Updating registration information
Registered firms, registered individuals, and permitted individuals must keep the information they provide to the Ontario Securities Commission (OSC) up-to-date. Firms submit updated information to the OSC through the OSC’s electronic filing portal, and individuals submit through the National Registration Database (NRD).
Changes to current employment information, including any dual employment or other outside business activities such as directorships, other professional activities and part-time employment must be disclosed.
Timelines for filing notices to update registration information
Filing deadlines are listed within Appendix A Summary of Notice Requirements in National Instrument 33-109 to Companion Policy 33-109CP Registration Information, which also lists the type of registration-related information to be kept up-to-date. These timelines apply to filings under Ontario’s Securities Act and Commodities Futures Act.
Fees may apply to certain registration related changes. In addition, if a filing or notice is received after the due date, a late fee may apply.
Please refer to fees for information.
Implementation Guide to Amendments to National Instrument 33-109: Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
This guide provides information about amendments to National Instrument 33-109 Registration Information that come into force on June 6, 2022.
Registration for CIRO Dual Registered Firms
If you have any questions or are interested in applying for registration as a dual registered firm, please contact your principal regulator and CIRO.