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Understanding Your Form 33-109F4

Learn what Form 33-109F4 is

What is Form 33-109F4

Form 33-109F4 is a standardized form used in Canada, regulated by the Canadian Investment Regulatory Organization (CIRO) (formerly IIROC and MFDA), for individuals applying for registration as dealing representatives, advising representatives, or other registered individuals in the securities industry.

When do you use Form 33-109F4

  • Initial registration as a dealing or advising representative in securities.

  • When transferring registration from one sponsoring firm to another.

  • When there are significant changes to a registered individual's circumstances, triggering amendments.

Information Included in Form 33-109F4:

You are only required to submit one form even if you are applying to be registered in several categories. This form is also used if you are seeking to be reviewed as a permitted individual. A post office box is not acceptable as a valid business location address. The information collected on the form is:

  • Personal Information: Name, address, citizenship, and identification details.

  • Employment History: Detailed employment background, particularly in financial services.

  • Education and Professional Qualifications: Degrees, diplomas, designations, and relevant courses.

  • Regulatory Disclosures: Past regulatory actions, criminal or disciplinary history, bankruptcy or insolvency.

  • Outside Activities: Any business or employment activities outside of the sponsoring firm.

  • Supervisor Information: Details of who will be supervising the registrant's activities.

Form 33-109F4 is a critical regulatory document that ensures individuals in the Canadian securities industry are appropriately qualified and compliant with regulatory standards.