Frequently Asked Questions about the National Registration Database (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. For more information, visit the NRD Information Site or contact the CSA Service Desk at 1-800-219-5381.

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

IDPC Rule 2804 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 Rule 2804 or Section 5.1 of National Instrument 31-102.

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.

How can I get a copy of my NRD record?

You can request a copy of your NRD record from CIRO by completing the ‘file copy request form’ which can be accessed from our website at File Copy Request Form (PDF).

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

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

CIRO can provide you with your NRD number if you were previously registered with CIRO (Investment Dealer). 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 CIRO (Investment Dealer) you must contact the applicable securities commission to obtain your NRD number.

Where can I find information on how to use NRD?

CIRO’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 the NRD Information Site and access the NRD guides and FAQs.

Authorized Firm Representatives (AFRs)

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 CIRO 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.

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

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

Reporting Problems

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 CIRO Registration staff.

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:

Your operating systems
Circumstances under which you experienced the problem
Relevant NRD numbers
Screen captures

Fees

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.

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 CIRO 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 – 5 business days.

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 31^st of each year as a payment for the following year for each registered firm and individual. Information pertaining to the system fees can be found on the NRD Information Site.

Submission Completion

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.

Webpage reference displaying Application Information. The question asks who will be completing the application and the options are either Individual Applicant or Authorized Firm Representative.

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.

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.

Webpage reference displaying a question to indicate the title of the Officer if that option was previously selected.

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.

Webpage reference displaying an option to provide a course, examination, designation or other education.

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 CIRO 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 CIRO for assistance.

You can also generate the Outstanding Individual Submissions Report under the standard reports in NRD.

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:

Notify CIRO 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 CIRO and must identify the individual's new business location.
The following submissions must be filed:
1. Registration in an additional jurisdiction
2. Item 2 - Residential Address Change
3. 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.
4. Item 9 - Employment Location Change. This submission can be filed only after the additional jurisdiction submission is approved.

Submission Management

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.

Webpage reference showing that you can print, re-assign or complete your submission.

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.

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:

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
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.

Business Locations

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.

Reports

What reports can I get from NRD?

There are 14 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
Cessation (formerly Termination) Follow-up Report
33-109F1 Report
Branch Listing Report
Current Terms and Conditions for Individuals
Reportable Activities Report
List of Individuals with 33-109F4 Items Requiring a Response
Outstanding Individual Submissions Report

For information on how to generate reports refer to the NRD Information site.