Regulation 31-103 respecting Registration Requirements and Exemptions sets out the minimum education and experience requirements for each registration category.

To be registered, the future professional must:

Step 1: Meet the education and experience requirements

One of the following two conditions must apply:

The representative has passed one of the following exams:

• the Canadian Securities Course exam (CSI This link will open in a new window);
• the Exempt Market Products Course exam (CSI This link will open in a new window);

or

• The representative has met the education and experience requirements for advising representative of a portfolio manager.

Step 2: Enrol in the NRD

The employer submits the registration form via the NRD This link will open in a new window.

Regulation 31-103 respecting Registration Requirements and Exemptions sets out the minimum education and experience requirements for each registration category.

To be registered, the future professional must:

Step 1: Education and experience requirements: Meet one of the following two conditions

1. Pass the CCC exam This link will open in a new window (Canadian Compliance Course) or the Chief Compliance Officers qualifying exam This link will open in a new window;

   AND
   Pass any of the following exam:

   • the Canadian Securities Course exam (CSI This link will open in a new window);
   • the Exempt Market Products Course exam (CSI This link will open in a new window) (this course is only offered in English).

   AND
   Have 12 months of relevant securities industry experience in the 36-month period before applying for registration. 

2. Met the requirements for a chief compliance officer of a portfolio manager.

Step 2: Enrol in the NRD

The employer submits the registration form via the NRD This link will open in a new window.