...that certain registration information they provide can be disproportionately burdensome, and that other registration information requirements could be clearer,” said Louis Morisset, CSA Chair and President and CEO of the...
...the registration of any firm or individual selling securities or offering investment advice to you, your friends or family. The CSA has provided investors with a tool, the National Registration...
...on March 18. To assist investors, the CSA offers investors the National Registration Search tool–an online search that allows investors to easily check whether a firm or individual is registered...
...of the CSA and Chair and CEO of the Alberta Securities Commission. To assist investors, the CSA offers investors the National Registration Search tool–an online search that allows investors to...
...Retrieval), CTO (Cease-Trade Order Database), DL (Disciplined List), SEDI (System for Electronic Disclosure by Insiders), NRD (National Registration Database) and NRS (National Registration Search). For more information, please visit the...
...by Insiders), NRD (National Registration Database) and NRS (National Registration Search). Improving the User Experience for Canadian Market Participants We have a vision of a seamless platform across Canada that...
...territory where they do business. Registration helps protect investors because securities regulators will only register firms and individuals if they are properly qualified. Use the National Registration Search to check...
...key components of the new regime, which came into force on September 28, 2009, include National Instrument 31-103 Registration Requirements and Exemptions and amendments to National Instrument 33-109 Registration Information....
...understand their qualifications, and the products or services they are selling you. National Registration Search The National Registration Search is a web-based tool that provides information about individuals and firms...
...to meet disclosure requirements or as a result of an enforcement action that involves an investigation of potential wrongdoing. The purpose of the National CTO Database (CTO Database) is twofold:...
