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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).
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Sanction Decision 6 June 2017Decision 15 March 2017Merits Decision 14 March 2017Ruling 13 December 2016Notice of Withdrawal 13 July 2016Settlement Agreement and Undertaking 15 June 2016Settlement Agreement and Undertaking 14 June 2016Settlement Agreement and Undertaking 14 June 2016Ruling 6 November 2015Notice of Hearing 6 February 2015
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