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NATIONAL REGISTRATION DATABASE (NRD™) USER GUIDE

1. Section 2 Confirmation of Appointment of Chief AFR The firm confirms that it has appointed the person below as its sole chief AFR and confirms that it has revoked all prior appointments to this position The information completed in this section must match the information completed in section 1 of NRD Form 2 Last name First name Second name if applicable Third name if applicable User ID if already a chief AFR If the chief AFR does not have an active user ID from a previous appointment as a chief AFR or wishes to obtain an additional active user ID for this appointment a completed NRD Form 2 must accompany this form Section 3 NRD Account Information for Electronic Pre Authorized Debit The firm confirms the following NRD account information from which the payment of fees shall be made through NRD by electronic pre authorized debit as authorized by the chief AFR or other AFRs appointed to act on behalf of the firm and confirms that any existing NRD account previously set up by the NRD administrator is to be replaced by this NRD account A completed NRD Form 3 must accompany this form and the information completed in this section must match the information completed in section 3 of the corresponding NRD Form 3 Name of NRD account holder Name of NRD account holder s financial institution Branch transit number Account number The financial institution selected must be a member of the Canadian Payments As
2. Date of Birth 965 2 31_ kyyyymmoD Place of Birth City North Bay m Province Territory State Nunavut v Country Canada i x Gender C Female Male Eye colour Green Hair colour Brown Height e inches v Weight 160 lbs x Effective Date uL YYYY MM DD Save amp Continue gt gt Reset Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NRD User Guide 157 15 NOTICE Citizenship Information Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 4 Citizenship Information Change from the list of notice types The system displays a search screen on which to identify the individual whose citizenship information is to be changed Enter that individual s NRD number and click Continue 3 The system retrieves the current citizenship information corresponding to the NRD number you entered Verify that you have retrieved the record of the correct individual Update the record as follows gt Ifyou are changing the citizenship to Canadian no other data is required besides a check in the Canadian box and an effective date The effective date must be a past or current date gt If you are entering data for an Other citizenship you must specify the citizenship beside the Other checkbox a
3. Telephone number Fax number __ E mail address Item 7 2 Agent for service If you have appointed an agent for service provide the following information about the agent The address for service provided above must be the address of the agent named below Name of agent for service if applicable Contact person Last name First name NRD User Guide 219 Item 8 1 Course or examination information and other education SCHEDULE E Proficiency Item 8 Course or examination or other education Date completed YYYY MM DD Date exempted YYYY MM DD Regulator securities regulatory authority granting the exemption NRD User Guide 220 SCHEDULE F Proficiency Item 8 3 Item 8 3 Exemption refusal Complete the following for each exemption that was refused 1 Which securities regulator derivatives regulator or SRO refused to grant the exemption State the name of the course examination or experience requirement State the reason given for not being granted the exemption Date exemption refused YYYY MM DD 2 Which securities regulator derivatives regulator or SRO refused to grant the exemption State the name of the course examination or experience requirement State the reason given for not being granted the exemption Date exemption refused YYYY MM DD 3 Which securities regulator derivatives regulator or SRO refused to grant the exempt
4. e Sent to Regulators Click this item to view submissions that you have completed and sent to regulators Submissions stay in Sent to Regulators until each applicable regulator has processed them You can sort your Sent to Regulators submissions by NRD number Name Submission Number Submission Type or Date Sent Click the appropriate column heading to sort your submissions by that criterion Unlike Work in Progress submissions you cannot delete submissions from your Sent to Regulators list FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION Hiilen REGULATORS iliigelsi vsle TOOLS 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc To view submission history click on a Submission Type To sort by a column click on the column title Showing Submissions 1 2 of 2 20240 Kapuskasing 200320645 Open a Location 2003402 719 Dizon Dina Securities Inc aleurs mobili res de Kapuskasing Inc 808331 Grzela L vi 20032087 1 Individual Name Change 2003 02 19 Dizon Dina NRD Filer Manual 42 f Firm Information Click this item if you want to view information about your firm See Firm Information Permanent Record in Chapter 9 Searching and Viewing Information on NRD for more details on viewing your firm s information g Admin Tools Click this item to perform administrative tasks such as setting up and maintaining users resubmitting fees or generati
5. Employment Location Change notice with regulators Note This cannot be filed until the individual is active in the province NRD User Guide 156 14 NOTICE Personal Information Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 3 Personal Information Change from the list of notice types The system displays a search screen on which to identify the individual whose personal information is to be changed Enter that individual s NRD number and click Continue 3 The system retrieves the current personal information corresponding to the NRD number entered Verify that you have retrieved the record of the correct individual and make the appropriate changes TIP Every field is editable which gives you the chance not only to update weight and other physical attributes but also to correct the date and place of birth if they were originally filed incorrectly Enter an effective date this must be a past or current date When you are ready click Save amp Continue The system verifies that you have entered all required information and guides you through the Complete Submission process INDIVIDUAL SENT FIRM SEARCH WORK IN TO FIRM ADMII CULESE SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Personal Information First Page 2453781 Green Richard 33070 Dargan Cataliers Item 3 Personal Information Change
6. NRD User Guide 198 to execute any further documents reasonably required by the NRD administrator or prescribed from time to time by the Canadian Payments Association in respect of the services described herein 4 14 The NRD account holder agrees to pay other NRD fees and charges established by the NRD administrator from time to time including those for failed payments or payments that were not honoured and interest on unpaid fees and charges at the rate of 1 per month 12 per annum on behalf of the firm 4 15 It is the express wish of the parties that this NRD Form 3 and any related documents be drawn up and executed in English Les parties conviennent que la pr sente NRD Form 3 et tous les documents s y rattachant soient r dig s et sign s en anglais 4 16 The NRD account holder agrees to the foregoing terms and conditions all of which shall ensure to the benefit of and be binding upon the NRD account holder and its successors and assigns The NRD account holder agrees that an executed copy of this form delivered to the NRD administrator by fax shall have the same effect as an originally executed copy delivered to the NRD administrator The NRD account holder warrants and agrees that it has caused this form to be signed by its duly authorized signatories on its behalf Name of NRD account holder Print name Date dd mm yyyy Signature of authorized signatory Print name Date dd mm yyyy Signature of authorized sign
7. _ Alec Kapuskasing Inc Residential Address S98 SS MQaam G GG Oe Personal Information Item 1 Name Citizenship C begal Name Registration Jurisdictions a Chane Last Name Stevenson i i sS SC S A tie Served First Name lec Proficiency Second Name cit applicable Location of Employment Third Name if applicable D Current Employment Previous Employment Resi a Are you currently or have you previously been known by a name other than the name Term ns mentioned above Regulatory Disclosure C Yes CNo Pieroni Save amp Continue gt gt Reset Civil Disclosure Financial Disclosure Related Securities Firms ADMIN TOOLS TIP Since there is no Work in Progress tab the individual s work is always saved to the Individual Submission tab after each successful save The user may therefore end a session in NRD without losing any work as long as s he has saved the work before logging out TIP Should the individual be locked out of the system by making 3 unsuccessful login attempts within a 30 minute period s he should contact the AFR who provided the user ID If the AFR is an AFR administrator or the Chief AFR s he can reset the individual s password Otherwise the AFR should have an AFR administrator or the Chief AFR reset the password for the individual
8. gt gt gt gt gt gt sponsoring firm information gt gt gt regulatory criminal civil and financial disclosures if applicable gt related securities firm information and 15 gt terms and conditions on an individual s registration if applicable The Permanent Record also includes any regulatory actions taken against the individual H Requirements to submit information to regulators through NRD and in paper format NRD does not completely eliminate the need for firms and individuals to file or deliver certain registration related applications supporting materials and notices in paper format In general most information regarding firms including an initial application for registration as a dealer adviser or underwriter must be filed or delivered in paper format while most information regarding individuals including information on Form 33 109F4 must be submitted in electronic format using NRD See NRD submission in the glossary for more information 1 Registration information that must be submitted to regulators using NRD The following registration information must be submitted to regulators electronically using NRD and if applicable in the forms set out below gt Information regarding a firm s locations gt Individual applications for registration gt An application for an exemption from proficiency or experience requirements applicable to registered and permitted individuals Y
9. 2 whether you resigned were terminated or dismissed for cause 3 the date you resigned were terminated or dismissed for cause and 4 the circumstances relating to your resignation termination or dismissal for cause Item 12 2 For each allegation of failure to supervise compliance with any statutes regulations rules or standards of conduct state below 1 the name of the firm from which you resigned were terminated or dismissed for cause 2 whether you resigned were terminated or dismissed for cause 3 the date you resigned were terminated or dismissed for cause and 4 the circumstances relating to your resignation termination or dismissal for cause Item 12 3 For each allegation of fraud or the wrongful taking of property including theft state below 1 the name of the firm from which you resigned were terminated or dismissed for cause 2 whether you resigned were terminated or dismissed for cause 3 the date you resigned were terminated or dismissed for cause and 4 the circumstances relating to your resignation termination or dismissal for cause NRD User Guide 224 SCHEDULE J Regulatory disclosure Item 13 Item 13 1 Securities and derivatives regulation a For each registration or licence state below 1 the name of the firm 2 the securities or derivatives regulator with which you are or were registered or licensed 3 the type or category of registration or licence and 4 the period that
10. 4 To add new disclosure select the appropriate Yes radio button s Click on Save amp Continue Select the appropriate hyperlink s for each question answered Yes Provide the disclosure details To modify existing disclosure details do not change any of the existing answers Click on Save amp Continue Select the appropriate hyperlink and provide the additional details as well as an effective date gt You may not change a Yes answer to a No if it was retrieved from the Permanent Record 5 When you are satisfied that you have provided all the necessary disclosure information click Save amp Continue The system verifies that you have entered all required data and guides you through the Complete Submission process Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NRD User Guide 177 24 NOTICE Civil Disclosure Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 15 Civil Disclosure Change from the list of notice types The system displays a search screen on which to identify the individual whose civil disclosure is to be changed Enter that individual s NRD number and click Continue 3 The system retrieves the current civil disclosure information corresponding to the NRD number entered Verify that you have retrieved the
11. Al Al Al Al 30980 Ideal Investments Applicant Information Submission Information Last Name Keskembe First Name Location NRD No Submission Type Initial Registration Date Submitted 2007 05 18 Submission No 200785829 Jurisdiction Action Securities Approved Commission of Newfoundian dand Labrador Date Action Applied 2007 05 18 Last Name First Name Panoraia New Pending Brunswick Securities Commission 2007 05 18 Nova Scotia Pending Securities Commission 2007 05 18 Applicant Information Last Name Karpodini Karpodini Drosia First Name 452402 Location NRD No Submission Type Initial Registration Reactivation of Registration Page 1 of 2 Date Submitted 2007 05 16 2007 05 16 200785833 200785838 Submission No Prince Pending Edward Island Securities Reaisti Submission Information Jurisdiction Action Securities Commission of Newfoundian dand Labrador Securities Commission of Newfoundian dand Labrador Approved Pending 2007 05 18 Date Action Applied 2007 05 18 2007 05 16 Last Name Tsatsou First Name Panoraia Panoraia Karpodini Drosia NRD Filer Manual 452402 Residential Address Change 2007 05 18 200785915 92 Securities Pending Commission of Newfoundlan dand Labrador 2007 05 18 Panora
12. Click the desired submission category The Initial screen displays the various Initial submission types available including a description of each WORK IN SEN FIR ADMIN TTO M Hasi PROGRESS REGULATORS INFORMATION TOOLS FIRM SUBMISSION Initial Amendment ___ 33070 Dargan Cataliers Reinstatement of Registration Use this submission to reinstate your registration if i you submit this within three months of leaving your former sponsoring firm ii you are reinstating your registration in the same jurisdiction s and the same category ies as your registration with your former sponsoring firm and iii there have been no unreported changes to information previously submitted in items 13 to 16 of your Form 33 109F4 and iv you were not dismissed or asked to resign from your former sponsoring firm Otherwise use the submission Reactivation of Registration Initial Registration Use this submission if you are applying for registration through NRD for the first time Registration with an additional sponsoring firm Use this submission if you are not leaving your current sponsoring firm and you are applying for registration with an additional sponsoring firm Registration in an additional jurisdiction Use this submission if you are currently registered in a jurisdiction and the firm that is sponsoring that registration is sponsoring this application for registration in another jurisdiction Reactivati
13. Item 5 Registration Categories You have selected Officer but you did not disclose an officer Title Item 10 Current Employment You have disclosed that the applicant will be working only 10 hours but you have not answer the question A Please address the deficiencies by December 1 or the application will be withdrawn Regards Reviewer Continue gt gt Approval and acknowledgement of submissions by regulators Check your Sent to Regulators list to track the processing of your submission You can view its status by opening the submission and clicking the Submission History tab on the local navigator When the submission no longer appears in your Sent to Regulators list you can retrieve it using the Search function The Submission History feature shows you when and by whom the submission was processed It is at the regulators discretion to provide you with any notice outside of the system regarding the approval or acknowledgement of submissions Terms and conditions A regulator may impose terms and conditions on the registration of a firm or individual For example these terms and conditions may include restrictions on the type of securities or derivatives in which a registrant may deal the clients with which a registrant may trade or requirements on the part of the registrant to file additional financial reports Terms and conditions are indicated on NRD in the Permanent Record of the firm or individual and w
14. amp Commodity Trading Menager Non Resident 891291 Barraclough z Philip 260042 Ontario International Adviser Partner Advising Resident Investment Counsel amp Portfolio Manager amp Commodity Trading Manager Non Resident Page 1 of 3 4 List AFRs report This report lists information on the AFRs and any individual applicants associated with your firm You may generate a List AFRs report without specifying any criteria This will produce a report of all your firm s AFRs and individual applicants You may also generate a report according to the following criteria gt AFR Status gt AFR Role Chief AFR AFR Admin AFR or Individual Applicant gt AFR Name The List AFRs report arranges data as follows gt AFR s Name Last Name First Name Second Name Third Name gt Contact Info Email Telephone gt User ID gt Status gt Role NRD Filer Manual 84 NRD Report Time Run 1 50 10pm Date Run 2004 05 06 Firm Legal Name Soci t Gu vrement Ine Firm NRD No 21550 Who Requested Report Lynne Lynnedebin Name of Report Authorized Firm Representative Report _tetepnone usem staus rove GASPADOO1 Individual Applicant E D PSS SEP OOS Revoked Individual Applicant paaa fimen Ade 321321321 LYNNE0012 Adie E S active T ae YNNE0013 321 321 LYNNE0011 Active AFR 321321321 LYNNE00068 Pending AFR Administrator Activation
