Industry


Changing Categories or Jurisdictions


Once they are registered, firms and individuals can add or remove categories of registration, and add or remove registration in other provinces or territories.

Firms

Add or remove a category

To add a category of registration, complete the items indicated on Form 33-109F6 Firm Registration Information and submit the form to the OSC. The firm must meet the requirements for that category and its registration in that category must be suitable and not objectionable based on public interest. For more information, see section 27(1) of the Securities Act (Ontario) and Firm Requirements.

To remove a category, the firm must surrender its registration in that category. For more information, see Surrendering Registration.

To add a category under the Commodity Futures Act (Ontario), complete the items indicated on Form 33-506F6 Firm Registration Information and submit the form to the OSC.

Add or remove a jurisdiction

To add a jurisdiction in Canada, complete the items indicated on Form 33-109F6 Firm Registration Information and submit the form to the principal regulator. For more information, see Applying in more than one province or territory.

To remove a jurisdiction, the firm must surrender its registration in that jurisdiction. For more information, see Surrendering Registration.

To add a jurisdiction in Canada under the Commodity Futures legislation, complete the items indicated on Form 33-506F6 Firm Registration Information and submit the form to the jurisdiction that is being added.

Individuals

Add or remove a category

To add or remove a category, the individual must complete Form 33-109F2 Change or Surrender of Individual Categories. The sponsoring firm must submit this form through the National Registration Database (NRD). If registering in another category, the individual must meet the requirements for that category and the individual’s registration in that category must be suitable and not objectionable based on public interest. For more information, see section 27(1) of the Securities Act (Ontario) and Individual Requirements.

To remove all registration categories, the individual must surrender their registration. For more information, see Surrendering Registration.

To add a category under the Commodity Futures Act (Ontario), the individual must complete Form 33-506F2 Change or Surrender of Individual Categories. The sponsoring firm must submit the form through NRD.

Add or remove a jurisdiction

To add a jurisdiction in Canada, the individual must complete Form 33-109F4 Registration of Individuals and Review of Permitted Individuals. The sponsoring firm must submit the form through NRD.

To remove a jurisdiction, the individual must complete Form 33-109F2 Change or Surrender of Individual Categories. The sponsoring firm must submit the form through NRD.

To remove all jurisdictions, the individual must surrender their registration. For more information, see Surrendering Registration.

To add a jurisdiction in Canada under the Commodity Futures legislation, an individual must complete Form 33-506F4 Registration of Individuals and Review of Permitted Individuals. To remove a jurisdiction, an individual must complete Form 33-506F2 Change or Surrender of Individual Categories. The sponsoring firm must submit these forms through NRD.

Fees

A fee applies to add registration categories. There is no fee for removing registration categories. For more information, see Fees.

For more information: