Smartenu Up Institute

Canadian Securities Regulatory Framework

Credit hours are based on self-assessment.

The securities industry in Canada is regulated federally, provincially, and by the industry itself.

This online course gives an excellent overview of the roles for these regulatory bodies and the legislation and rules that affect the companies and individuals working in the industry.

You may start your online course upon confirmation of payment.  Your confirmation email will include your username and password to enter the online classroom.  

You can start immediately or you can come back at a later time to complete the course.

Once you start the exam portion of the course you must continue to the end. You will not be permitted to navigate back to previous pages.

This course should be of particular interest to persons: 

  • Persons presently outside the industry looking to increase specific financial knowledge or seek entry to the industry
  • Operational and administrative staff new to the financial and/or securities industry
  • Investment firm IT staff new to the financial and/or securities industry
  • Investment firm staff with limited knowledge of the entire operations process

Learn how the Canadian financial industry is regulated.

  • Who are federal and provincial regulators?
  • What are their roles?
  • What rules are important to understand?


Lesson 1 - How the securities industry regulatory framework developed

Lesson 2 - Provincial legislation and regulations

Lesson 3 - Rule making and enforcement

Lesson 4 - Registration

Lesson 5 - Disclosure 

Lesson 6 - IIROC

Lesson 7 - Exchange rules and regulations

Lesson 8 - Mutual fund dealers

On-line Exam
Once you have completed the course the exam is provided to you automatically. You will not be allowed to navigate back to previous pages once you start the exam. You must finish the exam once started. Upon successful completion of the course, you will be provided with a Certificate copy.

Course Code: CEC16