15. or gt Change or Surrender of Individual Categories if the individual is only surrendering registration in one or some jurisdictions but will still maintain registration with your firm in at least one jurisdiction Note that Membership fees paid to the IIROC will be collected annually outside of NRD 3 Annual NRD User Fee NRD user fees are paid by Firms annually to the NRD administrator on December 31 The annual NRD user fee is listed in the December 1 Preliminary Annual fee summary and is included in the total fee pulled in the December 31 annual fee pull B EFT and the NRD account Part 4 of National Instrument 31 102 National Registration Database requires Firms to pay submission fees annual registration fees and NRD user fees by electronic funds transfer EFT Electronic Funds Transfer is the transfer of funds through electronic pre authorized debit It authorizes a financial institution to debit or credit the firm s NRD account For NRD purposes the payees consist of the regulators in each province and territory of Canada the Investment Industry Regulatory Organization of Canada and the NRD administrator EFT is initiated through NRD NOTE Every AFR appointed by your firm has the ability to cause your firm s NRD account to be debited by virtue of her his ability to make NRD submissions to regulators since any NRD Filer Manual 235 applicable submission fees will automatically be debited from
16. provide the following information for the location out of which you will be doing most of your business NRD location number Unique Identification Number optional Business address number street city province territory or state country postal code Telephone number Fax number ____ 2 If the firm has a foreign head office and or you are not a resident of Canada provide the address for the location in which you will be conducting business Business address number street city province territory or state country postal code Telephone number Fax number ____ The following under 3 Type of location 4 and 5 is for a Format other than NRD format only 3 Type of location for Format other than NRD format only L Head office _ Branch or Business Location L Sub branch 4 Name of branch manager 5 Check here if the mailing address of the location is the same as the business address provided above Otherwise complete the following Mailing address number street city province territory or state country postal code Item 10 Current employment other business activities officer positions held and directorships NRD User Guide 204 Complete a separate Schedule G for each of your current business and employment activities including employment and business activities with your sponsoring firm and any employment and business activities outside your sponsoring firm Als
17. Credit D Debit Firm NRD Number Name gt Submission NRD Number Type Amount Submission Date Submission Fee Status Status Date gt regulator to which the EFT was credited v NRD Filer Manual 80 NRD Report Time Run Date Run Who Requested Report Name of Report EFT Process Date EFT Status Firm NRD No SRAISRO 1 22 45pm 2004 05 06 Lynne Lynnedebin Reconciiation Report by EFT From 2004 01 01 to 2004 03 01 EFT Firm Submission 200401027 1 2 2004 1 8 2004 200401021512 1 2 2004 481 50 75 000 000ntario aaa Securities Commission Ontario Securities Commission 75 000 00 CITIGROUP GLOBAL MARKETS INC CITIGROUP GLOBAL MARKETS INC 2003239175 2003239175 Final Annual Fee Notice 2003239175 Final Annual Fee Notice Final Annual Fee Notice 75 000 001231 20 75 481 5912 31 2003 Final EFT Identifier Process Amount Name No Type Amount Payment Status Date Date Type 200401026 1 2 2004 c 3490 CITIGROUP GLOBAL 2003239175 Final Annual Fee Notice 481 5012 31 2003 Final 12 31 2003 MARKETS INC 1 8 2004 2002239175 Final Annual Fee Notice 481 54 12 31 2003 Final Paid 01 08 2004 Final Created 75 000 00 12 31 2003 Final Pad Created 12 31 2003 017082004 12 31 2003 1 8 2004 75 481 50 2003239175 Final Annual
18. Head Office Terms and Conditions Ontario ___VIEWHISTORY Registration Categories Terms and Conditions Other Locations Annual Fee Summary Foreign Adviser 2002 09 09 Foreign Adviser 2002 09 09 Dual Registration 2002 09 09 Alternative Trading 2002 09 09 Alternative Trading 2002 09 09 Financial Reporting 2002 09 09 SRA Policies 2002 09 09 g Other Locations See Section 3 of this chapter Location Information h Annual Fee Summary Under applicable securities and or commodity futures legislation firms must pay annual registration fees to regulators in the participating jurisdictions in which they are registered and to the ITROC if applicable to maintain registration for the coming year In Ontario firms pay an annual Participation fee Participation fees are annual renewal fees paid to the Ontario Securities Commission based on your firm s revenue Contact the OSC for details The preliminary annual fee summary is generated on December of each year On December 31 NRD generates the final annual fee summary This serves as notice to the firm that x amount was debited from the firm s NRD account for renewal of registration payment of fees in support of permanent registration or payment of participation fees These summaries can be viewed under Annual Fee Summary This summary lists fees by jurisdiction locations firm category and individual category The summary ends with the NRD user fe
19. Schedule O Contact information for Notice of collection and use of personal information Alberta Alberta Securities Commission 4th Floor 300 5th Avenue SW Calgary AB T2P 3C4 Attention Information Officer Telephone 403 355 4151 British Columbia British Columbia Securities Commission P O Box 10142 Pacific Centre 701 West Georgia Street Vancouver BC V7Y 1L2 Attention Freedom of Information Officer Telephone 604 899 6500 or 800 373 6393 in BC Manitoba The Manitoba Securities Commission 500 400 St Mary Avenue Winnipeg MB R3C 4K5 Attention Director of Registrations Telephone 204 945 2548 Fax 204 945 0330 New Brunswick New Brunswick Securities Commission Suite 300 85 Charlotte Street Saint John NB E2L 2J2 Attention Director Regulatory Affairs Telephone 506 658 3060 Newfoundland and Labrador Securities NL Financial Services Regulation Division Department of Government Services P O Box 8700 2nd Floor West Block Confederation Building St John s NL A1B 4J6 Attention Manager of Registrations Tel 709 729 5661 Nova Scotia Nova Scotia Securities Commission 2nd Floor Joseph Howe Building 1690 Hollis Street P O Box 458 Halifax NS B3J 2P8 Attention Deputy Director Capital Markets Telephone 902 424 7768 Northwest Territories Government of the Northwest Territories P O Box 1320 Yellowknife NWT X1A 2L9 Attention Deputy Superintendent of Securities T
20. Seet0e H Type of Location All v NRD No of Branch Manager Search Reset To retrive Head Office information you must search by NRD No or Type of Location 3 Searching for submissions One of the mandatory criteria for searching firm and individual submissions are the Current All radio buttons gt Current means the submission is created in progress with an AFR or individual applicant but not sent to regulators gt All includes submissions that are created in progress sent to regulators and disposed gt You cannot search for submissions that were deleted from an AFR s WIP An optional criterion on both the firm and individual submission search form is the date range This date range refers to the date of initiation of a submission the date a submission is created by an AFR If you enter a date range and Current the system will list all submissions initiated within the date range NOTE If you enter a date range and All the system will return all submissions that were created submitted to Regulators or disposed within the date range NRD Filer Manual 96 The Firm Submission search form Search for Firm Submission Enter information in at least one of the text boxes below to begin your search Submission Status Current Only All Submission No Submission Type All Owner User ID Securities Regulatory Authority SelfRequlatory Organization
21. That is the EFT steps have been completed even if the funds were not necessarily collected from the firm Therefore it is best to refer to the Exchanged status for reconciliation purposes Returned The payment was not successfully debited from the firm s NRD account due to non sufficient funds Rejected The payment was not successfully debited from the firm s NRD account due to an error such as incorrect account information Reversed The payment was reversed through a request of firm s financial institution eee 2 Submission fee status definitions The submission fee statuses include Created Paid Returned and Rejected as well as a Exempt Fees that might normally be applied to a submission are not applied b No charge No charge is applicable to the submission type 3 Process for rejected returned payments If a payment has been rejected or returned the NRD administrator will contact the chief AFR to advise on the payment status and on the nature of problem The chief AFR should address any issue with the NRD account and resubmit the payment see Resubmit Fee Payment in Chapter 8 Administrative Tools If resubmitted payment is returned or rejected again the NRD administrator will contact the applicable regulator s and the chief AFR C Calculation of submission fees by the system As part of the Complete Submission process on NRD the system calculates and displays the total fees as allocated a
22. Tornto the system will treat these spellings as though they NRD Filer Manual 52 NRD Filer Manual were distinct cities None of your records will be lost but you will find the records less convenient to access As a Chief AFR you should ensure that all your AFRs are following a standard format for entering city names gt Telephone Fax numbers and extensions digits spaces hyphens parentheses and periods are permitted for telephone and fax numbers No other special characters or letters are permitted Extension numbers must be numeric only The system does not validate for phone number formatting or accuracy i e the system doesn t check for valid area codes vis a vis city etc gt Dates year must be 4 digits month and day must be 2 digits each The system validates for real dates i e you cannot enter February 31 2000 02 31 or a non existing month 2001 31 31 gt Disclosure input fields These fields have a 20 kilobyte capacity this means you can enter approximately 20 000 characters of regular text If you are copying and pasting from an electronic document i e Word or WordPerfect be advised that formatting features and certain characters cannot be saved in NRD You can save the relevant text in TXT file format before pasting it into the text field This function depends on your computer s operating system so talk to your IT staff if you have trouble Firm submissions Select Firm Submissi
23. number The system displays the current record for that location Verify that this is the correct location and click the Close Location button at the bottom of the page If this is not the correct location you may click Cancel to return to the location search page Close a Location Type of Location Branch NRD No 24631 Last Name brown First Name joan Address Line 1 1222 Brock Street Address Line 2 cit applicable Unit 800 City Toronto Province Territory State Ontario Postal Code M5H 1J Country Canada Telephone No 4165558686 ext Fax No 4165557777 Same as Above Close a Location Cancel NRD User Guide 130 5 To close the location enter an effective date for the closure and click Save amp Continue The effective date must be a past or current date Close a Location Type of Location NRD No Last Name First Name Address Line 1 Address Line 2 cit applicable City Province Territory State Postal Code Country Telephone No Fax No Effective Date Branch 1325341 Gu vremont Jos e 321 rue Charlebois Toronto Ontario m3m3m3 Canada 321321321321 ext 32132132131 2004 fos sor eyy Y MMDD 6 The system will display a list of all individuals if any that are still working at the location to be closed NRD User Guide 131 INDIVIDUAL SUBMISSION ORK IN SENT TO ADMIN WOR FIRM SEES PROGRESS REGULATORS INFORMAT
24. number and name to the right in slightly smaller blue text FIRM WORK IN SENT TO SUBMISSION Mi SEARCH PROGRESS REGULATORS INFORMATION TOOLS 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc H 808321 Ethier First Page ZR 0 emar Change Individual Name For some Notice Types the system will then present a list of jurisdictions in which the individual is currently registered e g Address and Agent for Service Change Click a province or territory to proceed with the submission ADMIN TOOLS FIRM SUBMISSION WORK IN PROGRESS SENT TO FIRM SEARCH REGULATORS INFORMATION 808321 Ethier 20240 Kapuskasing Securities Inc Valeurs mobili res de Delmar Kapuskasing Inc Item 5 Registration Jurisdictions Click on a province or territory to provide registration information Provinces or Territories New Brunswick Ontario NRD User Guide 142 Confirm Permanent Record screen This is the final required screen before completing the following Initial submissions gt Reinstatement of Registration gt Registration with an Additional Sponsoring Firm gt Registration in an Additional Jurisdiction You are required to confirm whether various disclosures are current on the individual s Permanent Record If so check the Not Applicable box and click Continue to proceed to the Complete Submission process If not ch
25. territorial offences on Form 33 109F4 xv Civil Disclosure Change Item 15 of Form 33 109F4 This submission type allows you to give notice of a change to or addition of a civil disclosure for an individual under the heading Current and past civil proceedings on Form 33 109F4 xvi Financial Disclosure Change Item 16 of Form 33 109F4 This submission type allows you to give notice of a change to or addition of a financial disclosure for an individual under the headings Bankruptcy Debt Obligations Surety bond or fidelity bond or Garnishments unsatisfied judgements or directions to pay on Form 33 109F4 xvii Ownerhip of Securities and Derivatives Firms Change Item 17 of Form 33 109F4 This submission type allows you to give notice of a change to or addition of a related securities firm disclosure for an individual under the heading Related securities firms and holdings on Form 33 109F4 Single jurisdiction and multi jurisdiction submission types Certain submission types described above are single jurisdiction submission types which are submission types that are only appropriately made in one province or territory Other submission types are multi jurisdiction submission types That is they are submission types that may or will be made in more than one province or territory When you complete a submission and send it to regulators on NRD the system sends the submission to the 50 ap
26. you held the registration or licence For each registration or licence refused state below 1 the name of the firm 2 the securities or derivatives regulator that refused the registration or licence 3 the type or category of registration or licence refused 4 the date of the refusal and 5 the reasons for the refusal For each exemption from registration denied or licence refused other than what was disclosed in Item 8 3 of this form state below 1 the party that was refused the exemption from registration or licence 2 the securities or derivatives regulator that refused the exemption from registration or licence 3 the type or category or registration or licence refused 4 the date of the refusal and 5 the reasons for the refusal For each order or disciplinary proceeding state below 1 the name of the firm 2 the securities or derivatives regulator that issued the order or is conducting or conducted the proceeding 3 the date any notice of proceeding was issued 4 the date any order or settlement was made 5 a summary of any notice order or settlement including any sanctions imposed 6 whether you are or were a partner director officer or major shareholder of the firm and named individually in the order or disciplinary proceeding and 7 any other relevant details Item 13 2 SRO regulation a For each approval state below 1 the name of the firm 2 the SRO with which you are or were an appr
27. AFR a person acting as an authorized firm representative for a firm who is not a chief authorized firm representative or authorized firm representative administrator for the firm This person has access to the system for the purposes of performing the basic functions of an authorized firm representative for a firm namely making submissions on behalf of the firm and individuals associated with the firm and searching for and viewing information on NRD and authorizing payments from the firm s NRD account authorized firm representative administrator or AFR administrator an authorized firm representative that like a chief AFR has an enhanced level of access to the system An AFR administrator is functionally equivalent to a chief AFR branch a location of your firm other than your firm s Head Office in a province or territory that is supervised by a location supervisor or branch manager that is normally present at the location branch manager or location supervisor If a registered dealer or adviser operates a branch office the registered dealer or adviser shall designate an individual as the branch manager of the branch If there is more that one location supervisor or branch manager Form 33 109F4 is required for each additional individual business location the NRD term for a place of business occupied by your firm at a particular address in a province or territory of Canada A business location must be either a branch or
28. AFR the Last Name and First Name are protected Save amp Continue gt gt WORK IN SENT TO FIRM ADMIN FIRM INDIVIDUAL Ec mmm OAO TOOLS SUBMISSION SUBMISSION 33070 Dargan Cataliers Maintain Users Last Name Hill First Name Pascal Second Name if applicable Third Name if applicable Telephone Number 416 555 1212 ext if applicable E Fax No f applicable 416 555 2121 E Mail Address phill dargan_cataliers ca Role Chief AFR v Save amp Continue gt gt C Change Password The Change Password function is used to change your own password for NRD purposes NRD Filer Manual 69 Click Change Password on the local navigator The system displays a field in which to enter your current password and your new password You must enter your new password twice For added security the system will not allow you to change your password to any of your last five passwords Click Continue to save your new password in the system The system will confirm a successful password change FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Set Up Users Maintain Users 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc ax Reset Password Change Password TReoieAcess Passard intonation ee Resubmit Fee Payment Reports The new password must be 6 20
