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Note: [11 Jan 2015] The following is a consolidation of 33109F2. It incorporates amendments to this document that came into effect on July 11, 2011, January 11, 2015 and local amendments in Nova Scotia

How to fill out national instrument 33-109 registration

How to fill out national instrument 33-109 registration

1. Obtain the National Instrument 33-109 form from the official securities regulatory authority website.
2. Carefully read the instructions provided for filling out the form.
3. Provide accurate personal information, including your full name, address, and contact details.
4. Indicate your employment status and the details of your employer or firm.
5. Disclose any relevant education and professional training or qualifications.
6. Complete the regulatory history section, including any past registrations or disciplinary actions if applicable.
7. Sign and date the form to certify that all information is accurate.
8. Submit the completed form along with any required fees to the appropriate regulatory authority.

Who needs national instrument 33-109 registration?

1. Individuals who work or intend to work as registered dealers, advisers, or representatives in the securities industry.
2. Firms that offer securities trading and investment advice must have individuals registered under National Instrument 33-109.
3. Those who need to comply with securities regulations in Canada.

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What is national instrument 33-109 registration?

National Instrument 33-109 registration is a set of regulations that requires individuals and firms involved in the securities industry in Canada to register with the appropriate regulatory authorities, ensuring compliance with securities laws.

Who is required to file national instrument 33-109 registration?

Individuals and firms that are engaged in trading or advising on securities, as well as those participating in activities such as investment fund management, are required to file national instrument 33-109 registration.

How to fill out national instrument 33-109 registration?

To fill out national instrument 33-109 registration, applicants must complete an online application form provided by the relevant regulatory authority, providing necessary information such as personal details, employment history, and disclosure of any regulatory issues.

What is the purpose of national instrument 33-109 registration?

The purpose of national instrument 33-109 registration is to ensure that all market participants are qualified and meet regulatory standards, thereby protecting investors and maintaining the integrity of the securities market.

What information must be reported on national instrument 33-109 registration?

The information that must be reported includes personal identification details, employment history, financial information, and any past disciplinary actions or criminal charges.