Canada

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Stockbrokers in Canada have at least a Bachelor's degree, often in business, finance, or economics. A strong educational background is vital to success in the financial industry, as employers will only consider candidates that have had graduated from formal post-secondary programs. After graduating, those interested in becoming stockbrokers in Canada must take the CSI Global Educations Canadian Securities Course (CSC) offered by CSI Global Education (formerly the Canadian Securities Institute). This may be done either before finding an employing firm, or may be sponsored by an employer. Within the 36 months before applying for securities registration to become a stockbroker, candidates must gain twelve months of experience within the securities industry. Candidates that wish to work in both Canada and the United States may take the Financial Industry Regulatory Authority, Inc. (FINRA) Series 37 exam or Series 38 Exam. The Series 37 Exam is the Canada Module of the Series 7 Securities Representative Qualification Examination with Options Questions. The Series 38 exam is the same, without options questions, and should be taken by candidates who will not be trading stock options. Stockbrokers in Canada must be registered with the National Registration Database (NRD). This will also serve as the provincial and territorial registration for each Securities Commission jurisdiction in which candidates plan to work. NRD registration is completed using the Form 33-109F4
IIROC registered stockbrokers must fulfill continuing education (CE) requirements to maintain registration and eligibility to work. CE consists of a Compliance course and a Professional Development course.