New Dealer Registration – Head Office to be located in Quebec

Step 1:

If the firm has not enrolled to use the National Registration Database (NRD), enrollment is required to obtain a unique NRD number.  This will allow firms to submit applications, notices, and update information through the internet-based NRD system.

In order to enroll, applicant firms should follow the enrolment procedures set out on the NRD information website at www.nrd-info.ca.  The enrolment forms are also found on this site.  The applicant firm must submit the NRD forms 1, 2, and 3, required documentation and fees as outlined on the website. 

If the firm has enrolled on the NRD system:  there is no need to enroll again.

Step 2:

Firm Registration:

IIROC has not been delegated the authority to register firms in the province of Quebec. As a result, a Form 33-109F6 must be submitted directly to the Autorité des marches financiers (AMF). It is recommended that the AMF be directly contacted by the firm applying in order to ascertain what documentation is required. Email address: information@lautorite.qc.ca

Registration of individuals:

1.             All applications for Directors, Executives and Sales Staff must be submitted via the National Registration Database (“NRD”). Enrollment forms for accessing the NRD can be downloaded from www.nrd-info.ca.

2.             All Open a Location submissions are to be filed via NRD for each office the firm intends to operate in the province.

For further information, please contact:

Manager, Registration
Investment Industry Regulatory Organization of Canada
Quebec District
Suite 1550
5, Place Ville Marie
Montreal, Quebec
H3B 2G2

(514) 878-2854