Effective June 9, 2023, the CSA repealed and replaced Multilateral Instrument 13-102 System Fees for SEDAR and NRD to implement a flat-fee model, rather than the current model where system fees are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 enrolment forms have been updated to reflect the new system fee structure, which include the elimination of NRD enrolment fees.
Each firm must complete and submit the three enrolment forms and the accompanying documents.
Please click on the above link for further details.
What to expect once you have submitted your enrolment package
- 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.
- Your firm’s enrolment 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 enrolment process, please contact the CSA Service Desk:
Fax (toll free): 1-866-729-8011
Every registrant firm is required to complete the three enrolment 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 enrolment forms are as follows:
- NRD Form 1 – Enrolment of Firm Filer
- NRD Form 2 – Enrolment of Chief Authorized Firm Representative
- NRD Form 3 – NRD Account Holder Authorization for Pre-Authorized Debit
Please ensure you include the following documents with your forms:
- 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 – Enrolment of Firm Filer.)
- 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.