Firm Categories

A firm must choose one or more categories of registration when applying for initial registration.

Firm registration categories under the Securities Act (Ontario) are set out in Part 7 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. Firm registration categories under the Commodity Futures Act (Ontario) are set out in Sections 7 and 8 of the Regulations. For more information, see the Guide to Firm Registration Categories.

A firm may add and remove categories after being registered. For more information, see Changing Categories or Jurisdictions.

If you are unsure about which category your firm should register in, you should seek professional advice. As a regulatory agency, the OSC cannot provide legal or other professional advice.

For more information: