Canadian Securities Administrators

Canadian Securities Administrators

December 21, 2009 11:00 ET

CSA's Web-Based Tool Allows Investors to Search Registration of Securities Industry Participants Across Multiple Canadian Jurisdictions

VANCOUVER, BRITISH COLUMBIA--(Marketwire – Dec. 21, 2009) - The Canadian Securities Administrators (CSA) is encouraging investors across Canada to use its National Registration Search (NRS) to check the registration of a firm or individual when considering an investment opportunity or using a financial adviser.

Canadian securities industry professionals and firms are required to register with the securities regulatory authority in each province or territory where they do business. Investors can use NRS to search for information about individuals and firms registered with the participating securities regulatory authorities.

Searching NRS allows investors to:

  • check a registrant's current or historical status dating back to March 14, 2003
  • determine the category of registration that applies to an individual or a firm
  • understand any registration terms or conditions that apply to a registrant
  • view the participating jurisdictions where a firm or individual is registered

Investors can search NRS on the CSA website (www.securities-administrators.ca), or link to it through a participating provincial regulator's website. Registration information from the Ontario Securities Commission (OSC) is not currently included in NRS. The registration section on the CSA website links to the OSC's Check Registration tool for Ontario registrants.

The CSA launched NRS in early November and introduced it to industry and various stakeholders in order to test its capacity and encourage user feedback. The CSA used this input to make some changes and additions to NRS that improved usability, accessibility and design.

Firm and individual registration relies on National Instrument 31-103 Registration Requirements and Exemptions (NI 31-103) and related rules, which create a Canada-wide registration regime. NI 31-103 also works with the passport system, which allows individuals and firms to register in more than one province or territory by dealing only with their principal regulator.

The CSA, the council of the securities regulators of Canada's provinces and territories, co-ordinates and harmonizes regulation for the Canadian capital markets.

Contact Information

  • British Columbia Securities Commission
    Ken Gracey
    604-899-6577
    or
    Autorite des marches financiers
    Sylvain Theberge
    514-940-2176
    or
    Alberta Securities Commission
    Mark Dickey
    403-297-4481
    or
    Ontario Securities Commission
    Robert Merrick
    416-593-2315
    or
    Manitoba Securities Commission
    Ainsley Cunningham
    204-945-4733
    or
    New Brunswick Securities Commission
    Wendy Connors-Beckett
    506-643-7745
    or
    Nova Scotia Securities Commission
    Natalie MacLellan
    902-424-8586
    or
    Saskatchewan Financial Services Commission
    Barbara Shourounis
    306-787-5842
    or
    PEI Securities Office
    Janice Callbeck
    Office of the Attorney General
    902-368-6288
    or
    Newfoundland and Labrador
    Doug Connolly
    Financial Services Regulation Div.
    709-729-2594
    or
    Yukon Securities Registry
    Fred Pretorius
    867-667-5225
    or
    Nunavut Securities Office
    Louis Arki
    867-975-6587
    or
    Northwest Territories Securities Office
    Donn MacDougall
    867-920-8984
    www.securities-administrators.ca