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Frequently Asked Questions about 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.

 

About NRD

  1. What is NRD?
  2. What happens if the system goes down? How do I register?
  3. Can anyone access NRD and see an individual’s registration information?
  4. How can I get a copy of my NRD record?
  5. I was previously registered and require my NRD number. How do I get it?
  6. Where can I find information on how to use NRD?

Authorized Firm Representatives (AFRs)

  1. What is an authorized firm representative?
  2. Can I share my AFR code with another person in our registration department?

Reporting Problems

  1. Who do I contact if I have a problem or question about NRD?
  2. How do I report a technical problem?

Fees

  1. How are submission fees paid through NRD?
  2. How do I know how much the fees will be for a submission?
  3. Are there annual fees and how are they paid?

Submission Completion

  1. What happens if I indicate an individual applicant will be completing the application?
  2. I created a submission, and in error, I indicated that the applicant would be completing the application. What should I do?
  3. How do I remove an Officer Title for an individual that is no longer an Executive?
  4. How do I remove a course that was disclosed in error?
  5. How does the sponsoring firm checkbox work under Item 10?
  6. 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

  1. Is there a way to print all the information before we submit on NRD?
  2. How can the Chief AFR or the Administrator re-assign files if an AFR is absent?

Business Locations

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

Reports

  1. What reports can I get from NRD? 

 


 

About NRD

1. What is NRD?

NRD is the National Registration Database used by firms to file registration forms electronically and by regulators to review those forms. In order to use NRD, firms must enroll by completing three enrolment forms and paying the enrolment fees. Visit the nrd-info website for more information or contact the CSA Service Desk at 1-800-219-5381.

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2. What happens if the system goes down? How do I register? 

IIROC Dealer Member Rule 40 and National Instrument 31-102 National Registration Database have a "temporary hardship" section, which details the procedure for making paper submissions if the system is temporarily not available. Refer to Section 11 of Rule 40 or Section 5.1 of National Instrument 31-102.

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

No, only the regulators and an individual’s sponsoring firm has access to NRD and can see an individual’s submissions and permanent record.

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4. How can I get a copy of my NRD record?

You can request a copy of your NRD record from IIROC by completing the File Copy Request Form.

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

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

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.

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6. Where can I find information on how to use NRD?

IIROC’s NRD FAQ will provide information on technical issues but will not address every type of filing. For complete information on initial submissions, amendments, notices, firm submissions, fees and reports, visit www.nrd-info.ca and access the NRD modules, guides and FAQs.

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Authorized Firm Representatives (AFRs)

1. What is an authorized firm representative? 

An Authorized Firm Representative, or AFR, is a person who is authorized by a firm to access information and make submissions to regulators using NRD regarding that firm and individuals associated with that firm.

Each firm must authorize one Chief AFR. Firms may also designate any number of Administrative AFRs and regular AFRs.

Must an AFR be an approved Executive of the firm?

No. NRD rules and National Instruments do not set out any specific requirements for AFRs. Firms should determine the appropriate staff to be set-up as AFRs, considering these individuals will act as agents of the NRD filer and approve the withdrawing of fees from the firm’s NRD bank account.

Our Chief AFR can’t remember her password. Can IIROC reset it for her?

No. NRD passwords for Chief AFRs are reset by the NRD Administrator. The Chief AFR must contact the CSA Service Desk directly by phone (1-800-219-5381) or email at [email protected]. The NRD Administrator will require the Chief AFRs PIN to reset the password.

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

Sharing AFR codes is not permitted. IIROC and all CSA members are very committed to increasing control over NRD system access and improving system security.

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Reporting Problems

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

The CSA Service Desk is responsible for matters involving: firm enrolment; Chief AFR password and PIN re-sets; and technical problems involving the system.

The service desk 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.

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2. How do I report a technical problem?

You should contact the CSA Service Desk 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
  4. Screen captures

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Fees

1. How are submission fees paid through NRD?

Submission fees are calculated by the system and automatically withdrawn from a firm’s bank account through an electronic fund transfer process.

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2. How do I know how much the fees will be for a submission?

Once complete, each submission will display a fee summary page itemizing all applicable registration and system fees.

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?

The status of the fee on NRD will change to ‘paid’ once the money has been exchanged between the banks. This typically takes between 1 – 2 days.

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3. Are there annual fees and how are they paid?

Yes. Firms are responsible for annual registration fees and NRD system fees. These fees are collected automatically by NRD via Electronic Funds Transfer (EFT) on December 31st of each year as a payment for the following year for each registered firm and individual.

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Submission Completion

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

NRD will create a user ID and password for the applicant to log into NRD to complete their own submission.

Image of screenshot

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

A Chief AFR or Administrative AFR can search for the submission and reassign it to you for completion.

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

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.

 

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

You must select to ‘Remove the course’ and provide the reason for removal. The course will reflect as ‘Removed’ but will not be permanently deleted from the individual’s permanent record.

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5. How does the sponsoring firm checkbox work under Item 10?

The sponsoring firm checkbox must be selected if the employment information pertains to the sponsoring firm filing the submission. Checking the box will automatically populate the name and head office information for the firm under the current employment entry.

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.

You should contact IIROC to ensure that the individual does not already have an NRD number. If you have confirmed that the individual has never been registered you may proceed with creating the 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.

You should search for the submission to determine whether the submission was created by another AFR of your firm. If the submission has not been created by an AFR at your firm, contact IIROC for assistance.

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

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:
    • Registration in an additional jurisdiction

    • Item 2 - Residential Address Change

    • 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.

    • Item 9 - Employment Location Change. This submission can be filed only after the additional jurisdiction submission is approved.

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Submission Management

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

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 below.

Image of screenshot

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.

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

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

  2. From the search results open each submission by clicking on the hyperlink. You will see a yellow tab at the bottom of the local navigator called Re-assign submission. To re-assign a submission, click Re-assign Submission and enter the user ID of the AFR to whom you wish to reassign the submission. When you confirm, select save and continue. The submission is transferred to the WIP of the person to whom you have re-assigned it.

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Business Locations

 

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

Yes. This can be generated from the standard types of reports available on NRD. 

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Reports

1. What reports can I get from NRD? 

There are 11 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
  • Current Terms and Conditions for Individuals

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More information about the National Registration Database (NRD).

Back to Becoming a Registered or Approved Individual

 

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