Click on one of the questions below to view the answer.
Can I submit a registration application to every jurisdiction at once on NRD?
Yes. NRD will allow you to submit an application to each jurisdiction in which your sponsoring firm is registered using a single online form. If you are working with a firm that is a member of the Investment Dealers Association (IIROC), you can also submit your application for approval to the IIROC online through NRD.
How will I know that a submission has been accepted by the system?
You can check the "Sent to Regulators" list, which provides real-time information on all submissions you have made to each jurisdiction.
If a submission is not acceptable because a required field of information has not been completed properly, the system will not allow you to submit it. If all fields have been completed but regulators need clarification or further information, then NRD will accept the submission, and the regulators will contact you directly.
What happens when I've entered information but then I have to log off the system before I've completed the submission?
Your submission will automatically be saved on NRD as "work in progress" ("WIP"). This enables you to access the submission at a later date and continue to work on it. Regulators will not have access to a WIP submission until you have actually submitted it.
What kind of reports can a firm get from NRD?
The following types of reports are available, in CSV, Excel and PDF formats, to all firm registrants:
- A Reconciliation Report by Submission lists all submissions made by your firm over a period of time, the amount of fees paid in respect of each submission, and the status of that payment.
- A Reconciliation Report by Electronic Fund Transfer lists all electronic pre-authorized debits taken from your firm's designated account over a period of time.
Like the reconciliation report by submission, this report enables you to reconcile your firm's designated account statements to NRD's fee payment records.
- A List Registrant lists basic information for all individuals associated with your firm.
- A List AFR lists basic information for all AFRs that have been authorized by your firm.
- Generate Progress Report on individuals included in data transfer.
- Generate Permanent Record.
See chapter 8 in the Filer Manual for more on Reports.
How will the information on individuals currently registered be input into NRD?
Each firm is responsible for entering Form 33-109 F4 information for all of its registrants. A firm may allow individuals who work for it to enter their own Form 33-109F4 information. The NRD rule allows firms up to three years to input this data, provided certain periodic milestones are met. Please see Multilateral Instrument 31-102 for more details.
When is an individual registrant's NRD number generated? Who receives the individual's user ID and password?
An individual's NRD number is generated when the AFR "creates" the individual on NRD.
The AFR may permit an individual to complete his or her own Form 33-109F4. When the AFR "creates" the individual, the system will generate a user ID and password for that individual, as well as an NRD number. The AFR should communicate the user ID and password to the individual.
Can an AFR print copies of the Registration Information for an individual?
Yes, information can be printed for the individual by the AFR.