December 8, 2022

This communication provides information regarding applications by existing firm(s) or new applicants to become registered as both an investment dealer and a mutual fund dealer.

The Canadian Securities Administrators has prepared the Dual Registered Firm Guide to assist firm(s) and new applicants, who wish to become registered as both an investment dealer and a mutual fund dealer, with the application process. The Guide focuses primarily on the filing obligations associated with National Instrument 33-109 Registration Information and its associated forms on the National Registration Database.

Steps associated with becoming a dual-registered Member Firm with the New Self-Regulatory Organization of Canada (the New SRO) can be found here. The New SRO will also be publishing a new membership application in January.