NRD Enrollment

Effective June 9, 2023, the CSA repealed and replaced Multilateral Instrument 13-102 System Fees for SEDAR and NRD to implement a flat-fee model, rather than the current model where system fees are based on the number of jurisdictions where documents are filed. The model has been designed to reflect the costs of using the new system, allow for future enhancements, and reduce the administrative burden for market participants. NRD and NRD enrollment forms have been updated to reflect the new system fee structure, which include the elimination of NRD enrollment fees.
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Each firm must complete and submit the three enrollment forms and the accompanying documents.

Please click on the above link for further details.

What to expect once you have submitted your enrollment package

  1. The NRD Administrator will verify the completeness and accuracy of incoming forms and supporting documentation, and follow-up with firms where they have found deficiencies.

    The NRD Administrator will return forms to the firms for completion if they are substantially deficient, or if the firm has not responded to a follow-up issue within 3 days.
  2. Your firm’s enrollment will be completed when The NRD Administrator sends a confirmation e-mail or fax to the Chief AFR. The confirmation will include the NRD number assigned to your firm, as well as the user ID and password necessary for the Chief AFR to access the system.

If you have any questions about the enrollment process, please contact the CSA Service Desk:

Telephone: 1-800-219-5381
Fax (toll free): 1-866-729-8011
Email: nrd@csa-acvm.ca

Enrollment Forms

Every registrant firm is required to complete the three enrollment forms, and to submit a signed, original hardcopy, to the NRD Administrator at the following address:

ALBERTA SECURITIES COMMISSION
c/o CSA Service Desk
Attention: NRD Administrator
12 Millennium Blvd, Suite 210,
Moncton, NB E1C 0M3

The three enrollment forms are as follows:

Please ensure you include the following documents with your forms:

  1. A true copy (complete, unaltered photocopy) of the certificate of incorporation, certificate of amendment or other business registration document issued by the applicable governmental office that confirms the current legal name of the firm. (See page 1 of NRD Form 1 – Enrollment of Firm Filer.)
  2. A VOID cheque from the account (NRD account) you wish to use for all subsequent NRD fees, or pre-authorized debit information.
    In addition, please be sure that all five digits of the Branch Transit Number for the NRD account are indicated on each of NRD Form 1 and NRD Form 3.

Amendment to Prior Versions of NRD Form 3 – NRD Account Holder Authorization (“NRD Form 3”)

Certain changes to Canadian Payments Association (“Payments Canada”) Rule H1 – Pre-Authorized Debits has made it necessary to amend the NRD Form 3 of the NRD account holder for each Firm that was enrolled in NRD prior to June 9, 2023:

  • If the Firm was enrolled in NRD prior to January 10, 2014, its NRD account holder entered an NRD Form 3 with CDS Inc. (the “Pre-2014 Format (CDS)”) – which was subsequently assigned to CGI Information Systems and Management Consultants Inc. (“CGI”) when CGI became NRD Administrator;
  • If the Firm was enrolled in NRD after January 10, 2014 but before June 9, 2023, its NRD account holder entered an NRD Form 3 with CGI (the “Post-2014 Format (CGI)”).    

An “Amendment to NRD Form 3 (NRD Account Holder Authorization)” form (“NRD Form 3 Amendment”) has been sent to each Firm that was enrolled in NRD prior to June 9, 2023. The NRD account holder of each such Firm must complete, sign, and return the NRD Form 3 Amendment to the NRD Administrator by December 1, 2023.    

The prior versions of NRD Form 3 are available here for reference.