National Registration Search


  Registration information was last refreshed on 2023-01-25 18:36 PST.
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Registration helps protect you!

Verifying registration is the first step to take before investing.

If you discover the person or company you are dealing with is not registered, or is offering you something they don’t seem permitted to, contact your local securities regulator.

New Self-Regulatory Organization of Canada

Canada’s provincial and territorial securities regulators have recognized the New Self-Regulatory Organization of Canada (New SRO) effective January 1, 2023. The New SRO consolidates the functions of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) . The New SRO regulates mutual fund dealers, investment dealers and marketplace members (such as exchanges and quotation and trade reporting systems).

For further information on Investment Dealers that were formerly regulated by IIROC (such as background, qualifications and discipline history), you can still use IIROC's Advisor Report.

Beginning January 1, 2023, firms will be able to conduct mutual fund business and investment dealer business within the same legal entity (dual registered firms). Dual registered firms will have two NRD numbers and two Firm Registration Records, one for its mutual fund dealer business and one for its investment dealer business. The dual registered firms will appear on this site with their corresponding qualifiers (Investment Dealer Division or Mutual Fund Dealer Division).


Historical Registration Information

To view historical information or registration information with respect to individuals or firms that are no longer registered, you can select to "include Historical Registration Information" in your detailed search. Registration information on this site is limited to going back to September 28, 2009 at which time the registration regime was reformed and harmonized across Canada. For registration information prior to that date, contact your local regulator.

Checking registration is an important first step in making an informed decision. Use the “Check Before You Invest” workbook to record your registration search results when choosing or working with a firm or individual.

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1 Prior to January 1, 2023, the Investment Industry Regulatory Organization of Canada (IIROC) was the national self-regulatory organization that oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.
2 Prior to January 1, 2023, the Mutual Fund Dealers Association of Canada (MFDA) was the self-regulatory organization for Canadian mutual fund dealers.

Show detailed search Hide detailed search Enter individual name Enter firm name or NRD number Enter related firm name Search Tips - Jurisdiction Search Tips - Category
Selecting one or more jurisdictions limits your search to individuals or firms registered with the securities regulatory authority in the specified province or territory.
The category options for individuals specify the roles individuals are registered as and permitted to do. The category options for firms specify what products their representatives are permitted to advise on or sell.

Full category details are listed in Part 2 Categories of registration for individuals and Part 7 Categories of registration for firmsin National Instrument 31-103 Registration Requirements and Exemptions.National Instrument 31-103 is available on various CSA members’ websites.
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