Investors
Check Registration
Anyone selling securities, offering investment advice or managing an investment fund in Ontario must register with the OSC, unless they have an exemption.
Registration tells you what products and services a firm or individual can offer. Firms and individuals are registered by category – each category has different requirements and permits different activities. The only way to know for sure if they’re qualified is to check their registration.
We can tell you:
- if a firm or individual is registered with the OSC
- the type of registration they hold
- the type of products and services they are qualified to provide
- if there are any restrictions on their registration
You can check registration online or
contact the OSC.
Registrant Search
Search here to find out if an individual or firm is registered with the OSC, what category they are registered in, and any terms or conditions attached to their registration.
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- To search an individual name, use the format: "Last Name, First Name" - or search only by last name.
Example - Search - "Doe, Jane" - instead of "Jane Doe".
- Search queries are not case sensitive.
Example - searches for "john smith", "John Smith", and "jOhN sMitH" will all return the same results.
- Searching only an Individual Name OR only a Company Name will return more results.
Example - Using both search fields will narrow your search, but can also restrict the amount of results returned.
- Special search terms and characters cannot be used.
Example - Boolean terms (AND, NOT, OR) and Symbols (*, +, -) will restrict results.
- To use the “Terms and Conditions" search in Firefox Browser Versions 2.0+ please adjust the settings in your browser by following these instructions.
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Instructions to search the Registrants List in Firefox 2.0+ [close Firefox instruction]
1. Launch your Firefox browser. Select Help > Check for Updates. Install the latest update if any. The update may require you to restart Firefox.
2. Browse to the Registrants List page (After performing a search you may see the error: “Permission denied to call method XMLHttpRequest.open”)
3. If the error is present, please adjust your browser settings by typing “about:config” into your address bar.
4. Under the “Preference Name” column, change the value of ‘signed.applets.codebase_principal_support’ to “true” by right clicking the text and selecting “toggle”.
5. Return to the Registrants List page
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