Industry


Surrendering Registration


Firms and individuals may apply to the OSC to voluntarily surrender their registration. We will accept the surrender and terminate the registration if all financial obligations to clients have been met and it is not contrary to the public interest.

Firms

Firms must submit a request in writing to surrender their registration in a category or jurisdiction, or to fully surrender their registration.

We may accept the surrender if:

  • the firm has discharged all financial obligations to its clients under the category of registration in the jurisdiction
  • the firm has met all requirements for the surrender of registration, and
  • the surrender would not be contrary to the public interest.

Individuals

To surrender their registration in all jurisdictions, individuals must complete Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals. The sponsoring firm must submit the form through the National Registration Database (NRD).

To surrender registration under the Commodity Futures Act (Ontario), individuals must complete Form 33-506F1 Notice of Termination of Registered Individuals and Permitted Individuals. The sponsoring firm must submit the form through NRD.

For more information: