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.

View and print the PDF guide. 

For firms seeking to register as both an Investment Dealer and a Mutual Fund Dealer, please see the following guide that focuses on filing obligations on the National Registration Database: Dual Registered Firm - Guide.

NRD Inquiries:
Phone: (403) 297-2069