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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

Money you have not spent.
savings account
An account with a bank, trust company or credit union that pays interest on the money you deposit and allows you to withdraw your money at any time.
A fraudulent or unethical activity; a fraud or trick.
Transferable certificates of ownership of investment products including bonds, notes, stocks, future contracts and options.
securities regulation
The regulation of the conduct of securities market participants including issuers that raise capital through security offerings, and their directors and officers and securities firms, their directors and officers, and their employees registered to advise and trade in securities. Securities regulation is the responsibility of the Alberta Securities Commission in Alberta.
SEDAR - System for Electronic Document Analysis and Retrieval
The CSA's national electronic filing system for disclosure by public companies and mutual funds.
SEDI - System for Electronic Disclosure by Insiders
The CSA's national web-based system that facilitates the filing and public dissemination of "insider reports".
segregated fund
An insurance product that combines investment products with insurance coverage.
self-regulatory organizations
Organizations like the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada who make sure their member firms meet standards set by provincial laws for securities.
Stock, a certificate that represents part ownership of a company.
share dilution
Occurs when a company requiring new financing issues additional common shares for purchase, increasing the number of outstanding shares. Can also occur through "exercise​ of options” or conversion of other securities.
Someone who owns shares in a company.
shareholder communication form
A form shareholders complete to indicate their instructions on the communication they wish to receive from companies on investments they own and how they wish to receive the communication.
short selling
The buying and selling of stocks with the assumption that the share price will decrease.
simple interest
Interest that is paid only on the amount of the initial deposit and not on any interest the deposit earns over time, unlike compound interest (e.g.: in year 1, the bank pays you $5 interest on your $100 deposit; in year 2, it again pays you interest only on the original $100 deposit).
spot market
A commodities or securities market where goods are traded for cash and delivered immediately.
statement of cash flows or cash flow statement
A financial statement that shows a company’s cash receipts and payments during a specified period.
A share in the ownership of a company.
stock exchange
A place where shares and some other types of investments can be bought and sold.
Someone who owns shares in a company.
stock spam
Unsolicited email that promotes a company's stock.
strip bonds
Also called zero coupon bonds. An investment firm purchases a block of high-quality bonds and “strips” or separates the individual future-dated interest coupons from the rest of the bond and then sells each part separately. The firm usually sells each coupon as well as the principal bond separately at discounts to the face value. Purchasers receive no interest payments but they provide a certain compounded rate of return when they mature.
Every registered securities advisor in Canada is required by law to recommend only investments that are appropriate for an investor’s goals and financial situation.
suitable investment
An investment that is appropriate to your risk tolerance and investment goals when considered in the context of your life circumstances and entire portfolio.
A derivative product whereby two parties agree to exchange an asset, cash flow, or some other liability for another.