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. 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. For questions about NRD forms contact the NRD administrator at 1-800 219-5381 or by fax at 1-866-729-8011. 

Supporting Resources

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on and