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
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 www.nrd.ca.
The NRD User Guide provides how-to and reference guides on NRD submissions, amendments, notices, fees and reports.