IMPORTANT NOTICE OF CHANGES AND ASSIGNMENT dated January 11, 2014
On January 11, 2014, the operation of NRD and the NRD website was transferred from CDS INC. to a new service provider engaged by the British Columbia Securities Commission, Alberta Securities Commission, Ontario Securities Commission and Autorité des marchés financiers, as representative stakeholders of the thirteen Provincial and Territorial securities regulatory authorities of Canada.
The rights and obligations of CDS INC. in certain NRD enrolment and account forms were assigned as of January 11, 2014, to the Alberta Securities Commission ("ASC"), as the representative securities regulatory authority authorized to grant licenses and enter into agreements with users of NRD and the NRD website. Commencing January 11, 2014, the ASC will be party to and manage the contractual relations with all users of NRD and the NRD website.
As a result, consequential amendments, including those related to the payment of fees pursuant to Multilateral Instrument 13-102 System Fees for SEDAR and NRD, have been integrated into the various NRD enrolment and account forms made available through this Web Site in order to reflect the above-mentioned changes.
Each firm must:
Please click on the above links for further details.
What to expect once you have submitted your enrolment package
- The NRD Administrator will verify the completeness and accuracy of incoming forms and supporting documentation, and follow-up with firms where they have found deficiencies.
The NRD Administrator will return forms to the firms for completion if they are substantially deficient, or if the firm has not responded to a follow-up issue within 3 days.
- Your firm's enrolment will be completed when The NRD Administrator sends a confirmation e-mail or fax to the Chief AFR. The confirmation will include the NRD number assigned to your firm, as well as the user ID and password necessary for the Chief AFR to access the system.
If you have any questions about the enrolment process, please contact the CSA Service Desk:
Fax (toll free): 1-866-729-8011
Every registrant firm is required to complete the three enrolment forms, and to submit a signed, original hardcopy, together with the enrolment fees, to the NRD Administrator at the following address:
ALBERTA SECURITIES COMMISSION
c/o CSA Service Desk
Attention: NRD Administrator
12 Millennium Blvd, Suite 210,
Moncton, NB E1C 0M3
The three enrolment forms are as follows:
Please ensure you include the following documents with your forms:
- A true copy (complete, unaltered photocopy) of the certificate of incorporation, certificate of amendment or other business registration document issued by the applicable governmental office that confirms the current legal name of the firm. (See page 1 of NRD Form 1 - Enrolment of Firm Filer.)
- A cheque payable to NRD System Fees. for the amount of $500. This must be paid in Canadian Funds.
- A VOID cheque from the account (NRD account) you wish to use for all subsequent NRD fees.
In addition, please be sure that all five digits of the Branch Transit Number for the NRD account are indicated on each of NRD Form 1 and NRD Form 3.
Instructions for working with the forms
Click on the above links to open each enrolment form in a new browser window.
|These forms are being provided to you for your convenience in PDF only. To use the forms correctly you must have Adobe Reader 6.0+ installed.
Here is a link to the latest version.
Click the icon to download free
software to view PDF documents
Acrobat Reader allows you to enter your firm's information in the appropriate sections of the forms, and to print the completed forms. However, you will not be able to save any of the information you've entered on your hard drive, and therefore you must complete the entire form in a single session.
If you wish to be able to save the information so that you can edit it at a later date, you will need to purchase and install one of the following programs:
If you have complied with the instructions above and continue to experience difficulty completing the forms, please contact the CSA Service Desk at 1-800-219-5381.
Firms will be charged a $500 enrolment fee. Enrolment fees must be paid by each registrant Firm via paper cheque, payable to NRD System Fees., at the time the Firm submits its enrolment forms.