Broker price opinion


For failing to comply with the rules and requirements of registration or for misconduct by the firm or individual against the investing public).

Generally, if your advisor is selling securities to the public in Ontario, the securities must be offered under a prospectus (a document that provides detailed information about the security and the company offering it), but there are some exceptions to this rule. For example, in Ontario, if a company is trying to raise money, they may be able to sell to a family member without a prospectus under the Family, Friends and Business Associates prospectus exemption.

However, if the company or advisor is involved in selling and advising in those securities, they still need to be registered to do so. The value of a dividend fund depends on the value of the underlying stocks in the fund and the amount of dividend income earned by the fund.