Individual Registration
In order for individuals to be registered, they must first be sponsored by a firm that is registered with the NSSC. The steps below outline the initial registration process for firms.
The Application Package
To apply for firm registration, you must compile and submit the following documentation:
- Cover Letter: Explaining that the firm is seeking registration in Nova Scotia and/or other jurisdictions.
- Completed Form 33-109F6 – Firm Registration: Download Form
This form is included in National Instrument 33-109 – Registration Information (NI 33-109). - Supporting Documentation for the Form:
- Schedule A: Contact information for notice of collection and use of personal information.
- Schedule B: Submission to jurisdiction and the appointment of an agent for service for each jurisdiction where the firm is seeking registration.
- Schedule C: Form 31-103F1 Calculation of excess working capital.
- Proof of registration as a corporation or partnership in all the jurisdictions in which the firm applied for registration.
- Detailed business plan (question 3.3).
- Policies and procedures manual including client agreements (question 3.3).
- Constating documents (question 3.7).
- Organizational chart (question 3.11) including detailed information about whether the firm has direct/indirect interest in another registrant and the nature of the interest.
- Ownership chart (question 3.12).
- Most recent audited financial statements as required in question 5.13.
- Proof of bonding and insurance, including director’s resolution approving insurance (question 5.7). Must cover each jurisdiction in which the firm is seeking registration, per Part 12 of NI 31-103.
- Letter of direction to auditors (question 5.14).
CIRO Membership
For registration as a mutual fund dealer or investment dealer, proof of membership is required.
NRD Enrollment
The firm must enroll with the National Registration Database (NRD) as part of the initial process.
Required Fees
NRD user fees and regulatory fees are outlined in each jurisdiction’s fee rule. Initial applications may be paid by cheque or through NRD.
Submit by Email
You can submit your completed application or ask any registration questions by email.
Submit by Mail
Physical applications and documentation can be sent to our Halifax office.
Nova Scotia Securities Commission
5251 Duke Street, Suite 400
PO Box 458
Halifax, NS B3J 2P8
Review Process: Commission staff will review the application in a timely manner and will communicate with the firm by providing comments and/or requesting additional information when necessary. An incomplete or deficient application will delay the review process.