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Securities

    

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Registration

Anyone who is trading or advising in securities in the province should be registered with the Securities Office. Firms and individuals registered in Prince Edward Island are listed on our Firm and Individual Registration List. Individuals are listed under their firms. If you don't know the firm an individual is registered with, you can use the general search function or contact our office at (902) 368-6288. Registrants with access to the National Registration Database (NRD)can check their registration status on that system.

National Registration Database

The National Registration Database (NRD) is a web-based system that permits dealers and advisers to file registration applications and amendments for their staff electronically. NRD was launched across Canada on March 31, 2003. For information on enrolment and the NRD system refer to the website at www.nrd-info.ca. After reviewing the website, if you need further assistance, please contact Mark Gallant at (902)368-4552 or mlgallant@gov.pe.ca.

Notes for NRD Filers in PEI

Note 2: Extension of Filing Deadlines

The deadline for NRD filings has been extended in PEI in accordance with the extensions granted in the other jurisdictions. See Blanket Order #31-503
In the Matter of Certain Exemptions Under Multilateral Instrument 31-102 National Registration Database ("MI 31-102") and Multilateral Instrument 33-109 Registration Information ("MI 33-109").

Note 1: Compliance Officers

In PEI, Compliance Officers should check off the box for Compliance Officer under the registration category list. Compliance Officers should not also check off the box for Trading Officer. Registration as a Compliance Officer in PEI includes the category of Trading Officer and there is no requirement to also be registered in the category of Trading Officer in order to trade in our jurisdiction. Those who do check off both boxes will be charged an additional annual registration fee by NRD which is not a requirement of the PEI Securities Office.

Firms

Firms applying for registration in the province will continue to be required to file an initial paper application. Firms are directed to the information packages and forms below.

Information Packages

• Requirements for Initial Registration as a Broker
• Requirements for Initial Registration as an Adviser

Forms

• Form 3 - Application for Registration as Broker or Adviser
• Form of Submission to Jurisdiction [WordPerfect]
• Disclosure Statement to New Clients [WordPerfect]
• Undertaking to Provide Information [WordPerfect]
• Securities Fraud Information Centre Form (RCMP)

Mobility Exemptions

Prince Edward Island has adopted MI 11-101 Principal Regulator System. Guidelines for use of the mobility exemption in Part 5 of MI 11-101 are set out in Notice 2006-1 (MI 11-101)