29. Fee Notice 75 481 5912 31 2003 Final 01082004 NRD Filer Manual List Registrants report The List Registrants report lists individuals associated with your firm according to selected criteria Report criteria available include gt NRD number of individual gt Individual s name gt Registration status of individual gt Active VV VV VV VV VV WV Suspended Surrender Suspended Regulatory Action Suspended Pending Termination Terminated Regulatory Action 81 Suspended Regulatory Action Firm Suspended Employment Termination Suspended Bulk Annual Fee Exclusion Suspended Bulk Transfer Suspended Not Renewed Firm Suspended Pending Surrender Firm Terminated Regulatory Action Firm TIP You will only see statuses that are actually held by individuals at your firm For example if there are no Suspended Bulk Transfer individuals at your firm that status will not be an available criterion gt NRD number of individual s business location gt provinces and territories of registration gt firm categories gt individual categories There are two stages to establishing the criteria for this report In the first stage you may specify the following criteria gt Employment Location NRD number branch number gt Jurisdiction defaults to All jurisdictions in which the firm is registered To request a report for all individua
30. Individual or Firm by submission number by submission type or by Created date Click the appropriate column heading to sort your submission according to that heading See the following screen 58 FIRM INDIVIDUAL SUBMISSION SUBMISSION WORK IN SENT TO FIRM ADMIN SEARCH PROGRESS Malscue yre cM ze u tle TOOLS 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc To edit a submission click on a Submission Type To sort by a column click on the column title To delete a submission check the box beside a submission and click Delete Showing Results 1 10 of 11 r 20240 Kapuskasing 200320905 Open a Location 2003 02 19 Securities Inc AYaleurs mobili res de Kapuskasing Inc rp 20240 Kapuskasing 200320904 Location Address 2003 02 19 Securities Information Change Inc aleurs mobili res de Kapuskasing Inc m 618061 Breton Francois 200320903 Initial Registration 2003 02 19 If you leave the submission by logging out by navigating to another function on the site or if your session times out after 45 minutes of inactivity your submission is stored automatically in your Work in Progress as at the last successful Save NOTE ON INACTIVITY The system may time out your session while you are working on a submission This might occur if you are working on a screen requiring detailed disclosure for example one of the Regulatory Disclosure questions or Current Employment information If you take mo
31. NRD account holder agrees that delivery of this NRD Form 3 to the NRD administrator constitutes delivery by it to the Financial Institution The NRD account holder agrees that the NRD administrator may deliver this NRD Form 3 to any Payees financial institution and agrees to the disclosure of any information which may be contained in this NRD Form 3 to such financial institution 4 7 The NRD account holder agrees to waive the pre notification requirements of the Rules and to abide by any modification to the pre notification requirements as provided in NRD at or prior to the time that a PAD is authorized NRD User Guide 197 4 8 The NRD account holder acknowledges that PAD payments in NRD are variable annual and or sporadic and there is no maximum amount of payment In addition PAD payments may be top ups or adjustments The NRD account holder further acknowledges that PAD payments in NRD from the NRD account are authorized by any Authorized Firm Representative including the chief Authorized Firm Representative appointed to act on behalf of the firm collectively AFR all of whom have access to the NRD account and information pertaining to the NRD account for this purpose The NRD account holder agrees that an AFR s user ID NRD password and NRD submission provide valid authorization for the Payee or its agent to debit the NRD account for the amount s indicated in the NRD submission The NRD account holder acknowledges that it will not h
32. National Registration Database NRD L Request for a new user ID in connection with this enrolment as a chief AFR Currently you have one or more active user IDs as a chief AFR with one or more firms Do not provide any of your current user IDs to the firm enrolling you via this NRD Form 2 Note If this form was already completed in respect of a previous enrolment by you as a chief AFR and you wish to use the user ID assigned in respect of that enrolment do not complete this form Provide a current user ID to the firm enrolling you The firm must include this user ID in section 2 of NRD Form 1 Enrolment of Firm C Change to Previous Filing Describe change s Personal Identification Number complete sections 1 3 amp 4 LI Current chief AFR legal name change complete sections 1 amp 4 provide proof of name change and return this form with NRD Form 1 with sections 1 2 4 amp 5 of NRD Form 1 completed by the firm Within five 5 business days of the change return this form and any requested documents to the NRD administrator as described below Changes will be effective after the NRD administrator has completed its processing of all required information and forms NRD User Guide 191 General Instructions A This form may be downloaded from the NRDe website at www nrd ca B A manual signature is required by the chief AFR C If a firm is enrolling an initial chief AFR or a new chief AFR this form must be accompanied b
33. WORK IN SENT TO FIRM ADMIN PROGRESS REGULATORS INFORMATION TOOLS FIRM INDIVIDUAL SUBMISSION SUBMISSION SEARCH 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc Individual Firm Submission Individual Submission Location 1 Search criteria You will notice that on the Firm and Individual Submission search forms you can select Current or All as a criterion A Current submission is one that is still in WIP Select NRD User Guide 94 All if you also want to include in your search submissions that are still in WIP or that have been disposed by regulators as Abandoned Withdrawn or Denied Only Chief AFRs and AFR Admins can view submissions that are still in the WIP of other AFRs at their firm 2 Searching for individuals and locations The Individual search form Search for Individual Enter information in at least one of the text boxes below to begin your search NRD No OR Last Name PO First Name eT Second Name it applicable eT Third Name if applicable FO Date of Birth coptional Zz i JE YY Y MM DD Search Reset You can only search for Active individuals with your firm NRD Filer Manual 95 The Location search form Search for Location Enter information in at least one of the text boxes below to begin your search NRD No o OR Address Contains D City e Province Territory
34. actions gt Active gt Suspended Pending Surrender gt This status applies to a firm that has consent to suspension in the selected jurisdiction gt Suspended Not Renewed gt This status applies to a firm that has not applied for renewal in the selected jurisdiction and is applied on December 31 gt Suspended Regulatory Action gt This status applies to a firm that has been suspended by the regulator in the selected jurisdiction gt Terminated Regulatory Action gt This status applies to a firm that has been terminated by the regulator in the selected jurisdiction NOTE Registration information for IIROC firms will display both registration categories and ITROC approval categories For example Investment Dealer and Equities 1111 Mansoor Investment Counsel Limited Registration Categories Ontario Current Status Status Active Participation fee CDN 5600 00 Fiscal Year End is 2003 09 30 Registration Categories sCEffective Date Investment Counsel amp Portfolio Manager Click on a status to view details 2003 12 05 2006 12 13 2006 12 13 2003 03 14 2003 12 05 2003 12 05 NRD Filer Manual 112 If regulators have applied Terms and Conditions to your firm in this jurisdiction a message in red will advise you of this near the top of the screen e Address and Agent for Service This section shows the address and agent if applicable for service a the firm
35. by the individual gt Initial Registration gt Reactivation of Registration gt Submission for Individuals included in Data Transfer As an AFR when you select one of these submission types the system asks you to indicate who is completing the submission Select the Individual Applicant radio button and click Continue TIP If you as the AFR is also the individual applicant do not select Individual Applicant FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SEENE SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc Application Information Who will be completing the initial individual application Individual Applicant Authorized Firm Representative Resa The system presents a Create Individual screen as it does when the AFR is completing the submission her himself Complete the fields as required and click Save amp Continue Create Individual Last Name Stevenson ss i i isS First Name Alec Second Name if applicable E Third Name it applicable O Date of Birth fiser fio 31 eyyyemv00 Reset The system creates the individual on the system assigning her him an NRD number as well as a user ID and password This is similar to the process of creating an AFR on the system except that the individual also receives an NRD number Print this page and forward it in a secure manner to the indi
36. characters of which the first and last character must both be alpha characters and must contain at least one numeric character It is not case sensitive Enter Current Password Enter New Password Re Enter New Password Save amp Continue gt gt Reset z Reset Password A chief AFR or an AFR administrator uses the Reset Password function to change the password of another AFR administrator or AFR This may be necessary for instance if an AFR administrator or AFR is locked out of the system as a result of having three unsuccessful login attempts An AFR administrator cannot reset a chief AFR s password Contact the NRD administrator to reset a chief AFR s password The chief AFR must also provide their PIN to the NRD administrator to have their password reset When you click Reset Password the system displays a field in which to enter the user ID of the person whose password is to be reset Enter the user ID and click Continue The system verifies the user ID and retrieves the name and role of the person whose password is to be reset Confirm that you have retrieved the correct record and click Continue The system generates a new password for this individual displayed on a confirmation page The AFR will login using her his new password and then will be required to change the password in the same way an AFR logs in for the first time NRD Filer Manual 70 FIRM INFORMATION FIRM
37. contact information branch manager designated supervisor information as well as whether the location is a branch or sub branch You may apply to open more than one location in a single jurisdiction with one Open Location notice NRD Filer Manual 45 NRD Filer Manual b c d e f Close a Location This submission type allows your firm to close an existing business location branch or sub branch You may only close one location per Close Location Notice Locations cannot be Re opened on NRD Change Location Address Information This submission type allows your firm to give notice of a change to the address and contact information for a particular branch or sub branch NOTE There is no notice on NRD to change Head Office Information Contact your regulator for instructions on making changes outside the system Change Location Supervisor This submission type allows your firm to give notice of a change in the location supervisor at a particular branch or sub branch NOTE There is no notice on NRD to change the Head Office Compliance Officer Contact your regulator for instructions on making changes outside the system Change Location Status This submission type allows your firm to change the location type Branch or Sub Branch of a particular location Annual Fee Exclusion This submission type allows your firm to exclude certain individuals from the calculation of annual fees paya
38. correct individual Click the appropriate province or territory to proceed This submission can be sent to only one jurisdiction at a time FIRM SUBMISSION WORK IN SENT TO FIRM ADMIN PROGRESS REGULATORS INFORMATION TOOLS SEARCH Amendment 2453781 Green Richard 33070 Dargan Cataliers Notice Item 5 Registration Jurisdictions Provinces or Territories Northwest Territories Prince Edward Island Quebec 4 The system displays the current Address and Agent for Service for the selected jurisdiction Select Continue to advance to the search screen WORK IN SE FIRI ADMIN NT TO M Sead PROGRESS REGULATORS INFORMATION TOOLS FIRM SUBMISSION Address for Service First Page 2453781 Green Richard 33070 Dargan Cataliers Item 7 Address and Agent for Service Change Prince Edward Island Schedule D Address Line 1 1000 Front Street Address Line 2 if applicable Ste 1200 City Charlottetown Province Territory Prince Edward Island Postal Code MOMOMO Country Canada Telephone Number 444 555 6666 ext if applicable Fax number if applicable 444 555 6667 E Mail Address if available service2dargan_cataliiers ca Name of Agent for Service Martin L L B Contact Person Last Name Martin First Name Pauline Continue gt gt NRD User Guide 160 5 There are two ways to populate address and agent for service i you can use a location associated with the firm address for
39. disposition or settlement and 7 any other information that you think is relevant or that the regulator or in Qu bec the securities regulatory authority may request d For each proceeding arrangement or compromise with creditors state below 1 the date of proceeding 2 the person or firm about whom this disclosure is being made 3 any amounts currently owing 4 the creditors 5 the status of the matter 6 a summary of any disposition or settlement and 7 any other information that you think is relevant or that the regulator or in Qu bec the securities regulatory authority may request Item 16 2 Debt obligation For each event state below 1 the person or firm that failed to meet its financial obligation 2 the amount that was owing at the time the person or firm failed to meet its financial obligation 3 the person or firm to whom the amount is or was owing 4 any relevant dates for example when payments are due or when final payment was made 5 any amounts currently owing and 6 any other information that you think is relevant or that the regulator or in Qu bec the securities regulatory authority may request including why obligation has not been met satisfied Item 16 3 Surety bond or fidelity bond For each bond refused state below 1 the name of the bonding company 2 the address of the bonding company 3 the date of the refusal and 4 the reasons for the refusal ltem 16 4 Garnishments unsat
40. driving which are Criminal Code Canada matters If you have been found guilty of a criminal offence you must disclose the offence even if you have been granted an absolute or conditional discharge With respect to questions 14 2 and 14 4 if you or your firm has been found guilty of a criminal offence or participated in the Alternative Measures Program within the past three years you must disclose that offence even if an absolute or conditional discharge has been granted or the charge has been dismissed withdrawn or stayed Some exceptions apply to stayed charges and the Alternative Measures Program which are outlined below NRD User Guide 206 If you do not disclose a criminal offence under any statute other than the Young Offenders Act Canada or the Youth Criminal Justice Act Canada regulators or in Qu bec the securities regulatory authority or self regulatory organization may treat it as a non disclosure of material information Offences you do not have to disclose The appropriate response is No if any of the following circumstances apply You are not required to disclose e crimes for which you received an absolute or conditional discharge if the crime has been purged from the criminal records in accordance with the Criminal Records Act Canada e speeding parking violations or any offence for which a pardon has been granted under the Criminal Records Act Canada and the pardon has not been revoked e stayed charges
41. for each jurisdiction To see this information you must select the jurisidcition hyperlink PRIVACY STATEMENT FIRM LIST HELP FRANCAIS LOGOUT FIRM INDIVIDUAL SUBMISSION SUBMISSION WORK IN SENT TO FIRM E r S EO INFORMATION EE 25980 Test Firm 1234 Inc Address for Service Ontario NRD No 450732 Address Line 1 1234 Bay Street Address Line 2 if applicable City Toronto Province Territory Ontario Postal Code M1W9L8 Country Canada Telephone No 416 321 9876 ext if applicable Fax if applicable 416 321 9875 E Mail Address if applicable Name of Agent for Service if Law Firm LLP applicable Contact Person Last Name Winston First Name Charles Coe R Terms and Conditions The first page of this section displays a list of Terms and Conditions applied to your firm in the selected jurisdiction Click the name of the Term Condition to view details These details include the regulator who applied the Terms and Conditions the specifics of the Terms and Conditions and the date by which they must be met if applicable Click the View History button near the upper right of the screen to view Terms and Conditions that have been removed from your firm in the selected jurisdiction NRD Filer Manual 113 FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION i s 01e 1 5 ees ct B ure E INFORMATION TOOLS Name Other Business Names 8290 Soci t de Lynne
42. for registration or approval and to assess your continued fitness for registration or approval in accordance with the applicable securities legislation and the rules of the SROs By submitting this form you authorize the SROs to which this form is submitted to collect any information from any source whatsoever This includes but is not limited to personal confidential information about you that is otherwise protected by law such as police credit employment education and proficiency course completion records and records from other government or non governmental regulatory authorities securities commissions stock exchanges or other SROs private bodies agencies NRD User Guide 209 individuals or corporations as may be necessary for the SROs to complete their review of your form or continued fitness for registration or approval in accordance with their rules for the duration of the period you remain so registered or approved You further consent to and authorize the transfer of confidential information between SROs securities commissions or stock exchanges from whom you now or may in the future seek registration or approval or with which you are currently registered or approved for the purpose of determining fitness or continued fitness for registration or approval or in connection with the performance of an investigation or other exercise of regulatory authority whether or not you are registered with or approved by them By submitting t
