Firm Registration

Application for firm registration

A firm applying for registration as a dealer, adviser or investment fund manager must submit a completed Form 33-109F6.

The requirement to register

The requirement to register is found in securities legislation of each jurisdiction. Firms must register if they are:

• in the business of trading
• in the business of advising
• holding themselves out as being in the business of trading or advising
• acting as an underwriter, or
• acting as an investment fund manager

Factors for determining whether a firm is in the business of trading or advising in securities is described in the section 1.3 of the Companion Policy NI 31-103CP.

Completing Form 33-109F6 Firm Registration
Instructions for completing the Form 33-109F6 Firm Registration are found within the form.  It is important to follow the instructions carefully. Your application may be returned if it is not properly completed, or if all of the necessary documents have not been submitted.

A complete Form 33-109F6 consists of 9 parts. 

You may download the PDF version of Parts 1-9 of the Form 33-109F6 by double clicking directly on the Part of the Form that you wish to complete. Each Part of the Form must be downloaded and saved to your computer. You cannot save the PDF on the OSC website.

It is an offence under securities legislation or derivatives legislation to give false or misleading information on this form.

Part 1 - Registration Details

Part 3 Business history and structure

Part 4 - Registration history

Part 5 - Financial condition

Part 6 - Client relationships

Part 7 - Regulatory action

Part 8 - Legal action

Part 9 - certification

Submitting the form
You must submit a completed F6.  A completed F6 includes all nine parts and supporting documents where required. You may submit this form by mail, email or fax to the firm’s principal regulator or relevant SRO.

You can find contact information for submitting and filing the form in Appendix A of Companion Policy 33-109CP Registration Information.

Dual Registered Firms
Existing firms and new applicants may become registered as both an investment dealer and a mutual fund dealer (a dual registered firm). For more information, please see the Dual Registered Firm Guide.

Disclaimer
The electronic version of the form is made available through this website for convenience only.  The form provided as a non-commercial public service and may be used only for complying with the registration requirement under securities legislation. They are provide “AS IS” and “AS Available” without any representations, warranties or conditions, whether expressed or implied, including warranties or conditions of merchantability or fitness for a particular purpose.  A firm seeking registration or any representative of the firm seeking registration is  solely responsible for their use of the Forms and the submission of the completed form through this service.

The securities regulatory authorities and their respective members, commissioners, officers, staff, agents and service providers are not responsible or liable for the unavailability of the form, the service or the website, or for any damages which may arise from a registrant’s use of the form, the service or the website.