In general, any documentation used by your firm in your due diligence should be maintained in the individual's registration file. This can include proof of passing courses, results of reference checks, etc. Under Part 6 of MI 33-109, each document must be identified with the NRD submission number. In addition, if an applicant appoints an agent for service, the sponsoring firm must keep the original Appointment of Agent for Service, executed by the individual. (see  MI 33-109 Part 6).

You can request a copy of your NRD record from IIROC by completing the ‘file copy request form’ which can be accessed from our website at

http://www.iiroc.ca/industry/registrationmembership/Documents/FileCopyRequestForm_en.pdf

If you are currently registered, you may also contact the registration department of your firm to request a print out of your NRD record.

IIROC can provide you with your NRD number if you were previously registered with an IIROC Dealer Member. It can be provided to you either by telephone or by email. If calling to request your number, you will be asked certain questions to verify your identity. All email requests should be sent to [email protected] and should include your full legal name, date of birth and place of birth.  If you were not registered with an IIROC Dealer Member you must contact the applicable securities commission to obtain your NRD number.

CDS Inc. is responsible for matters involving: firm enrolment; Chief AFR password and PIN re-sets; and technical problems involving the system.  CDS will only accept calls from Authorized Firm Representatives. Individual applicants or registrants will be directed to call their firm for assistance.  All other questions, such as, how to complete submissions or what information should be disclosed must be directed to your firm or IIROC Registration staff.

You should contact CDS by telephone (1-800-219-5381) or email [email protected] and provide detailed information regarding the problem including:

1. Your operating systems
2. Circumstances under which you experienced the problem
3. Relevant NRD numbers

You must select the option ‘Select One’ from the officer title drop down list and remove a manually added officer title under the ‘Other’ field.

The following steps are required:
1. Notify IIROC outside of NRD via email if the individual is moving to another province and surrendering categories in the current jurisdiction. The email notification should be sent to your firm’s Senior Registration Officer at IIROC and must identify the individual's new business location.

2. The following submissions must be filed:

I. Registration in an additional jurisdiction
II. Item 2 - Residential Address Change
III. 33-109F2 - Change or Surrender of Individual Categories. This submission can be filed to surrender registration only after the Registration in an additional jurisdiction submission is approved.
IV. Item 9 - Employment Location Change. This submission after the additional jurisdiction submission is approved.

While completing an Initial Registration or Reactivation of Registration, the system will allow an AFR to generate a copy of the submission for printing by selecting the Print Submission option.  For other types of submissions, use the print function built into your browser (control + P in Internet Explorer) to print each page of the submission.

A Chief AFR or Administrator can re-assign files by performing an Individual Submission Search

Steps:
1. Chief AFR or Administrator performs a search for an Individual submission using the following search criteria:
Submission status = Current Only
AFR User ID = enter the user id of absent AFR

There are 10 standard reports available on NRD. These include:
Reconciliation Report by Submission
Reconciliation Report by EFT
List of Registrants
List of AFRs
Permanent Record Report for an Individual Registrant
Annual Fee Detailed Report
Submission Status Report
Termination Follow-up Report
33-109F1 Report
Branch Listing Report