For firms applying in the Province of Ontario (in a resident or non-resident capacity)

1. All applications for Approved Persons (Partners, Executives, Directors, Registered Representatives, and Investors) must be submitted via the National Registration Database (NRD). Enrollment forms for accessing NRD can be downloaded from www.nrd-info.ca.
   
2. Business Location Opening submission via NRD, for each office the firm intends to operate in the province.

NOTE:  The Investment Industry Regulatory Organization of Canada (IIROC) has not been delegated the authority to register firms in the province of Ontario.  As a result, a Form 33-109F6 must be submitted directly to the Ontario Securities Commission (OSC). It is recommended that the OSC be directly contacted by the firm applying in order to ascertain what documentation they will require.

For further information, please contact:

Investment Industry Regulatory Organization of Canada
Suite 2000, 121 King Street West
Toronto, Ontario     M5H 3T9

Managers, Registration:

Chris Bhalla (416) 865-3032
Kerry Newman (416) 943-5839
Lucy Pacheco (416) 943-6916