FREQUENTLY ASKED QUESTIONS


About the CSA

What is the CSA?

The Canadian Securities Administrators (CSA) is an umbrella organization of Canada’s provincial and territorial securities regulators whose objective is to improve, coordinate and harmonize regulation of the Canadian capital markets.

Does the CSA oversee the thirteen provincial/territorial securities regulators in Canada?

The CSA is not responsible for overseeing the operations of our members, the different securities regulators in Canada.

The thirteen members of the CSA are regulatory agencies mandated by their respective provincial or territorial governments to administer and enforce securities regulation in their province or territory through the administration of their securities act or law. Administration and enforcement of securities regulation is done on an individual basis by each province or territory.

How do I sign up to receive an email notification when the CSA publishes a news release?

Click here to sign up to receive emails when we issue a news release.

How can I login and access the “member” section of the website?

The “member” section of the CSA website is reserved for our members, the staff of the thirteen securities regulators in Canada. It is not accessible to the public.


Investor Tools

How do I choose a dealer or an advisor?

Click here for information to help you choose the right financial advisor.

Can the CSA recommend an advisor?

The CSA cannot recommend an advisor but we can give you guidance on choosing an advisor who is suitable for you and your investment situation. Click here for more information.

How do I learn more about investing?

There are a number of resources available on our website to help you learn more about investing. Contact your Local Regulator with any questions or concerns.

I found an old stock certificate. How can I find out its value?

Click here for information on determining the value of an old stock certificate.


Enforcement

How do I find out if my dealer or advisor has been in trouble before?

Click here for information on checking disciplinary history.

How do I sign up to receive Disciplined List notifications?

Click here to sign up for immediate e-mail notification when additions are made to the Disciplined List.

How do I get more information about a person or company listed on the Disciplined List?

The Disciplined List amalgamates disciplinary information from a number of agencies. Should you wish to obtain additional details on a particular sanction or to confirm a specific individual’s or company's identity, please contact the agency that issued the sanction. Click here to access the contact information for all Securities Regulators in Canada.

How do I sign up to receive Investor Alerts?

Click here to sign up for immediate e-mail notification when additions are made to the Investor Alert database.

How do I make a complaint?

While the CSA co-ordinates initiatives on a cross-Canada basis, provincial or territorial regulators handle all complaints regarding securities violations in their respective jurisdictions. This provides a more direct and efficient service since each regulator is closer to its local investors and market participants. Enforcement of securities regulations is also done on an individual basis by each province or territory.

For more information or if you wish to make a complaint, contact your local securities regulator.

I believe I have been approached about an investment scheme that appears to be fraudulent. What do I do?

It’s important to report even the suspicion of investment fraud. Contact your local regulator if you have concerns about an investment offer that you have received.

To report a fraud or a scam, contact your local securities regulator.


Cease Trade Orders

What is a Cease Trade Order

Click here for information on Cease Trade Orders.

What does it mean if a company has a Cease Trade Order issued against it?

Click here for information on the status and scope of Cease Trade Orders.

What do I do if I own shares in a company that has a Cease Trade Order?

Click here for information if you hold shares in a company that has been cease traded.

How do I sign up to receive CTO email notifications?

To receive an email notification every time there is an update to the CTO data, email your contact information (including your telephone number) to the CSA Secretariat. We will complete your registration and send you your user name and password in order that you may set your personal preferences.


Registration

How can I check to see if an individual/investment firm is registered?

Click here to find out if your investment firm or advisor is registered.

Can I download a list registered individuals/firms from the National Registration Search engine?

It is not possible to download or obtain a list of all registered individuals/firms from the National Registration Search. The search engine was designed to verify the registration of a particular individual or firm, not to provide lists.

Can I limit the search results to a specific city or area?

It is possible to limit search results by selecting a given jurisdiction (province or territory). However, it is not possible to sort the data according to more specific geographical criteria such as by city in that province or territory.

How do I obtain my NRD number?

Contact the securities regulatory authority where you were registered (usually your province/territory of residence) to obtain your NRD number. Contact information for all Securities Regulators in Canada is available by following this link.


Industry Resources

What is SEDAR?

The System for Electronic Document Analysis and Retrieval (SEDAR) is the system that issuers use to file public securities documents and information with the Canadian Securities Administrators (CSA).

Where can I find information about public companies (or other reporting issuers) and their filings?

The website, www.sedar.com, is the official site that provides public access to issuer profiles and SEDAR public securities filings.

What is SEDI?

The System for Electronic Disclosure by Insiders (SEDI) is Canada's on-line, browser-based service for the filing and viewing of insider trading reports as required by various provincial and territorial securities rules and regulations.

Where can I find information about insiders and insider trading reports?

The website, www.sedi.ca/sedi/, is the official site that provides public access to insider reports as required by various provincial and territorial securities rules and regulations.

Where can I find CSA National Instruments?

National instruments, multilateral instruments, national policies and CSA notices are not available on our website but rather on our members’ websites. Contact information for all Securities Regulators in Canada is available by following this link.

Where can I find the Monthly Suppression of Terrorism and UN Sanctions Report form?

The Monthly Suppression of Terrorism and UN Sanctions Report is not available on our website but rather on our members’ websites. Contact information for all Securities Regulators in Canada is available by following this link.