43. information and guides you through the Complete Submission process TIP Only one location can be updated per submission NRD User Guide 137 Change Location Type Type of Location Sub Branch x Effective Date f2ooz fos 01 vyyyemoD NRD No 24631 Last Name brown First Name joan Address Line 1 1222 Lakeshore Road West Address Line 2 cit applicable Suite 1800 City Toronto Province Territory State Ontario Postal Code M5H 1K86 Country Canada Telephone No 4165550000 ext Fax No 416555999 Mailing Address Same as Above NRD User Guide 138 B Individual Submissions TIP The individual submission illustrations make references to Form 33 109F4 Registration Information for an Individual which is located at the end of this manual For brevity the manual will refer to the form as Form 33 109F 4 Also the items within the form often will be referred to by number and not number and title e g Item 15 instead of Item 15 Civil Disclosure if their context is obvious NRD Numbers for Individuals Any individual should have only one NRD number on the system Therefore be alert to the risk of creating duplicate records on the system When creating an individual on the system you may receive a message warning you that an individual already exists on the system with the same name and date of birth If you have been instructed by your regulator to submit a new Ini
44. instruments relating to NRD Chapter 2 Overview of the National Registration Database This chapter describes the National Registration Database who can access and use NRD and what registration information is available on NRD This chapter also describes what registration information must be submitted on NRD and what information must continue to be filed and delivered in paper format The Permanent Record in NRD and NRD numbers are also explained in this chapter Chapter 3 Enrolling your Firm to Use NRD This chapter explains firm enrolment on NRD through the completion and delivery of the required enrolment forms to the NRD administrator Chapter 4 Authorized Firm Representatives This chapter describes the role of an authorized firm representative AFR and describes the three types chief AFRs AFR administrators and AFRs This chapter describes how a chief AFR is appointed and explains user IDs passwords and PINs that are required in order to use the system Chapter 5 Fees Collected Through NRD This chapter describes the payment of submission fees annual registration fees and NRD user fees by way of electronic funds transfer This chapter explains NRD accounts and the authorization by an AFR of fee payments through NRD Chapter 6 Navigating the NRD Website This chapter explains the various navigation tools on the NRD website Chapter 7 Making NRD Submissions This chapter explains NRD submissions NRD submission
45. list of notice types The system displays a search screen on which to identify the individual whose exemption refusal information is to be changed Enter that individual s NRD number and click Continue 3 The system displays the current exemption refusal information corresponding to the NRD number entered Verify that you have retrieved the record of the correct individual The system displays a question asking whether the individual has been refused exemption from courses exams or experience requirements gt Ifthe previous answer was No select the Yes radio button and click Save amp Continue to proceed gt Ifthe individual has a record of previous refusals click Save amp Continue to proceed directly to the next screen Item 8 Exemption Refusal Information Change Has any securities regulator derivatives regulator or SRO refused to grant you an exemption from a course examination or experience requirement Yes C No 4 The system displays a form in which you are to disclose the following gt The securities authority or self regulatory organization that refused to grant the exemption gt The name of the course exam or experience requirement that was refused exemption gt The reason for the refusal You must also enter an effective date The effective date must be a past or current date If you have more than one exemption refusal to disclose for this individual click Add Another Otherwise
46. of the NRD administrator is limited to the repayment from the NRD administrator to the firm without duplication in respect of the specific filing or use of this NRD website the claim to a maximum amount of the fee paid to the NRD administrator in respect of which the filing or use of this NRD website was made less amounts if any repaid by the NRD administrator for other claims in respect of the same filings or uses of this NRD website provided that the firm is not in breach of this Agreement NRD User Guide 188 T7 Indemnity The firm agrees to indemnify and hold harmless the NRD administrator and the Related Parties from any claims actions demands liabilities and settlements including without limitation reasonable legal fees and costs resulting from the firm s material breach of this Agreement gross negligence or willful misconduct in relation to its use of the NRD website by AFRs individual filers and or unauthorized individuals 8 Links to Other Sites The NRD website may contain Linked Sites Unless specifically noted the Linked Sites and or the content goods or services sold or made available on the Linked Sites are not under the control of the NRD administrator and accordingly the NRD administrator does not assume any responsibility for the same The Linked Sites are provided only as a convenience and the inclusion of any link does not imply that NRD administrator guarantees recommends approves warrants or endorses
47. operation of NRD and or the NRD website the NRD administrator shall so notify the chief AFR of that firm and the chief AFR agrees to revoke or otherwise prevent or restrict such AFRs individual filers and or unauthorized individuals from access to use all or any part of the NRD website immediately Notice Collection and Use of Personal Information The personal information that you provide on this form to the NRD administrator will be used to facilitate your access to and use of NRD and will not be used for any other purpose The NRD administrator will retain your completed NRD Form 2 as evidence of your enrolment as a chief AFR The information you provide on this form or otherwise through NRD will not be disclosed to any third party except for any of NRD User Guide 193 the Canadian securities regulatory authorities the Investment Industry Regulatory Organization of Canada or their authorized representatives for purposes of the administration or enforcement of securities legislation in the applicable jurisdictions For information about the use of the information collected on this form or to obtain access to the information you have submitted contact the NRD administrator at the address provided above or by telephone at 1 800 219 5381 The chief AFR acknowledges that all access to and use of NRD shall be subject to the terms mentioned above Print name of chief AFR Last name First name Second name Third name Signature of chief AF
48. potential supporting documents required to accompany an individual s application for registration e g financial disclosure gt NRS Form 31 101F1 Election to use the NRS and Determination of Principal Regulator gt NRS Form 31 101F2 Notice of Change Firms and individuals must continue to file or deliver information to regulators in paper format in the manner required by applicable securities and commodity futures legislation Supporting documents Certain submission types or sections of submissions require supporting documents Supporting document requirements are at the discretion of the regulator If you are sending a supporting document to regulators include a covering letter and submit the document to regulators within 5 business days of sending the pertinent submission to regulators on NRD Include the following information in the covering letter NRD Filer Manual 1 NRD submission number 2 NRD number of the individual 3 Full legal name of the individual 4 NRD number of the sponsoring firm 5 Full legal name of the sponsoring firm 6 Reference to the supporting document being submitted 7 Signature of an authorized firm representative branch manager or partner director or officer of the firm Registration information that must be filed with regulators in paper format in support of an NRD submission When an applicant or registrant has answered Yes to the following financial disclosure items
49. pr sente convention ainsi que les documents qui s y rattachent soient r dig s en anglais Any cause of action arising out of or related to this Agreement must commence within two years after the cause of action arose otherwise such cause of action is hereby waived and permanently barred Headings are for convenience only and shall not affect the interpretation of this Agreement 13 Contact Us All notices to the NRD administrator pursuant to this Agreement must be sent to CDS INC to the attention of the NRD administrator by fax at 1 866 729 8011 or by prepaid mail or personal delivery to 85 Richmond Street West Toronto Ontario M5H 209 In the event of any questions or comments about the NRD website or the services offered by NRD administrator the NRD administrator may be reached by calling 1 800 219 5381 or by sending a fax as noted above All notices submissions ideas or other information cannot be returned and once submitted become the property of the NRD administrator CDS INC 2003 attention NRD Administrator All Rights Reserved NRD User Guide 190 NRD FORM 2 ENROLMENT OF CHIEF AUTHORIZED FIRM REPRESENTATIVE TO CDS INC Attention NRD Administrator 85 Richmond Street West Toronto Ontario M5H 2C9 AND TO Each Firm that appoints the undersigned as its chief AFR using the user ID assigned in respect of this enrolment STRICTLYCONFIDENTIAL Please select one box C First enrolment as a chief AFR in the
50. service branch sub branch or head office providing the location is in the jurisdiction you have selected or ii you can manually enter the information FIRM SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Address for Service i First Page 2453781 Green Richard 33070 Dargan Cataliers Item 7 Address and Agent for Service Prince Edward Island Enter information in at least one of the text boxes below to begin your search NRD Location Number OR Address Contains City f E Province Territory Prince Edward Island o Type of Location Address for Service x NRD No of Supervisor Ada Search Reset To use a location enter the information in search fields and select Search TIP it is recommended that you leave all fields blank and only use the location type to perform your search When the search results are returned select the NRD number hyperlink SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS First Page 2453781 Green Richard 33070 Dargan Cataliers Item 7 Address and Agent for Service Change Prince Edward Island Enter information in at least one of the text boxes below to begin your search NRD Location Number OR Address Contains City SY Province Territory Prince Edward Island Type of Location Address for Service NRD No of Supervisor Add Search
51. state country ender Female Colour of eyes Bleu Colour of hair Blond Height 65 inches Weight 135 Ibs 7 Generate Annual Fee Detailed Report Firms can generate three different reports in order determine annual fees as grouped by gt Individual registrant gt Branch location gt Fees paid for Commissions ROC NRD user fees The Annual Fee Detailed Report uses the following criteria gt Year gt Summary type gt Report type gt Location NRD number if applicable gt Fees paid for if applicable NRD Filer Manual R gt Report format FIRM INDIVIDUAL SUBMISSION SUBMISSION WORK IN SENT TO FIRM HEALED PROGRESS REGULATORS INFORMATION 5555 KAPUSKASING ASSET MANAGEMENT INC GESTION DE PLACEMENTS KAPUSKASING INC Please select a Year and Summary Type to generate an annual fee detailed report manors To generate an Individual report type do not alter the Location NRD No field To generate a Location report type do not alter the Fees paid for field For a specific location complete the Location NRD No field To generate a Fees paid for report type do not alter the Location NRD No field and select the appropriate value from the drop down menu Year 2006 1 1 Summary Type Final Annual Fee Notice Report Type Individual x Location NRD No aa To generate a report for all locations leave Location field blank Fees Paid For All v Report Format PDF O
52. submissions 64 Bo Bulk Category Change ies scctenistadevn iote otis bates safectdetin e sedate eth a aa a Eaa aieas 64 G Bulk Transfer of Locations and Individuals 000 0 ces ceeceecceseceseeeeeeeseeeseeeseecaaecaeceaeceaeesseeeseeeseeeees 64 H Temporary hardship exemption cee eai ee Seri NEEE E Eae i aeeai SEs 65 CHAPTER 8 ADMINISTRATIVE TOOLS vsr i ierse e oe Ae Be eed ya OES a D D E E EE AN N 66 Bs Maintain Sets denaren e e E E RT E aE EROT Ea eee 68 C Change Password poino eiri E E E E E a A eee heed T ee aed 69 D R s t Password anserinae oane e E r ei ete Er eE Eea E Eeee ETE e 70 EJ Reyvoke ACCES Smuga n a a a E ed i ed as a 71 F gt Resubmit Pee Payment ivosiscitetistetver tote seth Gadiitet esta tedeies a ea a 72 Gx tREPOLIS secessccileties tacetbhce A EE EEE A E A E tae 74 1 Reconciliation report by submission 77 2 Reconciliation report by EFT electronic funds transfer 79 3 List Registrants report 81 4 List AFRs report 84 5 Generate Progress Report on Submission for Individuals Included in Data Transfer 85 6 Generate Permanent Record Report for an Individual Registrant 86 7 Generate Annual Fee Detailed Report 87 8 Submission Status Report 90 9 Recall Report by Number 93 CHAPTER 9 SEARCHING FOR AND VIEWING INFORMATION ON NRD 8 Page by page completeness check 60 As TheSearch functum aeinn re
53. that was refused registration or licensing if insurance licensed also indicate the name of the insurance agency 2 with which regulatory authority or under what legislation the registration or licence was refused 3 the type or category of registration or licence refused 4 the date of the refusal and 5 the reasons for the refusal For each order or disciplinary proceeding indicate below 1 the party against whom the order was made or the proceeding taken if insurance licensed indicate the name of the insurance agency 2 the regulatory authority that made the order or that is or was conducting the proceeding or under what legislation the order was made or the proceeding is being or was conducted 3 the date any notice of proceeding was issued 4 the date any order or settlement was made 5 a summary of any notice order or settlement including any sanctions imposed 6 whether you are or were a partner director officer or major shareholder of the firm and named individually in the order or disciplinary proceeding and 7 any other information that you think is relevant or that the regulatory authority may request NRD User Guide 226 SCHEDULE K Criminal disclosure Item 14 Item 14 1 For each charge state below 1 the type of charge 2 the date of the charge 3 any trial or appeal dates and 4 the court location Item 14 2 For each finding of guilty pleading no contest to or granting of an absolute or
54. the submission is to be made and although a submission is directed to the commission any IIROC applicable fees are automatically paid to the IIROC In provinces such as British Columbia Alberta Quebec and Ontario in which the ROC has been delegated the authority for registration matters by the relevant securities commission your submission will be sent to the IIROC in that province and if a submission should go to the commission s in those jurisdictions it will be directed appropriately In all other jurisdictions your submission will be sent to the relevant securities regulatory authority which will then redirect that submission to the ROC for approval if required all without any further action on your part E Dealing with submissions after they have been sent to regulators 1 Sent to Regulators Click this item to view submissions that you have completed and sent to regulators NRD Filer Manual 61 NRD Filer Manual Submissions stay in Sent to Regulators until regulators have processed them You can sort your Sent to Regulators submissions by NRD number Name Submission Number Submission Type or Date Sent Click the appropriate column heading to sort your submissions by that criterion Unlike Work in Progress submissions you cannot delete submissions from your Sent to Regulators list nor can you edit them FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION diine REGULATORS Miligels i vale TOOLS 20
55. the existing answers Click on Save amp Continue Select the appropriate hyperlink and provide the additional details as well as an effective date gt You may not change a Yes answer to a No if it was retrieved from the Permanent Record 5 When you are satisfied that you have provided all the necessary disclosure information click Save amp Continue The system verifies that you have entered all required data and guides you through the Complete Submission process For further information refer to NRD Explanatory Guide No 2 Item 13 Regulatory Disclosure NOTE Upon suspension by a Commission HROC SRO or other regulatory body the registrant must provide a Regulatory Disclosure change to update the appropriate section in Item 13 NRD User Guide 176 23 NOTICE Criminal Disclosure Change l On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 14 Criminal Disclosure Change from the list of notice types The system displays a search screen on which to identify the individual whose criminal disclosure is to be changed Enter that individual s NRD number and click Continue 3 The system retrieves the current criminal disclosure information corresponding to the NRD number entered Verify that you have retrieved the record of the correct individual See Item 14 in Form 33 109F4 for the full text of the criminal disclosure questions
56. the limited purpose of completing their own applications for registration on Form 33 109F4 An authorized firm representative or AFR is a person authorized by a firm to access information and make submissions to regulators using NRD regarding that firm and individuals associated with that firm Authorized firm representatives are described in detail in Chapter 4 Authorized Firm Representatives G Contents of NRD NRD contains information about your firm and individuals associated with your firm Information in NRD exists in one of these three forms e The Permanent Record is the NRD term for the current and historical record of information in NRD for a firm or individual and is described below e Information that has been prepared by an AFR on the system but that has not yet been submitted to regulators using NRD is a work in progress and is described in Chapter 7 Making NRD Submissions e Information that has been submitted to regulators using NRD but that has not yet been processed by regulators constitutes the AFR s sent to regulators list and is also described in Chapter 7 1 The Permanent Record The Permanent Record for a firm or individual is created from the information submitted to regulators using NRD or filed or delivered in paper format as the case may be The permanent record includes all information that has been submitted to and approved by the regulator You will know information has been accepted by the reg
57. to requests by regulators to provide additional information with respect to a submission such regulators may consider you to have abandoned your submission in which case the status of your submission will be indicated as Abandoned on the system This disposition like any other Approve or Deny cannot be reversed on a submission Bulk Category Change If a firm has been registered in a new category and a significant number of individuals is associated with the change the regulators may consider exempting the firm and individuals involved from making filings through NRD and allow for a Bulk Category Change The purpose of this is to allow for a mass change of categories for individuals of the firm thereby eliminating the need for each individual to submit a separate Change or Surrender of Individual Categories Submission There may be an additional fee associated with this feature Firms involved in such a transaction should contact the applicable regulators to discuss what steps are required to allow the use of the Bulk Category Change process Bulk Transfer of Locations and Individuals If a registered firm is acquiring a large number of business locations for example as a result of an amalgamation or asset purchase from one or more other registered firms that are located in the same jurisdictions and registered in the same categories as the acquiring firm and if a significant number of individuals are associated on NRD wit
58. types who may make an NRD submission and the procedures for making NRD submissions to regulators Chapter 8 Administrative Tools This chapter explains the administrative tools features of NRD for performing tasks such as changing passwords appointing AFR administrators and AFRs resubmitting fee payments and generating NRD reports for your records NRD Filer Manual Chapter 9 Searching for and Viewing Information on NRD This chapter explains how to search and view registration information on NRD and describes the retrievable information Glossary The glossary defines commonly used NRD terminology You will notice throughout the manual some terms highlighted in blue Click such terms to follow links to either the glossary definition or to pertinent sections elsewhere in the manual Submission Illustrations This section provides step by step directions tips and screen shots of each submission type available on NRD The submissions are ordered as they appear on the website task menus To keep this manual at a manageable size these illustrations do not display every screen you would see during the course of a submission but the screens unique to a particular submission are included You will notice that many images are close ups of the relevant portions of screens and do not always display the full screen as it appears when you are on the system Form 33 109F4 Registration Information for an Individual This manual inclu
59. user ID should be manually revoked by the Chief AFR or Admin AFR NRD User Guide 150 2 INITIAL Initial Registration See How to make an Initial Application Refer to Form 33 109F4 for the full text of this submission type In particular the disclosure questions are available in their entirety in the form 3 INITIAL Reinstatement of Registration See How to Reinstate Registration 4 INITIAL Registration with an Additional Sponsoring Firm See How to Register with an Additional Sponsoring 5 INITIAL Registration in an Additional Jurisdiction See How to Register in an Additional Jurisdiction 6 INITIAL Reactivation of Registration 7 AMENDMENT Change or Surrender of Individual Categories See 8 AMENDMENT Apply for an Exemption TIP You cannot use NRD for this application if it is a pre filing Registered and permitted individuals must be associated with the firm on NRD before you can submit this application on NRD See How to Apply for an Exemption NRD User Guide 151 9 NOTICE Notice of Termination See How to Complete a Notice of Termination Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators 10 NOTICE Update Correct Termination Information See How to Update Correct Termination Information 11 NOTICE General Note for all other Notices If the individual is registered with tw
60. will not permit the other firm to file the same notice of change until the regulator has approved that first notice When filing a notice of change for the record of an individual registered with multiples firms the AFR should use the following procedure gt Check to see if the Permanent Record has already been updated with the changes i e does the Permanent Record show the updated information If the record has been updated the individual has already filed the notice via another sponsoring firm gt If the change is reflected on NRD you must still file the notice of change for your firm however you may not submit the change on NRD and must submit a paper F5 on behalf of your firm with the appropriate regulators for review gt If the change is not reflected on NRD submit the appropriate NRD notice gt If you receive an error message indicating that there is already a submission of this type in progress this means that another sponsoring firm or another AFR has created or submitted that notice type In that case file a paper F5 to notify the regulator of the change TIP When you get that error message it is also possible that an AFR at your own firm has created or sent a notice or that you already have the notice in your WIP double check to make sure you haven t already begun NRD User Guide 144 1 How to set up an individual to complete an initial submission The following Initial submissions can be completed
61. with a new person use the Set Up Users function for the new AFR and use the Revoke Access function for the AFR who has been replaced Click Maintain Users on the Admin Tools local navigator The system displays a field in which to type the user ID of the AFR whose information you wish to change in the system The system verifies the user ID and retrieves the corresponding individual information You cannot use the Maintain Users function on AFRs who are not yet activated i e they haven t logged in for the first time yet or who are locked out NRD Filer Manual 6 Confirm that you have retrieved the record for the correct individual and make your changes as appropriate Click Save amp Continue to save your changes The system validates and saves your changes and returns you to the task menu FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Set Up Users 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc Change Password Reset Password Maintain Users Roon Individual information Resubmit Fee Payment _ Reports SOS S Last Name Stevenson s lt sSOSOSCitsS e First Name Be Second Name cit applicable OO Third Name cif applicable OO Telephone No 7053369841 ext Gt applicable Fax No cif applicable E Mail Address faec emalcom Role AFR X Reset When the Maintain Users Function is used to update a chief
62. with her his last sponsoring firm However if the individual left his her last sponsoring firm any time between October 1 and December 31 of a given year and s he is applying for registration after that December 31 you must complete the Reactivation of Registration submission iii Registration with an Additional Sponsoring Firm Use this submission if an individual is with another firm and maintaining their registration with their current firm You should ensure that registration with more than one firm by an individual is permitted under applicable securities and commodity futures legislation prior to using this submission type iv Registration in an Additional Jurisdiction Use this submission if the individual is seeking registration in another jurisdiction cee NRD Filer Manual b c v Registration Information for Individuals Included in Data Transfer Unless you are reactivating an individual s registration use this submission type if the individual was recorded on NRD on the NRD launch date March 31 2003 and s he is submitting Form 33 109F4 or Form 33 506F4 for the first time vi Reactivation of Registration Use this submission if the individual is applying for registration after having left the last sponsoring firm more than 90 days ago or the applicant is applying in a new category of registration Amendment i Change or Surrender of Individual Categories This submission type allows you to com
63. you are disclosing this information for the first time the system displays the Ownership of Securities and Derivatives Firm Change form immediately See Item 17 in the Initial Registration submission illustration as well as Item 17 in Form 33 109F4 for details on completing the various screens for this item INDIVIDUAL WORK IN SENT TO FIRM ADMIN WEO SUBMISSION Parisai PROGRESS REGULATORS INFORMATION TOOLS A Derva Firms m F 2453781 Green Richard 33070 Dargan Cataliers Re Assign Submission Item 17 Ownership of Securities and Derivatives Firms Change Schedule N To edit related securities firms information click on a firm Green Securities Ltd Green Mary Add Another Continue gt gt NRD User Guide 180 6 If you are adding to previous disclosure either click Add Another to add a related securities firm or click a firm name to update firm or beneficial partner information This updating can include ceasing a related securities firm s relationship to the individual and or ceasing any beneficial owners relationship to their related securities firm Cease a relationship by opening the firm or individual record There is a Cease relationship checkbox at the top of every firm or beneficial owner record After you check this box and click Save amp Continue at the bottom of the screen the system displays the firm or beneficial owner s name with Ceased after the name When this submission i
64. you have entered so far on your submission In case you need to logoff or perform another task you may retrieve your submission from Work In Progress and begin work from the last Save Add Another button 55 The Add Another button is effectively a Save function that also re loads the form you have just completed to be filled in with new information Certain submission items might have multiple responses For example an individual must disclose her his residential address history for the past ten years In many cases more than one residential address must be provided to cover this ten year requirement To enter more than one response with respect to a particular item of information click the Add Another button at the bottom of the screen Item 2 Residential Address Click on an address to edit the information 56 rue St Patrick App 1 Kapuskasing 705 335 0554 2003 06 Added 103 Ethier Road RR 20 Parry Sound 705 844 5411 1996 01 2003 06 Added 65 Lakeview Village Rd Apt 308 Nobel 706 465 5591 1995 01 1996 01 Added 32 Rue Bowman Kapuskasing 705 556 6100 1990 01 1995 01 Added d Added Changed Column This column found only in some submissions serves to flag records that have been added or retrieved from the Permanent Record and changed during the course of the submission In the following example a new employment record has been added and is marked Added Also a record that was retri
65. 1 Activation 5 Generate Progress Report on Submission for Individuals Included in Data Transfer This report type allows you to view the status of submissions for individuals included in the Data Transfer You may select any or all of the following optional criteria to generate your report gt Employment Location NRD number gt Jurisdiction gt Submission Status Not Started Work In Progress Completed defaults to All To retrieve a report with all Individuals within a firm please press Generate Report For specific Individuals please enter information in any of the other fields Employment Location NRD No Jurisdiction All m Submission Status All Report Format PDF Excel Comma separated Values CSV Generate Report Reset NRD Filer Manual 85 NRD Report Time Run 12 31 05 pm Date Run 5 7 2004 Who Requested Report Tincopa Erwi Name of Report Progress Report on Submissions for Individuab Included in Data Transfer Firm Legal Name Soci t Gu vremont Inc Firm NRD Number 21550 m a al Location NRD No Registration em Severson w oo eO eO O oe oaa SOS es esve O omo OOO O O o ea onec O oe o nosna s0301 Ferguson Isobel Saa 5441232 41 ch Boulangerie Ontario Workin Progress anza severs fom S Aranda ana O aes cemerwe l ereen coumen Compere Pasian error at Borger onan f coe CO E e SO E COM tyme wa
66. 2 Non Duplication of Filing Requirements Supporting documents will be filed by firms only with the lead jurisdiction or Principal Regulator Firms will file supporting documents with both the applicable commission and IIROC in non delegated jurisdictions The non lead jurisdictions non principal will not ask for duplicate documentation from the firm or filer J Lead and non lead jurisdictions Because NRD is a single database shared by all regulators there is a need for a single designated jurisdiction to take the lead on entering and updating certain information about firms whose Head Offices are in their jurisdiction A lead jurisdiction is required for those firms whose Head Office is outside of a participating jurisdiction 1 How is the lead jurisdiction determined If your Head Office is located in Canada then the lead jurisdiction for a firm is determined by the location of the firm s Head Office NRD Filer Manual 18 If your firm has a Head Office outside of Canada the firm s lead jurisdiction is determined by a weighting of the provinces territories in which the firm is applying to register The weighting is based on the population of each province or territory as follows Ontario Quebec British Columbia Alberta Manitoba Saskatchewan Nova Scotia New Brunswick Newfoundland and Labrador Prince Edward Island Northwest Territories Yukon Nunavut EXAMPLE For a fi
67. 240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc To view submission history click on a Submission Type To sort by a column click on the column title Showing Submissions 1 2 of 2 20240 Kapuskasing 200320645 Open a Location 2003 02 19 Dizon Dina Securities Inc valeurs mobili res de Kapuskasing Inc 808331 Grzela L vi 200320871 Individual Name Change 2003 02 19 Dizon Dina Review of submissions by regulators After a submission has been sent to regulators those regulators will review the submission If the submission is deficient or requires clarification regulators may return the submission for correction or clarification When a submission is returned it appears in your work in progress list Upon opening the submission you will see a list of the deficient items along with instructions from the regulator to correct the items Some regulators may also sent an e mail to notify you of the deficiencies or clarifications required 62 RM INDIVIDUAL SUBMISSION FI SUBMISSION NRD Filer Manual 2078911 Smith David PRIVACY STATEMENT FIRM LIST HELP FRAN AIS LOGOUT SENT TO FIRM ADMIN SERRES REGULATORS INFORMATION TOOLS 25980 Test Firm 1234 Inc Deficient Items The following item s must be corrected Registration Categories Current Employment Dear AFR After reviewing the submission for David Smith we note the following deficiencies that require correction
68. 3 in NRD as contemplated in National Instrument 31 102 National Registration Database Ontario Securities Commission Rules 31 509 Commodity Futures Act National Registration Database Companion Policy 31 102CP the NRD Filer Manual referenced in such Companion Policy and other applicable provincial and territorial laws 4 2 The NRD account holder authorizes the payment of fees and charges from time to time on behalf of the firm stated in section 1 by electronic business pre authorized debit PAD in NRD from the NRD NRD User Guide 196 account to one or more of the following payees their successors or assigns as such list of payees may be amended from time to time in NRD collectively the Payees British Columbia Securities Commission Alberta Securities Commission Saskatchewan Financial Services Commission The Manitoba Securities Commission Ontario Securities Commission L Autorit des march s financiers New Brunswick Securities Commission Prince Edward Island Securities Registry Nova Scotia Securities Commission Securities Commission of Newfoundland and Labrador Registrar of Securities Northwest Territories Nunavut Securities Registry Registrar of Securities Yukon Community Services Investment Industry Regulatory Organization applicable branch for each jurisdiction CDS INC 4 3 The NRD account holder authorizes the Payees to draw from time to time PADs on the NRD account at the financial institution compl
69. 4 INITIAL Registration with an Additional Sponsoring Firm 151 5 INITIAL Registration in an Additional Jurisdiction 151 6 INITIAL Reactivation of Registration 151 7 AMENDMENT Change or Surrender of Individual Categories 151 8 AMENDMENT Apply for an Exemption 151 9 NOTICE Notice of Termination 152 10 NOTICE Update Correct Termination Information 152 11 NOTICE General Note for all other Notices 152 12 NOTICE Individual Name Change 153 13 NOTICE Residential Address Change 155 14 NOTICE Personal Information Change 157 15 NOTICE Citizenship Information Change 158 16 NOTICE Address and Agent for Service Change 160 17 NOTICE Proficiency Information Change 163 18 NOTICE Exemption Refusal Information Change 167 19 NOTICE Employment Location Change 169 20 NOTICE Current Previous Employment Change 172 21 NOTICE Resignations and Terminations Change 175 22 NOTICE Regulatory Disclosure Change 176 23 NOTICE Criminal Disclosure Change 177 24 NOTICE Civil Disclosure Change 178 25 NOTICE Financial Disclosure Change 179 26 NOTICE Ownership of Securities and Derivatives Firms Change 180 NRD FORM 1 ENROLMENT OF FIRM uw cccsssssssssssssssssssssseesccessssnseeesscessssnesseessssnesseessnnnesseessnan 182 NRD FORM 2 ENROLMENT OF CHIEF AUTHORIZED FIRM REPRESENTATIVE 0000000 191 NRD FORM 3 NRD ACCOUN
70. 92 415862 415862 415862 415882 Jurisdiction ON Bc BC BC ON BC Fee Type Commission Fee NRD User Fee Commission Fee Commission Fee Commission Fee Commission Fee Commission Fee NRD User Fee Commission Fee Commission Fee Commission Fee NRD User Fee Commission Fee Commission Fee Commission Fee NRD User Fee Commission Fee Commission Fee Commission Fee Location Fee Total Total Total Total Amount 0 00 79 50 79 50 0 00 0 00 0 00 185 50 435 50 1 500 00 10 000 00 1 500 00 0 00 NRD Filer Manual Submission Status Report Use this report to generate a summary for the following information gt gt Within a specific date range a list of submissions that were assigned a disposition by the Regulators and a list of pending submission with the Regulators There are seven criteria that can be entered to create this report gt gt Action date this date can be from one day to one year The report will list those submission disposed on or during the date s specified Submission Type an AFR can select the report to list specific sumission types or all submission types Only individual type submissions will be listed Submission Status you can further narrow down to inlcude only submission that have a certain status that is approved denied withdrawn or returned to firm Jurisdiction an AFR can request for the report to list su
71. AFR retrieves a submission through the search function the yellow reassign tab will appear on the local navigator if the submission has not yet been sent to regulators FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS Wzory EON TOOLS Aa 805951 Di Seano Vion 20240 Kapuskasing Securities Inc Valeurs mobili res de le seminal Marianne Kapuskasing Inc FEE EE Address for Service Transfer Individual Registration Jurisdictions em Provinces or Territories Current Employment ations and Click on a province or territory to provide registration information erminations Confirm Permanent Provinces or Territories Record Ontario Add Another Continue gt gt To reassign Click Re assign Submission The system displays the submission type and submission number along with a user identification field Type in the user ID for the AFR or individual applicant to whom you wish to re assign the submission Click Save and Continue The system validates the ID and the submission no longer appears in your WIP it has been instantly transferred to the WIP of the user to whom you have re assigned it NRD Filer Manual 54 FIRM INDIVIDUAL pean WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS izor EEO TOOLS 805951 Dion Marianne 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc Re assign Submission a ee Type Submission No Provide the User I
72. All Date From a i vvv T vf wvm Reset NRD Filer Manual 97 The Individual Submission search form Search for Individual Submission Enter information in at least one of the text boxes below ta begin your search Submission Current Only All Status Last Name FO First Name FO Second Name TO Third Name FO Individual NRD No O Submission No Submission Type fan Gula From f eyyy To f cyyyym AFR User ID Securities Regulatory Authority SelfRegulatory Organization all Search Reset To view the Work in Progress of a given AFR search by Current Only and the AFR s user ID 4 Search results Complete the appropriate form and click Search The system executes a search based on your criteria and displays a list of any results found NRD Filer Manual 98 Search Results Showing Results 1 10 of 25 680827 1 Bonhomme 20240 Kapuskasing Initial 20034569 Lucien Securities Registration Inc MYaleurs mobili res de Kapuskasing Inc 808031 Boucher 20240 Kapuskasing Apply for an 20036807 2003 02 07 Jocelyne Securities Exemption Inc aleurs mobili res de Kapuskasing Inc The search results are displayed 10 items per page If the results exceed 10 items navigate among search result pages by using the Next 10 and Previous 10 buttons located at the bottom of the search results page If the number of search results exceeds 200 yo
73. BMISSION REGULATORS INFORMATION TOOLS 15610 Conseillers en placements canadiens Inc Canadian Investment Counsellors Inc To edit a submission click on a Submission Type To sort by a column click on the column title To delete a submission check the box beside a submission and click Delete Showing Results 1 4 of 4 1040871 Ethier Hermas 1040141 Tincopa Enwin 20038 Initial Registration 2003 03 04 r 1040131 L vesque Diane 20037 Initial Registration 2003 03 04 m 1040111 Stanford Mick 20035 Initial Registration 2003 03 04 The AFR can open this submission like any other in the WIP list The AFR may wish to Reassign the submission to the Individual if more information or a correction is required NRD User Guide 149 Re assign Submission Type Submission for Individuals Included in Data Transfer Submission No 2004693855 Provide the User ID that this submission is being re assigned to ETHIEQ003 Once the AFR is satisfied with the submission s he follows the Complete Submission process and sends it to regulator s Once the submission has been sent the system automatically revokes the individual applicant s user ID and s he no longer has access to the system You no longer have access to the system Contact your user ID administrator for assistance Enter Your User ID Enter Your Password _bogin _Reset TIP If you delete the submission from your WIP the individual applicant s
74. D for the first time the system prompts you to enter your PIN As a chief AFR you will have selected a PIN and communicated it to the NRD administrator when you completed NRD Form 2 Enrolment of Chief Authorized Firm Representative Enter the PIN and click Login PRIVACY STATEMENT HELP FRAN AIS Reset NRD Filer Manual b You will then be prompted to change your password If you have forgotten your PIN or other login information contact the NRD administrator for assistance First login for AFR administrator and AFR After you enter your user ID and password and click Login the system prompts you to change your password Enter the system generated password that you received from your chief AFR Then enter a new personalized password of your choosing The password must be a series of 6 20 alphanumeric characters must include letters AND numbers no special characters spaces punctuation marks etc and must begin and end with a letter Confirm the new password in the third field and click Save amp Continue 237 NOTE Passwords automatically expire after 13 months At your first login attempt after expiry you will be forced to change your password in the same way you are when you first login with a new user ID or when you have had your password reset Change Password The new password must be 6 20 characters of which the first and last character must both be alpha characters and must contain at leas
75. D that this submission is being re assigned to steveD010 Transfer of Registration 200321004 Reset 5 NRD Filer Manual Fields commands and other objects used to enter information for submissions a b c Text fields drop down menus checkboxes and radio buttons Any field encountered in a submission or admin function e g address lines disclosure details text boxes registration category checkboxes drop down menus of provinces and territories radio buttons for selecting fee resubmission types etc should be considered mandatory unless otherwise indicated The system will advise you if you have missed any required fields or entered invalid data Continue and Save amp Continue buttons Search results Permanent Records and certain submission types require you to click Continue to navigate to the next screen This command usually appears at the bottom of a screen that re displays or summarizes information you have already entered Most submission types include more than one screen thereby dividing data input requirements into manageable chunks NRD allows you to save each page of information that you complete prior to continuing to the next page by clicking Save amp Continue at the bottom of your screen See the NOTE on Inactivity for tips on avoiding timing out your session before you are ready Each time you click Save amp Continue the system validates and saves all the information
76. DS INC and deliver by prepaid mail or personal delivery to the NRD administrator at the address above or to such other address as may be provided at the NRD website C Change to Previous Filing Describe change s _ Appointment of new chief AFR complete sections 1 2 4 amp 5 L Change of current chief AFR name complete sections 1 2 4 amp 5 _ NRD account information for pre authorized debit complete sections 1 2 4 amp 5 Do not resubmit Appendix A Changes will be effective after the NRD administrator has completed its processing of all required information and forms Return this form with any other forms if required eg NRD Form 2 and or NRD Form 3 and related documents if required eg Void cheque of the NRD account and deliver by prepaid mail personal delivery or fax to the NRD administrator at the address above or by fax to 1 866 729 8011 or to such other address or fax number as may be provided at the NRD website Changes to information in section 1 must be reported directly to the securities regulatory authority or regulator and not to the NRD administrator General Instructions A This form may be downloaded from the NRD website at www nrd ca B Authorized signatories of the firm must sign the form and Appendix A manually NRD User Guide 182 Section 1 Firm Information Full legal name of firm Firm NRD number only required if a change to previous filing Head office main phone number
77. ES of valid passwords passl word crazy24day EXAMPLES of invalid passwords password 1 crazyday Passwords automatically expire after 13 months When you log in the first time after expiry you will be required to change your password just as you did when you logged into NRD for the first time or after a password reset Although passwords automatically expire it is a good security practice to change your own password more often permanent record the current and historical record of information in NRD for a firm or individual PIN or Personal Identification Number a series of 4 to 6 digits used by the chief AFR to log in to NRD for the first time The PIN must not begin with a zero 0 Unlike the user ID and password the PIN is not system generated Therefore the chief AFR may select her his own PIN on the Enrolment of Firm Filer form which s he forwards to the NRD administrator who sets up the chief AFR s login information provinces and territories unless otherwise stated for the purposes of NRD each of the provinces and territories of Canada These are also referred to as jurisdictions re assign action taken on a submission by a chief AFR or AFR administrator to take the submission from one AFR s WIP to another s The Re assign command is available to the AFR on the local navigator of the submission in question A submission can also be re assigned by an AFR to an individual whom the AFR has authori
78. Employment Location Change Select Complete Submission from the local navigator if you are not disclosing a change to the location of employment NRD Location Number 553122 Type of business location Head Office Chief Compliance Officer 2419151 Karpodini Peter Address Line 1 2 Forest Road Address Line 2 if applicable City Yellowknife Province Territory State Northwest Territories Postal ZIP Code LOLOLO Country Canada Telephone Number 123 456 7890 ext Fax No 123 456 7890 4 The system displays a search screen to identify the individual s new employment location Enter the desired criteria and click Search The system retrieves a list of your firm s business locations that meet the search criteria Click a location NRD number to continue NRD User Guide 169 Note To search for Head Office use NRD No or type of Location only TIP You may not change an individual s employment location to a jurisdiction in which s he is not registered 5 The system displays the record for the selected business location including the Supervisor or Branch Manager Location type Head Office Branch or Sub Branch and the address If this is not the correct location click Cancel to execute a new location search If this is the correct location enter an effective date The date must be a past or current date WORK IN Seah PROGRESS FIRM SUBMISSION SENT TO REGULATO ADMIN FIRM RS INFORMATION TOOLS Locatio
79. Excel O Comma separated Values CSV Generate Report Reset The year of the fee run and the summary type preliminary or annual must be indicated All other criteria are selected based on which of the three reports types is being generated To generate a report that is sorted by individuals within a firm and indicates all annual fees associated with those individuals select Individual for report type do not input information for Location NRD Number To generate a report that attributes fees to locations indicate this in the Report Type field but do not make a change to the Fees paid for field For a report of fees to a specific location complete the Location NRD Number field To generate a report that breaks down annual fees paid to any or all of the regulators or the NRD User Fees paid to CDS select the Fees Paid For report type and do not include a Location NRD number value The report then provides the following information grouped according to the report type selected gt Individual NRD number Individual name Firm category Individual category v Vv YV WV Jurisdiction NRD Filer Manual 88 gt Fee type gt Amount gt Total NRD Report Time Run Date Run Firm NRD No Firm Name Year Summary Type Who Requested Report Name of Report Individual NRD No Name 1950261 Smith John Smith John 1950271 Doe Jane Doe
80. F4 This submission type allows you to give notice of a change to the information regarding exemption refusals that was previously submitted for an individual x Employment Location Change Item 9 of Form 33 109F4 This submission type allows you to give notice of a change in the location of your firm at which the individual is employed xi Current Previous Employment Change Items 10 and 11 of Form 33 109F4 This submission type allows you to give notice of a change to the current employment information or information regarding other business activities or AQ NRD Filer Manual employment that was previously submitted for an individual You may also correct Previous Employment information already on the Permanent Record xii Resignations and Terminations Change Item 12 of Form 33 109F4 This notice type allows you to disclose new Resignation and Termination information xiii Regulatory Disclosure Change Item 13 of Form 33 109F4 This submission type allows you to give notice of a change to or addition of a regulatory disclosure for an individual under the headings Securities regulatory authorities Self regulatory organizations or Non securities regulation on Form 33 109F4 xiv Criminal Disclosure Change Item 14 of Form 33 109F4 This submission type allows you to give notice of a change to or addition of a criminal disclosure for an individual under the heading Criminal provincial and
81. ION TOOLS 7610 CSAIDA Firm35 Close a Location Individuals are still working at this location Submissions to terminate or relocate the following individuals are required 24631 joan brown 25191 JOHN ERINDALE Continue gt gt 7 The system will allow you to complete the submission even if individuals are still listed at this location However you should make a note of these individuals and deal with their status at your firm Specifically you should complete one of the following submissions for each individual as appropriate gt Employment Location Change or gt Notice of Termination If you decide to deal with the status of these individuals before completing the Close a Location submission simply click Individual Submission or any other tab or link on your screen to exit this submission This submission will be saved in your Work In Progress where you can retrieve it at a later time 8 If you decide to complete the submission before dealing with the individuals still listed with the location click Continue at the bottom of the screen or click the Complete Submission button from the local navigator to complete your submission The system verifies that you have entered all required information and guides you through the Complete Submission process TIP NRD does not have a Re Open Location submission therefore closed locations cannot be re opened under the same NRD number To effectively re open a l
82. IRM LIST HELP Kole olti FRAN AIS ADMIN TOOLS INDIVIDUAL SEARCH WORK IN SENT TO FIRM SUBMISSION PROGRESS REGULATORS INFORMATION Annual Fee Exclusion Reversal FistPae 25980 Test Firm 1234 Inc Annual Fee Exclusion Reversal NRD No 2078911 Last Name Smith First Name David Director Salesperson Exclude Individual O Reverse Excluded Individual Add Another Save amp Continue gt gt X J Cancel INDIVIDUAL SUBMISSION SEARCH WORK IN PROGRESS SENT TO REGULATORS FIRM INFORMATION ADMIN TOOLS 3 After you have confirmed at least one individual for the submission the system will display a summary list that includes the NRD number and the first and last name of each individual From this summary you may click Add Another to add more individuals or click Continue to complete the submission If you wish to remove any individuals from the list click that person s last name The screen will display their information as described in step 4 with a Delete checkbox in the upper right corner Check off the box and click Save amp Continue That individual will be removed from the summary list When you are ready click Continue on the summary list page or Complete Submission on the local navigator The system verifies that you have entered all required information and guides you through the Complete Submission process NRD User Guide 135 HELP LOGO
83. Jane Doe Jane Doe Jane Doe Jane Doe Jane 1950281 Anderson Suzanne Anderson Suzanne Anderson Suzanne Anderson Suzanne 1950291 Grey Jack Grey Jack Grey Jack Grey Jack NRD Filer Manual 11 56 42 am 10 3 2006 28300 Test Firm 2006 10 Final Annual Fee Notice angus scott Annual Fee Detailed Report Individual Firm Category Investment Counsel amp Portfolio Manager Portfolio Manager and Investment Counsel Securities Investment Counsel amp Portfolio Manager Unrestricted Practice Advisor Portfolio Manager and Investment Counsel Securities Investment Counsel amp Portfolio Manager Unrestricted Practice Advisor Portfolio Manager and Investment Counsel Securities Investment Counsel amp Portfolio Manager Unrestricted Practice Advisor Portfolio Manager and Investment Counsel Securities Participation Fee Unrestricted Practice Advisor Address for Service Individual Category Officer amp Director Advising Resident Compliance Officer Officer and Director Advising Chief Compliance Officer Officer amp Director Advising Non Resident Officer Director Officer responsible for Quebec activities Advising Employee Advising Representative Representative Portfolio Manager Partner Advising Partner Advising Resident Partner Page 1 of 2 89 Location NRD No 415862 415892 415892 415892 415892 415892 415892 415892 4158
84. Mailing address Check here if your mailing address is the same as your current residential address provided above Otherwise complete the following number street city province territory or state country postal code Item 3 Personal information 1 Date of birth YYYY MM DD 2 Place of birth city province territory or state country 3 Gender Female O Mae O NRD User Guide 201 Item 4 1 Eye colour Hair colour Height LJ in or LI cm Weight O Ibs or O kg Citizenship Citizenship information What is your country of citizenship O O 2 E Passport number Canada Other specify If you are a citizen of a country other than Canada complete the following for that citizenship Check here if you do not have a valid passport Otherwise provide Date of issue YYYY MM DD Place of issue Item 5 1 Y goood O city province territory or state country Registration jurisdictions Are you filing this form under the passport system interface for registration Only choose no if a you are seeking registration only in your principal jurisdiction b you are seeking review as a permitted individual only in your principal jurisdiction and you are not currently registered under securities legislation in any jurisdiction of Canada Yes O No O Check each jurisdiction where you are seeking registration or review as a permitted individual All juris
85. NATIONAL REGISTRATION DATABASE NRD USER GUIDE B DN National Registration Database Base de donn es nationale d inscription Instructions Procedures and Guidelines for Using the National Registration Database Version 2 0 September 2009 NRD User Guide NRD and BDNI and www nrd ca and related words and logos are trademarks and or trade names of CDS INC All other brand and product names mentioned in this manual may be trademarks or trade names of their respective owners NRD User Guide CHAPTER 1 ABOUT THIS MANUAL A B C D CHAPTER 2 OVERVIEW OF THE NATIONAL REGISTRATION DATABASE A mnp T L M CHAPTER 3 ENROLLING YOUR FIRM TO USE NRD About this manual 2 3 s25ss cschceiss dotetiesesttesie test dena a E aE ein sete etait Organization Of this mantal eee eeceseceseceseeeseeseceesseeeseeesaecsaecsaecssecsaeesseesseesseeseneseneeeaeeesaeenaes How to get copies of this manual ees eeeeeseceseceseceseceseeeseeeeeeeeaeeeaeecsaecaecsaecsaeceseeeeesseeeeeeeees ThE TESIStrat On NSU MENS oenen inion E E ARE E EE aR The National Registration Database 00 eccccecccesssecesececeeeeesaeceeaceceseeeeseeeesueceeaeeceeeeeaeeneaaeceeneeees Hardware and software required to use NRD ou eee eeceseceseceseceseceseeesneeseeeeaeessecaecsseceseesseeeseeeees Hours OF operation s aeree eee eeo eene ina eea ene aE e aea eE a eoor Teen oE iian Getting help for the Help D Sk inceneriment
86. NRD User Guide 147 When the individual is ready to forward the submission to the AFR s he clicks Complete Submission at the bottom of the local navigator The system performs the standard completeness check but the Complete Submission process is abbreviated compared to what the AFR would see NOTE The submission can be reassigned back to an AFR of the firm by the Chief AFR or Admin AFR at anytime while the submission is with the individual applicant Submit to Regulators 2003280 Initial Registration 1 To recall a previously generated report enter the Report No and click on Generate OR 2 To generate a new report click on Generate OR 3 To continue with submission to regulators click on Continue gt gt Note that you will not be able to generate the report once the submission has been sent to regulators Report No Generate Continue gt gt The individual clicks Continue and the system presents the certification screen asking the individual to certify that all information entered is true Most of the AFR Complete Submission screens are not part of this process When the individual certifies and completes the submission process by checking the certification box and clicking Submit to Firm the submission is forwarded instantly to the AFR that created the submission The individual is automatically logged out of the system at this point INDIVIDUAL ADMIN SUBMISSION TOOLS 1040871 thier H
87. NRD website and b it has implemented and maintains reasonable security precautions to control the access and use of NRD including the protection of user IDs passwords and if applicable personal identification numbers The authority of the chief AFR to act on behalf of the firm shall remain in effect until the NRD administrator receives written notice to the contrary from the firm The firm acknowledges and NRD User Guide 186 agrees that it is solely responsible for any access and use of the NRD website by its AFRs and individual filers In the event that any conduct of the firm or any of its AFRs or individual filers is harmful to the operation of NRD and or the NRD website the NRD administrator reserves the right to deactivate a user ID or otherwise prevent or restrict any AFRs individual filers and or unauthorized individuals from access to use all or any part of the NRD website immediately and without notice Access may be prevented or restricted as long as such conduct continues 2 Authorized Use of the NRD website The firm shall use the NRD website and any links to other web sites from the NRD website Linked Sites in accordance with the NRD Filer Manual and for lawful purposes only The firm agrees not to introduce into or through the NRD website any information or materials that may be harmful to others The firm shall not use NRD the NRD website or Linked Sites in any manner that based on the reasonable knowledge or belief of
88. R Date dd mm yyyy NRD User Guide 194 NRD FORM 3 NRD ACCOUNT HOLDER AUTHORIZATION TO CDS INC Attention NRD Administrator 85 Richmond Street West Toronto Ontario M5H 2C9 AND TO The Firm identified in section 1 below Please select one box L Initial Filing by NRD account holder in the National Registration Database NRD All sections must be completed This form must be returned by the firm with NRD Form 1 Enrolment of Firm and if required NRD Form 2 Enrolment of Chief Authorized Firm Representative C Change to Previous Filing Changes will be effective after the NRD administrator has completed its processing of all required information Describe change s C General Instructions Change to contact information complete sections 1 2 amp 4 The NRD administrator must receive this form within 5 business days of the change The NRD account holder may return this form directly to the NRD administrator Change to NRD account information complete sections 1 3 amp 4 Desired business date of change 200 The firm must return this form with NRD Form 1 The NRD administrator must receive this form at least 10 business days before the desired business date of change A This form may be downloaded from the NRD website at www nrd ca B Complete the information requested in this form in type or legible print The NRD account information completed in section 3 below must match the i
89. Reset Showing Results 1 1 of 1 553282 305 March Street Alecstown Prince Address for Service Edward Island Enter the effective date and select Save amp Continue NRD User Guide 161 SEARCH WORK IN SE N ADMIN TTO FIRM PROGRESS REGULATORS INFORMATION TOOLS 33070 Dargan Cataliers Item 7 Address and Agent for Service Change Prince Edward Island Schedule D Address Line 1 Address Line 2 if applicable 305 March Street City Alecstown Province Territory Prince Edward Island Postal Code LOLOLO Country Canada Telephone Number 1 ext if applicable Fax number if applicable 1 E Mail Address if available Name of Agent for Service Contact Person Last Name First Name Effective Date 2009 y 09 01 yyyymwoD Save amp Continue gt gt To manually input the address for service select Add from the main page FIRM WORK IN SENT TO FIRM ADMIN SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Address for Service First Page 2453781 Green Richard 33070 Dargan Cataliers Item 7 Address and Agent for Service Change Prince Edward Island Enter information in at least one of the text boxes below to begin your search NRD Location Number OR Address Contains City Province Territory Prince Edward Island Type of Location Address for Service v NRD No of Supervisor Search Reset To manually input the
90. SUBMISSION INDIVIDUAL SUBMISSION WORK IN PROGRESS SENT TO SEARCH REGULATORS 8290 Soci t de Lynne Reset Password Reset Password Revoke Access Name Stevenson Bobby Joe Resubmit Fee Payment Role AFR Administrator Reports Continue gt gt Cancel FIRM SUBMISSION FIRM INFORMATION INDIVIDUAL SUBMISSION WORK IN PROGRESS SENT TO SEARCH REGULATORS 8290 Soci t de Lynne Reset Password Revoke Access Name Stevenson Bobby Joe Resubmit Fee Payment Role AFR Administrator dol User ID STEVE0O14 Password ydfynome Password has been reset Password must be changed the first time you fog in E Revoke Access A chief AFR or an AFR administrator uses the Revoke Access function to revoke NRD access of an AFR administrator or an AFR You may not revoke the access of a chief AFR using NRD This function may only be performed by the NRD administrator Click Revoke Access on the local navigator The system displays a field in which to enter the user ID of the person whose access to NRD is to be revoked Enter the user ID and click Continue The system verifies the user ID and retrieves the name and role of the person whose access is to be revoked Confirm that you have retrieved the correct record and click Continue to confirm the revocation If you wish to appoint this person as an AFR administrator or an AFR for your firm in the future you will ne
91. See Chapter 7 Making NRD Submissions for details See the Submission Illustrations Firms Submissions for screens and full details on this function b Individual Submission Click this item to create a new submission on behalf of an individual associated or seeking to be associated with your firm See Chapter 7 Making Submissions Using NRD for details The individual submission types are organized into three categories See the Submission Illustrations Individual Submissions to view all individual submission types c Search Click this item to perform searches on gt Individuals associated with your firm gt Firm or individual submissions you may search for any submission in your firm s WIP or that have been sent to Regulators TIP To search WIP submissions do not enter a date in the date range field The system uses this field to identify the Submitted Sent to Regulators date of a submission Therefore the search would ignore WIP submissions Instead search by submission type AFR id or other criteria NRD Filer Manual A gt Locations of your firm See Chapter 9 Searching and Viewing Information on NRD for more details on performing searches d Work in Progress Click this item to view your Work in Progress Work in progress consists of submissions that you have created but have not yet sent to regulators Work in Progress is explained in Chapter 7 Making NRD Submissions
92. St Sauveur 20240 Kapuskasing Securities Inc aleurs mobili res de Residential Address Diane Kapuskasing Inc Personal Information Item 1 Name ee Other Names ete Registration Jurisdictions Registration Categories Last Name llevesquue tt ss i it Address for Service First Name Dine t lt i CS 6 Second Name if applicable Dl bal Third Name if applicable TT Current Employment Previous Employment Resignations and Term ns Provide the reasons for the use of this name for example marriage divorce court Regulatory Disclosure order commonly used name Criminal Disclosure Civil Disclosure Financial Disclosure F Related Securities Firms Provide period known by above name Erom ji976 for YY YY MM To i997 y fot vyv Add Another Save amp Continue gt gt Reset The AFR checks the Delete checkbox in the upper right corner and clicks Save amp Continue This entry no longer appears on the summary list NRD Filer Manual 257 lt NRD Filer Manual Whether you are in the midst of a submission or retrieve it from your Work In Progress you can delete an entry in the manner described f Cancel and Reset buttons The option to Cancel is presented after you have retrieved the record of an individual or a location while creating a submission The Cancel command gives you an out in case you have retrieved the wrong rec
93. T HOLDER AUTHORIZATION cccsssssessssssessessssssessesssssscsseesessssseeees 195 FORM 33 109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL oeren 200 NDC ENROLMENTAND USER FEES niriana a E TEE Aa TA 234 NRD Filer Manual CHAPTER 1 ABOUT THIS MANUAL Chapter Outline This chapter provides an outline of the contents and structure of this manual Included in this chapter are tips on navigating the manual and a description of the registration instruments relating to NRD A About this manual This manual has been written for those who will be using the National Registration Database NRD at www nrd ca to submit applications notices and registration information to regulators and to search for and view information on the National Registration Database To use NRD you must be an authorized firm representative for one or more firms An authorized firm representative or AFR is a person that is authorized by a firm to access information and makes submissions to regulators using NRD regarding that firm and individuals associated with that firm Authorized firm representatives are described in detail in Chapter 4 Authorized Firm Representatives When this manual refers to you and your firm it is referring to you in your capacity as an AFR and the firm or firms for which you are acting as an AFR respectively B Organization of this manual This manual is structured to follow the business flow of your use of NRD It begins w
94. This form must be signed by authorized signatories of your firm NRD Form 2 Enrolment of Chief Authorized Firm Representative This form requires a person being appointed as a chief AFR to provide certain basic information regarding that person including name phone number fax number and e mail address particulars This form must be completed and signed by the person enrolled as chief AFR for your firm if that person is being enrolled as a chief AFR for the first time or if that person previously acted as the chief AFR for a firm but is not acting as the chief AFR for any firm at the time of being enrolled If the person being enrolled as the chief AFR for your firm is currently a chief AFR with another firm this form need not be completed and submitted to the NRD administrator in order to enrol your firm to use NRD In these circumstances if the person wishes to use the same user ID as s he uses as a chief AFR with another firm s he can do so by providing that user ID to the firm enrolling her him as a chief AFR A chief AFR also indicates on the form the PIN s he has chosen for the purposes of logging in to the system for the first time 23 NRD Filer Manual c NRD Form 3 NRD Account Holder Authorization This form requires the entity which may be your firm itself paying fees through NRD on behalf of your firm and individuals associated with your firm to provide particulars of the address and financial inst
95. UT PRIVACY STATEMENT FIRM LIST FRANCAIS ADMIN TOOLS INDIVIDUAL FIRM WORK IN SENT TO FI SUBMISSION SU ESL PROGRESS REGULATORS INFORI RM BBAD MATION Annual Fee Exclusion Reversal 25980 Test Firm 1234 Inc First Page Annual Fee Exclusion Reversal Ontario Click on a name to edit information submitted 2078911 Smith David Excluded Add Another Continue gt gt INDIVIDUAL SUBMISSION SEARCH WORK IN PROGRESS SENT TO REGULATORS FIRM INFORMATION ADMIN TOOLS TIP If an individual is registered in more than one jurisdiction you must create a new submission for each of the jurisdictions in which you intend to exclude the individual from annual fees TIP You may file this submission type at any time of year and you may file more than one submission if you have various individuals whom you wish to exclude from annual fees TIP If an individual is identified in the annual fee exclusion the individual will remain active with your firm until the end of business on December 31 of the current year At the end of business on December 31 the status of this individual changes to Suspended Annual Fee Exclusion for that jurisdiction The end of business hour on December 31 is determined and published by the CSA each year TIP The firm must file one of the following submissions for the individual no more than 5 business da
96. Valeurs mobili res de Kapuskasing Inc Change Password FIRM INDIVIDUAL Set Up Users When you are ready click Save amp Continue at the bottom of your screen The system validates the data entered and displays a confirmation page with the name contact information user ID and password of the new AFR along with the firm firm NRD number and the AFR role The user ID and password are generated by the system WORK IN SENT TO FIRM ADMIN Ha PROGRESS REGULATORS INFORMATION TOOLS Set Up Users Confirmation Name Stevenson Alec Telephone No 7053369841 ext Fax No E Mail Address alec email com Legal Firm Name Kapuskasing Securities Inc A aleurs mobili res de Kapuskasing Inc Firm NRD No 20240 Role AFR User ID STEVEOOOS Password yc25zfhx Password must be changed the first time you fog in Printable Page Cancel Click the Printable Page button at the bottom the screen to confirm the new AFR record If you need to correct any data on the confirmation page click the Cancel button and re input information regarding the new AFR If you do not click Printable Page the system will not save the record of the new AFR and the login information generated on the screen will not be valid Maintain Users The Maintain Users function is used to change the system s record of the name and contact information of an AFR or contact information of a chief AFR If you are replacing an existing AFR
97. a firm where you are or were a partner director officer or major shareholder and whether you have been named individually in the allegations and 5 a summary of any disposition or any settlement over 10 000 You must disclose any actions settled without admission of liability NRD User Guide 228 SCHEDULE M Financial Disclosure Item 16 Item 16 1 Bankruptcy a For each event state below 1 the date of the petition or voluntary assignment 2 the person or firm about whom this disclosure is being made 3 any amounts currently owing 4 the creditors 5 the status of the matter 6 a summary of any disposition or settlement 7 date of discharge or release if applicable and 8 any other information that you think is relevant or that the regulator or in Qu bec the securities regulatory authority may request b For each event state below 1 the date of the proposal 2 the person or firm about whom this disclosure is being made 3 any amounts currently owing 4 the creditors 5 the status of the matter 6 a summary of any disposition or settlement and 7 any other information that you think is relevant or that the regulator or in Qu bec the securities regulatory authority may request c For each event state below 1 the date of the proceeding 2 the person or firm about whom this disclosure is being made 3 any amounts currently owing 4 the creditors 5 the status of the matter 6 a summary of any
