Selecting the Correct Registration Categories

When filing a submission that requires you to identify registration and/or approval categories for an individual (e.g. initial registration), please take care to ensure that you have selected the appropriate categories. NRD does not allow you to correct a registration category while the submission is currently under review by the regulator. The only way to correct errors where you have incorrectly selected a category of registration is to resubmit the applicable submission after the regulator has withdrawn the submission.

If you are applying in more than one category, where applicable, you should select the appropriate category combination. If you indicate your categories by selecting them individually rather than in a combination, NRD may calculate and charge an application fee in excess of the fee required. Before selecting your registration and/or approval category, you should review the list of categories to determine whether a combination is available to you. If you are unsure, contact the applicable regulator for assistance. By doing so, you can avoid having your submission denied or withdrawn due to an incorrect selection.