How to Apply

This guide provides information about how a market participant may apply to register a firm with the Alberta Securities Commission. The guide also references certain registration links that may assist during the application process.

For firms seeking to register as both an Investment Dealer and a Mutual Fund Dealer, please see the following guide that focuses primarily on the filing obligations associated with National Instrument 33-109 Registration Information and its associated forms on the National Registration Database. 


NRD Inquiries:
Phone: (403) 297-2069