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Becoming a Registered or Approved Individual



For IIROC Dealer Firms and their registered/approved individuals, the Registration Department ensures that regulatory requirements under IIROC Rules and applicable Securities Act and Regulations are met. IIROC’s Registration Department considers an applicant’s personal, professional and financial background to ensure that they have the necessary experience and qualifications to perform the function or position for which they are being approved.

Before individuals can work at IIROC-regulated firms, they must be registered or approved. The Registration Department performs a “gatekeeper” function to screen all applicants. Gatekeeping is one of the ways IIROC protects investors and promotes high industry standards.

Tip! ​Keep up to date with IIROC's Continuing Education (CE) program.

 


 

The National Registration Database (NRD)

The National Registration Database (NRD) is an online system that allows dealer firms and advisors to complete registration forms electronically.

NRD Enrolment Forms

NRD enrolment forms used for new firm enrolments and changes to enrolment information.

NRD Forms

Questions about NRD?

Any questions about these forms can be directed to the NRD administrator at 1-800 219-5381 or by fax at 1-866-729-8011.

For NRD technical assistance, please contact Lisa Mullen, Registration Business Analyst at (416) 943-6917 or [email protected].

The NRD User Guide provides how-to and reference guides on NRD submissions, amendments, notices, fees and reports. 

 

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Investor forms

Forms for investors with holdings of greater or less than 10% of an IIROC member firm.

 

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Supervision Reports

 

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Historical Supervision Reports

 

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Training and Copy Request Forms

Print the Training Program Certificates to show completion of the Canadian Securities Course or request a copy of your IIROC registration record using the forms below.

 

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Letters of Good Standing

IIROC does not issue "letters of good standing" for purposes of IIROC Approved Persons seeking registration (or an exemption from registration) with foreign regulators. Firms and foreign regulators can instead rely on IIROC's AdvisorReport for confirmation that an individual is approved by IIROC.

The IIROC AdvisorReport includes, among other things, information on:

  • an individual's current approval status;
  • an individual's employment history with IIROC member firm(s) since 2003;
  • an individual's current categories of IIROC approval;
  • an individual' s educational background, including industry exams/courses completed for purposes of IIROC approval;
  • any terms and conditions on the individual's approval status; and
  • any disciplinary record the individual has with IIROC.

Information is drawn from the National Registration Database at the end of each business day and IIROC disciplinary records as they are posted on the IIROC website. Each page of the report is date stamped to eliminate confusion about the timeliness of the information included.

 

 

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Application guide

Guide to IIROC Categories - Complete and in-depth information regarding positions, qualification standards, including initial course and examination requirements, specific post-registration/approval courses, relevant experience and continuing education.

 

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Individual Approval Categories

IIROC’s Approval Categories - A list and brief description of approval categories for Dealer Firm Member individuals.

Guide to IIROC Categories – Complete and in-depth information regarding positions, qualification standards, including initial course and examination requirements, specific post-registration/approval courses, relevant experience and continuing education.

 

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Questions?

IIROC's Registration Department offers assistance for applicants.

 

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