home  
 
 
 
 
 
 

Becoming a Registered or Approved Individual



For IIROC Dealer Firms and their registered/approved individuals, the Registration Department ensures that regulatory requirements as required 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.

 

Need Help? Contact Us
For more information, click 


​Registration Contact List
For assistance with applications, please contact:
 
 
IIROC Pacific Regional Office
​Suite 2800, 1055 W. Georgia Street
​Vancouver, BC
​V6E 3R5
​Phone:  (604) 683-6222
​Fax:       (604) 683-3491 ​​
​Your call will be forwarded to the appropriate Registration Contact. ​
​​For further assistance with Alberta, Manitoba, Saskatchewan the Northwest Territories and Nunavut applications, please contact:
IIROC Prairie Regional Office

​Suite 800
Bow Valley Square 3
255 – 5th Avenue S.W.
Calgary, AB  T2P 3G6

 

​Phone:   (403) 262-6393
​Fax:       (403) 265-4603
​Your call will be forwarded to the appropriate Registration Contact.
For further assistance with Quebec applications, please contact:​ ​
IIROC Quebec Regional Office
​5, Place Ville Marie
​Suite 1550
​Montreal, Quebec
​H3B 2G2
​Tel: 514-878-2854
​Fax: 514-878-3860
Manager
​Laurie-Ann Gingras ​Ext. 23426
Senior Registration Officers
​Lyne Lafleur ​Ext. 23101
​Jennifer Grilli ​Ext. 23097
​Vivian Guerrero ​Ext. 23064
Esther Petioth​ Ext. 23431​
Registration Officer
​Simone Cyr ​Ext. 23412
Registration Inquiries Officer
​Jonathan Germain ​Ext. 23114
For further assistance with Ontario or Atlantic applications, please contact:​ ​
IIROC Head Office
​Suite 2000, 121 King Street West
​Toronto, Ontario
​M5H 3T9
​Tel.:  (416) 364-6133
​Fax:  (416) 364-9177
​Email:   [email protected]
​Web Page : www.iiroc.ca
Senior Legal Counsel
Sonia Keshwar 416-646-7251
​Levi Sankar​ 416-865-2936​

Registration Managers
​Lucy Pacheco ​416-943-6916
​Christine Domasik ​416-865-3045
​Kerry Newman ​416-943-5839
Registration Business Analyst
​Lisa Mullen ​416-943-6917
Registration Research Officer
​Rita Kwok ​416-943-6994
Senior Registration Officers
​Yvette Baja ​416-943-5848
​Maria Kedzior 416-865-3031
​Alina Danglay ​416-943-5780
​Christine Domasik ​416-865-3045
​Mo Mateen ​416-865-3035
​Alison Mitchell ​416-943-5783
​Jerome Calder ​416-943-6982
​Agatha Rejer ​416-943-5873
​Taek Rhee ​416-943-6945
​Jessica Roglic ​416-865-3049
​Suzeth Singh ​416-943-5895
​Registration Officers
​Indrani Bridgemohan ​416-943-5876
​Paul Ross ​416-943-5821
​Cecilia Deauna ​416-943-6980
Registration Clerk
​Patricka Thompson ​416-943-5852
 
 
close

 

 

 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.
Below is a list of useful links and forms for getting started.

NRD Enrolment Forms
NRD enrolment forms used for new firm enrolments and changes to enrolment information.
NRD Forms
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.
 
 
NRD User Guide
The NRD User Guide provides how-to and reference guides on NRD submissions, amendments, notices, fees and reports. 
 


FAQ

 

About NRD

 

    What is NRD?
    What happens if the system goes down? How do I register?

    Can anyone access NRD and see an individual’s registration information?

    How can I get a copy of my NRD record?

    I was previously registered and require my NRD number. How do I get it?

    Where can I find information on how to use NRD?

 

 

Authorized Firm Representatives (AFRs)

 

    What is an authorized firm representative?

    Must an AFR be an approved Executive of the firm?

    Can I share my AFR code with another person in our registration department?

 

 

Reporting Problems

 

    Who do I contact if I have a problem or question about NRD?

 

 

Fees

 

    How are submission fees paid through NRD?
    How do I know how much the fees will be for a submission?

    Our firm resubmitted fees for a submission however we were advised by IIROC Registration staff that the fees were not yet paid. How long will it take for the fees to go through?

    Are there annual fees and how are they paid?

 

 

Submission Completion

 

    What happens if I indicate an individual applicant will be completing the application?

    I created a submission, and in error, I indicated that the applicant would be completing the application. What should I do?

    How do I remove an Officer Title for an individual that is no longer an Executive?

    How do I remove a course that was disclosed in error?

    How does the sponsoring firm checkbox work under Item 10?

    What should I do if I receive the message “There is an Individual on the system with the same name and date of birth as the applicant” while creating an Initial Registration submission.

    What should I do if I receive the message “There is already a submission of this type in progress for the applicant.” while creating a submission.

    How do I file a location change for a registrant who is moving to a province in which they are not yet registered?

 

 

Submission Management

 

    Is there a way to print all the information before we submit on NRD?

    How can the Chief AFR or the Administrator re-assign files if an AFR is absent?

 

 

Business Locations

 

    Can I print a list of all business locations at my firm?

 

 

Reports

 

    What reports can I get from NRD? 


For more information about the National Registration Database (NRD), please visit the NRD website at www.nrd-info.ca.

 
 
 
 
 
 

 Other Forms

 
Personal Information
 
Investor forms
Forms for investors with holdings of greater or less than 10% of an IIROC member firm.
Supervision Reports
Forms to comply with disciplinary actions.
Training and Copy Request Forms
Print off 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.
Letters of Good Standing
 

 Application Guide

 

 Applicant 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.
 

 Individual Approval Categories

 

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.

 

       tool bar