Registration
- Fee Reminder - August, 2005
- Notice of Approval - MFDA Investor Protection Corporation
- Approval Order - MFDA Investor Protection Corporation and Mutual fund Dealers Association of Canada
- Registered Dealers, Advisers and Underwriters
- Notice of Fee Change Changes in the fee schedule regarding sub-branch in Nova Scotia
- Blanket Order 31-504 Certain Non-Resident Registrants and Blanket Order 28 (Required for firms seeking registration in Nova Scotia via NRS)
- NRS - Frequently Asked Questions
- NRD - Frequently Asked Questions
- Nova Scotia Resident Registrants
The following forms are being provided to you for your convenience. To use the forms correctly you must have Adobe Acrobat Reader installed. Accessible PDF options.
- Form 3 This form is to be used by every business applicant seeking registration from the Nova Scotia Securities Commission (the "Commission") as a Dealer, Adviser or Underwriter.
- Contingency Trust Fund Agreement This form is to be used by every business applicant seeking registration from the Commission as a Mutual Fund Dealer and Scholarship Plan Dealer.
- Form 33-109F1 Notice of Termination This form is to be used for all terminations and must be filed within 5 days of the effective date of the termination.
- Form 33-109F2 Change or Surrender of Individual Categories This form must be completed for any individual seeking to change or surrender any registration categories they might hold.
- Form 33-109F3 Business Locations other than Head Office This form is to be used for the opening, closing or change of information for all business locations other than head office addresses.
- Form 33-109F4 Registration Information for an Individual This form is to be used by every individual applicant seeking registration from the Commission as a partner, officer, director, salesperson or representative of a Dealers or Adviser.
- Form 33-109F5 Change of Registration Information This notice must be submitted when notifying a regulator of changes to Form 3 or Form 4 information in accordance with MI 33-109, other than as provided for in the other 33-109 Forms.
- RCMP Records/Request Form This form must be submitted with any Form 33-109F4 application.
- Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Non-Resident Partners, Officers or Representatives of a Non-Resident Dealer
- Appendix A Blanket Order 31-504, Firm's Submission to Jurisdiction and Appointment of Agent for Service Address (in doc format)
- Appendix B Blanket Order 31-504, Undertaking to Provide Information (in doc format)
Contacts:
Eva Briand
Registration Clerk
Phone: (902) 424-4571
E-Mail: briandem@gov.ns.ca
National Registration Database
Help Line: 1-800-219-5381