All registration filings must be made through the National Registration Database, for applications in all provinces and territories.

For further information on the National Registration Database, please refer to IIROC’s NRD page.

Guides For IIROC Members:

• Registration Contact List
• Guide to IIROC Categories
• NRD User Guide
• NRD FAQ

The following forms may be viewed, filled in, and printed for signature using Adobe Reader, version 6.0 or higher.

Forms - NRD

• RCMP Records Request Form
• Form of Submission to Jurisdiction / Appendix A (Alberta Applications only)
• Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Salesperson, Partner or, Officer of Extra-Provincial Dealer
• Form 33-109F1 - Notice Of Termination
• Form 33-109F2 - Change Or Surrender Of Individual Categories
• Form 33-109F3 - Business Locations Other Than Head Office
• Form 33-109F4 - Registration Application
• Form 33-109F5 - Change Of Registration Information
• Form 33-109F6 – Firm Registration
• Form 33-109F7 – Reinstatement Form

Investor forms

• Investor Application Form
• Investor Notification Form

Supervision Reports

• Strict Supervision Report
• Supervision Report – Six months
• Close Supervision Report – Retained by Member
• Close Supervision Report – Filed with IIROC
• Close Supervision for IR’s - Filed with IIROC
• Close Supervision for IR’s – Retained by Member
• Supervision Report Form – Pro Traders

Forms - Other

• 30 Day Training Certificate
• 90 Day Training Certificate
• File copy request form