on their behalf.
price-earnings (PE)ratio
The price per earnings of a stock of a company. A high P/E ratio means investors pay more for each unit of income of a company. While a financial ratio is used in the valuation of a company, it is not the only factor used to determine the value of a stock.
prime bank schemes
Scam artists will promise high returns on investments made through the world's most prestigious banks. They lead investors to believe that they can participate in a secret trading regime, typically with the world's major banks. Investors might be required to sign non-disclosure agreements that prevent them from disclosing the identity of the parties involved and the terms of the transactions.
The money originally invested or lent to earn interest or other income.
private company
A private company is one that has 50 or fewer shareholders and which has not otherwise become a reporting company.
private placement
A company issues securities privately rather than offering them to the public. This does not include a formal prospectus and the shares do not trade publicly on a formal stock exchange.
An appeal requested under the Act, an application brought before the ASC in relation to Part 5 or Part 14 of the Act, or a request by staff for an order from the ASC under Part 16 of the Act.
promissory notes
These are often sold as an insurance product and are short term loans that promise high returns for borrowing money from you - at no risk. The companies offering the 'investments' are often non-existent.
A formal document required by law when a company wants to sell shares to the public.
A written authorization that allows a person to act for another as agent or substitute.
pump and dump
A scheme where fraudsters heavily promote the purchase of specific company stock, which creates high demand and drives or "pumps" up the prices. The individuals behind the promotion then sell or "dump" their shares at the increased price and stop promoting the stock, which leaves other investors with stock that is worth far less than they paid for it.
put option
A type of option that gives the holder the right to sell an asset at a specified price within a specified time.