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Approval Categories and Definitions

Dec 7, 2021 - By Misc Authors

Below are different IIROC approval categories and definitions you may find throughout the site. Investment Representative (IR): An individual who is approved by IIROC to trade in, but not advise on, s...

Different Qualifications for licensing

Dec 7, 2021 - By Misc Authors

Licensing to trade securities (not limited to mutual funds): Successful completion of the Canadian Securities Course (CSC)® is the pre-requisite to becoming licensed (registered) to sell securities. I...

Investment Firms Registration & Individual Registration

Dec 7, 2021 - By Misc Authors

Investment Dealer A firm that sells a broad selection of investment products, such as: shares and bonds mutual funds and exchange-traded funds limited partnerships real estate investment trusts and ot...