Individual Categories

An individual must choose one or more categories when applying for initial registration. An individual’s registration must be sponsored under a firm’s registration.

Individual registration categories under the Securities Act (Ontario) are set out in Part 2 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. Individual registration categories under the Commodity Futures Act (Ontario) are set out in Section 22 of the Regulations.

For more information, see the Guide to Individual Registration Categories.

Individuals may add and remove categories after they are registered. For more information, see Changing Categories or Jurisdictions.

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

For more information: