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What criteria are required to qualify as a securities professional?
You are considered a Securities Professional (SPP) if you are employed by a firm that is a member of the Investment Industry Regulatory Organization of Canada (IIROC).
In addition, any person living in the same household as a SPP is also considered a SPP, including spouse, child, parent, and sibling.
Related questions
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Who does the Publicly Traded Partnership (PTP) regulation apply to? Discover who the PTP regulation applies to - all non-US persons, including individuals and corporations. -
What is a Publicly Traded Partnership (PTP)? Publicly Traded Partnerships (PTPs) are publicly traded companies managed by partners and financed by investors. Learn more here. -
How do I trade U.S. securities during extended trading periods? Learn about trading U.S. securities during extended hours. Fees may apply. -
What time does the stock market open and close in North America? See the stock market hours in North America. Learn about extended trading hours for phone-only trades.
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