The initial registration requirements for individuals are set out in the following forms:
- Form 33-109F4 Registration of Individuals and Review of Permitted Individuals for applications under the Securities Act (Ontario), and
- Form 33-506F4 Registration of Individuals and Review of Permitted Individuals for applications under the Commodity Futures Act (Ontario).
For more information, see Individual Applications.
Individuals must meet certain education and experience requirements in order to be registered. These requirements depend on which category of registration an individual is applying for. See Part 3 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations for the requirements for each category.
We may ask for other information to help us make a complete assessment of the individual’s fitness for registration.
Exemptions from registration requirements, such as proficiency, may be granted in certain circumstances. For more information, see Asking for Relief.
For more information: