...securities or derivatives legislation. Investors should always check the registration of any person or business trying to sell them an investment or give them investment advice. To do this, investors...
...at 1-800-219-5381 AFR Administrator The Chief AFR for your firm AFR Either the Chief AFR or an AFR Administrator for your firm Individual registrant completing an initial application for registration...
...Refunds Some helpful hints: Annual Detailed Fee Report Annual Fee Exclusion/Reversal Selecting the correct registration categories Contacting the NRD Help Desk: making a more effective request for technical assistance How...
...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.)...
...displays the total amount payable for the submission, and the AFR must authorize the payment for those fees using NRD. For the annual registration fees and annual NRD system fee,...
...2021. The ongoing assessment of key international climate-related rule proposals is intended to inform a CSA rule that serves the needs of Canadian capital markets, has considered international consensus, responds...
...introduction of a single, uniform set of rules for securities-based crowdfunding registration and prospectus exemptions, the rationalization of investment fund disclosure, and the streamlining of reporting requirements and enhancing system...
Manitoba victim lost $18,000 | Falsely declares registration with the US Securities and Exchange Commission | Fictitious US address
...transition period for their activities in Québec. This transition period will be substantially synchronized with the transition towards a harmonized rule book. During this time NI 31-103 Registration Requirements, Exemptions...
...databases. Existing data in the legacy systems will be migrated to the new platform. Training materials in development include a series of pre-recorded webinar-style videos that will walk you through...
