Changing registration categories or jurisdictions

Add or remove a category

To add a category of registration under section 27(1) of Ontario’s Securities Act, complete the items indicated on Form 33-109F6 Firm Registration Information and submit the form to the OSC in accordance with the instructions included on the form. The firm must meet the requirements for its added category and its registration in that category must be suitable and not objectionable based on public interest. To add a category under Ontario’s Commodity Futures Act, complete the items indicated on Form 33-506F6 Firm Registration Information and submit the form to the OSC in accordance with the instructions included on the form.

To remove a category, the firm must surrender its registration in that category.

Add or remove a jurisdiction

To add a jurisdiction in Canada under Ontario’s Securities Act, complete the items indicated on Form 33-109F6 Firm Registration Information and submit the form to the principal regulator in accordance with the instructions on the form. Refer to applying in more than one province or territory for more information. To add a jurisdiction in Canada under Ontario’s Commodity Futures Act, complete the items indicated on Form 33-506F6 Firm Registration Information and submit the form to the jurisdiction that is being added.

To remove a jurisdiction, the firm must surrender its registration in that jurisdiction.

Add or remove a category

To add or remove a category the individual must complete Form 33-109F2 Change or Surrender of Individual Categories. The sponsoring firm must submit this form through the National Registration Database (NRD). For more information, see section 27(1) of Ontario’s Securities Act and Individual Requirements.

To add or remove a category under Ontario’s Commodity Futures Act, the individual must complete Form 33-506F2 Change or Surrender of Individual Categories and the sponsoring firm must submit the form through NRD.

To remove all registration categories, the individual must surrender their registration.

Add or remove a jurisdiction

To add a jurisdiction in Canada under the Ontario Securities Act, the individual must complete Form 33-109F4 Registration of Individuals and Review of Permitted Individuals and the sponsoring firm must submit the form through NRD. To remove a jurisdiction, the individual must complete Form 33-109F2 Change or Surrender of Individual Categories and the sponsoring firm must submit the form through NRD. To remove a jurisdiction under Ontario’s Commodity Futures Act, an individual must complete Form 33-506F2 Change or Surrender of Individual Categories and the sponsoring firm must submit this form through NRD.

To remove all jurisdictions, the individual must surrender their registration.