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October 13, 2009

Release 2.0 implemented on NRD to reflect changes to the new Registration Regime



Following a two-week freeze period for firm filers, Release 2.0 has been implemented on the National Registration Database (NRD) to support the adoption of new and amended rules, forms and policies relating to the information obtained from firms and individuals who register under securities and/or commodities legislation. The changes reflect the requirements of the revised National Instrument 33-109 Registration Information, its companion policy and forms, as well as the amended National Instrument 31-102 National Registration Database and its companion policy. The NRD now also supports the National Policy 11-204 Process for Registration in Multiple Jurisdictions, Multilateral Instrument 11-102 Passport System and its companion policy, as well as changes to accommodate IIROC Dealer Member Rule Amendments related to the Registration Reform Project.

NRD allows the electronic completion and submission of the following NI 33-109 forms:
  1. Form 33-109F1 Notice of Termination for Registered Individuals and Permitted Individuals
  2. Form 33-109F2 Change or Surrender of Individual Categories
  3. Form 33-109F3 Business Locations other than Head Office
  4. Form 33-109F4 Registration of Individuals and Review of Permitted Individuals
  5. Form 33-109F5 Change of Registration Information (for individual information only)
  6. Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals

NRD User Guide - the NRD User Guide is being updated and modified. The NRD User Guide will be comprised of multiple reference guides which, in totality, will describe the use and function of the NRD. Each reference guide explains the use of one submission type or other aspect of functionality of the NRD. The NRD User Guide can be found on the NRD-info site.