A Chief Authorized Firm Representative (Chief AFR) can set up other individuals to have access to NRD on behalf of the firm. Additional AFRs will either be:
- an Authorized Firm Representative (AFR), or
- an Authorized Firm Representative Administrator (AFR Administrator).
Each firm decides how many AFRs it wishes to set up. A firm will have only one Chief AFR, but it can have an unlimited number of AFRs and AFR Administrators. It is important to remember that anyone who is set up as an AFR or an AFR Administrator for the firm will have the ability to submit filings to regulators and authorize fee payments from the firm’s designed bank account. Therefore, it is important to control who is set up as an AFR and their level of access.
At smaller firms, the Chief AFR may be able to carry out all of the firm’s registration filings without additional help.
How to set up other NRD AFRs in your Firm
- Log on to NRD as the Chief Authorized Firm Representative
- Go to the Administrative Tools toolbar of NRD, click on “Set Up Users”
- The system displays the “Set Up Users” form
- Input the person’s name and contact information, and select the role and level of access that you want the person to have (AFR or AFR Administrator)
- Click “Save and Continue”
- The system validates the data entered and displays a confirmation page
- A user ID and password will be generated by the system.
Passwords can be reset and AFRs cancelled at any time by the Chief AFR or by an AFR Administrator in your firm. You may need to have an internal procedure for maintaining and controlling NRD user IDs and passwords for staff absences, departures and security purposes.
Agents for service
If you currently use an agent for service to carry out your registration filings, then make sure that the agent enrols with the NRD Administrator, as your firm’s Chief AFR.
There is no limit on the number of firms for whom an AFR may act – whether as a Chief AFR, an AFR, or an AFR Administrator. For example, lawyers, paralegals or other professionals may act as an AFR for more than one firm.
To enrol as an Agent for Service, the agent completes the NRD Enrolment Forms 2 and 3 (if the bank account is with the agent) and the Registered Firm completes Form 1.
Make sure all your Authorized Firm Representatives read the NRD Filer Manual. It will help them to understand what their NRD role, access privileges and responsibilities will be so that they are ready to use the system!