For firms applying in Manitoba, Northwest Territories, Nunavut and Yukon:

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 Location submissions are to be filed via NRD, for each office the firm intends to operate in the province.

NOTE: IIROC has not been delegated the authority to register firms in the province of Manitoba, Northwest Territories, Nunavut and Yukon. As a result, a Form 33-109F6 - Firm Registration must be submitted directly to the applicable securities commission. It is recommended that the applicable securities commission be directly contacted by the firm applying in order to ascertain what other documentation they will require. If IIROC Membership has not been granted, an Application for Membership must be made to the Toronto Head Office in conjunction with this application.

For further information, please contact:

 For further information, please contact:

Manager, Registration
Investment Industry Regulatory Organization of Canada
Prairie District
Suite 2300, 355 – 4^th Avenue S.W.
Calgary, Alberta     T2P 0J1

(403) 262-6393

For further information for Yukon registration only, please contact

Manager, Registration
Investment Industry Regulatory Organization of Canada
Pacific District
Suite 2800, 1055West Georgia Street
Vancouver, British Columbia     V6E 3R5 

(604) 683-6222