Becoming a Registered Individual at an Investment Dealer

Our role is to protect investors and promote high industry standards, including by acting as a gatekeeper. 

In order to apply to New SRO, an individual must be sponsored by a New SRO -regulated Dealer Member. Dealer Members are encouraged to conduct due diligence on applicants, including by requesting a copy of their registration file from us.

How to apply

The National Registration Database (NRD) is an online system for filing registration forms.

Please refer to the Guide to Approval Categories (pdf), which contains information regarding the application process and fees.

For additional information regarding individual registration, please contact your firm’s New SRO (Investment Dealer division) Registration Manager

NRD Forms

Commonly used forms, including NRD forms, are contained on our Forms page. For questions about NRD forms contact the NRD administrator at 1-800 219-5381 or by fax at 1-866-729-8011. NRD forms and any reportable changes are filed electronically at

TheNRD User Guideprovides how-to and reference guides on NRD submissions, amendments, notices, fees and reports.

Supporting Resources

Welcome to!

You can find the Canadian Investment Regulatory Organization (CIRO) at with our fresh look and feel.

The following sections of the legacy and sites have been migrated to

  • Enforcement
  • Hearings
  • Consultations
  • A unified member directory (Dealers We Regulate)
  • Advisor Report

We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.