Becoming Registered
Interested in becoming a registered dealer or adviser? The ASC has prepared a checklist that will help you understand the requirements and application process.
Checklist: Application as a Dealer
For those seeking registration as a Scholarship Plan Dealer or Mutual Fund Dealer
Checklist: Application as an Adviser
For those seeking registration as a Portfolio Manager, Investment Counsel or Securities Adviser
Form 3: Application for registration as Dealer, Adviser or Underwriter
Please note, firms or individuals interested in becoming an investment dealer (or broker) must seek registration through the Investment Dealers Association of Canada (IDA). Visit the IDA website.