98. a sub branch Throughout this manual a business location will often be referred to simply as a location chief authorized firm representative or chief AFR an authorized firm representative that has accepted a firm s appointment to act as that firm s highest ranking authorized firm representative This person has an enhanced level of access to the system and in addition to being able to perform all the functions of an AFR is able to perform additional functions that may not be performed by an AFR NRD User Guide 116 compliance officer the person responsible for overseeing the firm s activities on a national basis Compliance officer information can be found on NRD under Firm Information Head Office electronic funds transfer or EFT the service that automatically transmits the electronic pre authorized debits and credits electronically from NRD account to the applicable payees regulators ROC or NRD administrator electronic pre authorized debit a debit of funds from your firm s NRD account to the credit of one or more authorized payees including the regulators in each province and territory of Canada other than Qu bec the Investment Industry Regulatory Organization of Canada and the NRD administrator firms dealers advisers and underwriters registered or applying for registration under securities or commodity futures legislation in Canada global navigator the NRD navigator consisting of sever
99. absolute or conditional discharge from a criminal offence that was committed in any province territory state or country Ys DO No O If Yes complete Schedule K Item 14 4 Civil disclosure Are there currently any outstanding civil actions alleging fraud theft deceit misrepresentation or similar misconduct against you or a firm where you are or were a partner director officer or major shareholder in any province territory state or country Yes O No O If Yes complete Schedule L Item 15 1 NRD User Guide 207 Item 16 1 Have you or a firm where you are or were a partner director officer or major shareholder ever been a defendant or respondent in any civil proceeding in which fraud theft deceit misrepresentation or similar misconduct is or was successfully established in a judgment in any province territory state or country Yes O No 0O If Yes complete Schedule L Item 15 2 Financial disclosure Bankruptcy Under the laws of any applicable jurisdiction have you or has any firm when you were a partner director officer or major shareholder of that firm a 2 Had a petition in bankruptcy issued or made a voluntary assignment in bankruptcy or any similar proceeding Yes DO No O If Yes complete Schedule M Item 16 1 a Made a proposal under any legislation relating to bankruptcy or insolvency or any similar proceeding Yes DO No O If Yes complete Schedule M Ite
100. ad Office The system generates an NRD number for a business location when you first create a submission to Open a Location This NRD number is assigned to the business location even before you send the submission to regulators The NRD number can be viewed in your Work in Progress section and later in your Sent to Regulators section See illustrations above This number can also be used to retrieve location information during a search or during certain firm and individual submissions e g Location Address Change Employment Location Change etc Location NRD numbers end in a 2 3 NRD numbers for Head Office and Address and Agent for Service The system automatically generates it when the regulators enter this information for your firm They are unique for the firm s NRD number There is no notice on NRD to change Head Office Information or Address and Agent for Service Contact your regulator for instructions on making changes outside the system NRD submission numbers The system assigns each NRD submission an NRD number The system assigns the number when you create the submission This number can be viewed through Work in Progress Sent to Regulators sections See illustrations above and individual search You may perform searches by submission number as described in Chapter 9 Searching and Viewing Information on NRD You must indicate the NRD submission number and individual NRD number if applicable on all correspon
101. address for service select Add from the main page Enter the information and effective date and select Save amp Continue NRD User Guide 162 17 NOTICE Proficiency Information Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 8 Proficiency Information Change from the list of notice types The system displays a search screen on which to identify the individual whose proficiency information is to be changed Enter that individual s NRD number and click Continue 3 The system retrieves the record corresponding to the NRD number you entered Verify that you have retrieved the record of the correct individual You can add new proficiency information or edit previously disclosed information To add new information select Add Another If the applicant was not exempt from the course exam gt Course Exam name if you select Other from the drop down list type in the name of the course exam in the Other field gt Date Completed gt Effective Date must be a past or current date If the applicant was exempt from the course exam gt Course Exam name if you select Other from the drop down list type in the name of the course exam in the Other field gt Check the Exempt checkbox gt Date Exempted gt Exemption Granted by select an organization from the drop down list gt Effective Date must be a p
102. aid fees and charges at the rate of 1 per month 12 per annum from and after the due date and shall pay any reasonable charges the NRD administrator establishes from time to time for failed payments or payments that were not honoured 4 Intellectual Property NRD www nrd ca and related words and logos are trade marks and or trade names of the NRD administrator collectively the Trade marks Nothing in this Agreement on the NRD website or on NRD shall be construed as granting either expressly by implication or otherwise a license or other right to the firm to use the Trade marks or copyright or any other intellectual property right of the NRD administrator or CSA The names of other companies products or services referred to on the NRD website may be trade marks or trade names of their respective owners Any unauthorized use of the Trade marks or third party trade marks or trade names or copyright or any other intellectual property right of NRD administrator or CSA is strictly prohibited NRD User Guide 187 All right title and interest in the NRD website NRD all software used on the NRD website and all materials provided on the NRD website including without limitation associated information databases site design text and graphics are owned by the CSA the NRD administrator or their respective suppliers and are protected by Canadian and international copyright laws the proprietary content All rights are reserved An
103. al hyperlinks in the upper right hand corner of each screen in NRD namely Privacy Statement Help English or Francais and Logout If you are an AFR for more than one firm and using a single user ID Firm List will also appear as a choice in the global navigator individuals registered individuals individuals seeking registration and permitted individuals jurisdiction unless otherwise stated for the purposes of NRD a participating Canadian province or territory The jurisdictions participating in NRD include all Canada s provinces and territories except Qu bec local navigator the NRD navigator consisting of a list of items appearing on the left side of your screen when you click a certain item in the main navigator These lists contain different items that vary depending on what item you have selected from the main navigator The local navigator allows you to choose a specific task that you wish to perform in NRD or navigate within a submission on which you are working location see business location main navigator a navigation bar that runs across the top of each NRD screen The links on this navigator are reproduced as text hyperlinks at the bottom of each NRD screen Click these links to execute the various functions available to you on NRD multi jurisdiction submission types submission types that may or will be made in more than one province or territory using NRD e g Initial Registration National in
104. anual NRD enrolment forms There are three NRD enrolment forms that must be completed in order for your firm to enrol to use NRD These forms are available on the NRD website at www nrd info ca You are required to deliver the following enrolment materials gt gt gt gt Vv gt NRD Form 1 Enrolment of Firm Filer NRD Form 2 Enrolment of Chief AFR NRD Form 3 NRD Account Holder Authorization Articles of incorporation or any other document issued by a governmental office confirming the legal name of the firm Applicable Fees payable to CDS INC 500 GST Void cheque for NRD account from which submission annual and user fees will be electronically withdrawn unless exemption is granted All items must be delivered together by prepaid mail or personally to CDS INC Attention NRD Administrator 85 Richmond Street West Toronto Ontario M5H 2C9 The three forms are described below a b NRD Form 1 Enrolment of Firm Filer This form requires your firm to provide certain basic information regarding your firm including your firm s name address particulars of the appropriate contact person at your firm and financial institution details for the account to be used to make payments in NRD by electronic pre authorized debit purposes Your firm confirms the appointment of a chief AFR by completing section 2 of this form This form also contains the terms and conditions of use of NRD
105. ast or current date NRD User Guide 163 Item 8 Proficiency Information Change Schedule E Complete Schedule E to indicate each course and examination that is required for registration or approval and that you have successfully completed or have been exempted from You are required under securities legislation to provide this information Course or examination or other Canadian Investment Finance Course Part 4 education If Other is selected above specify Date Completed 2009 08 4 31 YYYY MM DD Exempt Fl Date Exempted J YYYY MM DD Exemption Granted by Effective Date 2009 08 4131 YYYY MM DD Add Another Save amp Continue gt gt Click Add Another to enter information for another proficiency When you are ready click Save amp Continue The system validates the information entered and displays a list of the proficiencies entered during the submission as well as those copied from the Permanent Record TIP Course Exam Completion Date In some cases you may not be able to obtain the month and date of a course exam completion date After making best efforts applicants should check personal records contact the institution and finally contact the regulator if the month and date cannot be obtained you may enter the known year a default month and date 01 01 Item 8 Proficiency Information Chang
106. ata you input manually is not translated by the system For example if you wish to have disclosure available in both official languages you must input both Your data will always be viewed as you typed it regardless of what version of the system Fran ais or English you log in to gt Names with French characters all French characters are allowable except and ce Use separate characters ae and oe instead If you need to search a name with French accents but do not have access to French keyboard settings you may enter plain text to obtain the same search results For example if you are searching for an individual associated with you firm with the last name Gu vremont you may enter Guevremont and the system will still be able to find that record gt Letter cases the system saves data as entered whether upper or lower case Therefore especially in the case of legal names you should enter data as precisely as you wish it to be reflected in the Permanent Record gt Case sensitivity user ID s passwords and search input are not case sensitive gt City names for locations When you are opening locations you should use a standard format for inputting the city name especially if you intend to have more than one location in any city The reason is that the system arranges location records for your firm by city and if there is more than one spelling format for a city e g Toronto toronto or a typo like
107. ation and the other is to view the information under Firm Information on the main navigator location information is available under Head Office as well as Other Locations These sections include current and historical information about your firm s Head Office branches and sub branches For Other Locations the screen displays the jurisdictions and then cities in the selected jurisdiction where there are active branches or sub branches Click a city to view its active locations NRD Filer Manual 108 PRIVACY STATEMENT HELP LOGOUT FIRM LIST FRAN AIS INDIVIDUAL SUBMISSION WORK IN SENT TO FIRM SEARCH I O FS INFORMATION FIRM SUBMISSION EEEE 25980 Test Firm 1234 Inc Registration Categories Province Territory Click on a province or territory to view other locations Ontario FIRM SUBMISSION INDIVIDUAL SUBMISSION SEARCH WORK IN PROGRESS SENT TO REGULATORS ADMIN TOOLS PRIVACY STATEMENT FIRM LIST HELP FRANCAIS LOGOUT INDIVIDUAL FIRM WORK IN SENT TO SUBMISSION SUBMISSION pi PROGRESS REGULATORS Dther Business Names 25980 Test Firm 1234 Inc Location Information Ontario eee Other Locations Annual Fee Summary Click on a city to view active locations Cites Burlington Ottawa Toronto FIRM SUBMISSION INDIVIDUAL SUBMISSION SEARCH WORK IN PROGRESS SENT TO REGULATORS ADMIN TOOLS Click the yellow Closed Locations butto
108. ation for registration in a province or territory of Canada The firm s Permanent Record contains the following information both historical and current gt Legal and other names used by your firm NRS election with Head Office if applicable gt gt Head Office and other business locations of your firm gt Categories of registration in which your firm is registered this includes registration status Vv Address and agent for service optional Vv Terms and conditions on your firm s registration if applicable and gt A summary of the annual registration and NRD user fees paid by your firm if applicable The Permanent Record also includes any regulatory actions taken against the firm This information can be viewed for each province and territory in which your firm is registered through the registration categories Individual information Permanent Record The Permanent Record contains information regarding each individual associated with your firm This information consists of all the information required to be submitted to regulators for an individual on Form 33 109F4 including any updates The individual s Permanent Record includes the following information the legal and other names used by the individual residential address personal information citizenship jurisdictions of registration and individual categories this includes registration status proficiency employment information
109. atives or both in any province territory state or country Yes O No J If Yes complete Schedule J Item 13 1 b Have you ever been denied the benefit of any exemption from registration provided in any securities or derivatives or o or rules in any province territory state or country other than what was disclosed in Item 8 3 of this Ys DO No O If Yes complete Schedule J Item 13 1 c Are you now or have you ever been subject to any disciplinary proceedings or any order resulting from disciplinary proceedings under any securities legislation or derivatives legislation or both in any province territory state or country Yes No O NRD User Guide 205 If Yes complete Schedule J Item 13 1 d SRO regulation Other than an approval that has been recorded under this NRD number are you now or have you ever been an approved person of an SRO or similar organization in any province territory state or country Yes O No O If Yes complete Schedule J Item13 2 a Have you ever been refused approved person status by an SRO or similar organization in any province territory state or country Yes O No O If Yes complete Schedule J Item 13 2 b Are you now or have you ever been subject to any disciplinary proceedings conducted by any SRO or similar organization in any province territory state or country Yes O No O If Yes complete Schedule J Item 13 2 c Non securities regulat
110. atory NRD User Guide 199 FORM 33 109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL FORM 33 109F4 REGISTRATION OF INDIVIDUALS AND REVIEW OF PERMITTED INDIVIDUALS section 2 2 GENERAL INSTRUCTIONS Complete and submit this form to the relevant regulator s or in Qu bec the securities regulatory authority or self regulatory organization SRO if an individual is seeking registration in individual categories or is seeking to be reviewed as a permitted individual You only need to complete and submit one of this form regardless of the number of categories you are seeking to be registered in Terms In this form you your and individual mean the individual who is seeking registration or the individual who is filing this form as a permitted individual under securities legislation or derivatives legislation or both Sponsoring firm means the registered firm where you will carry out your duties as a registered or permitted individual Derivatives means financial instruments such as futures contracts including exchange traded contracts futures options and swaps whose market price value or payment obligations are derived from or based on one or more underlying interests Derivatives can be in the form of instruments agreements or securities Major shareholder and shareholder mean a shareholder who in total directly or indirectly owns voting securities carrying 10 per cent or more of the votes
111. ave independent access to NRD other than through an AFR and that the NRD administrator is not required to provide the NRD account holder with access to NRD or any information pertaining to any AFR 4 9 The NRD account holder may dispute a PAD by providing a signed declaration to the Financial Institution under the following conditions i the PAD was not drawn in accordance with this NRD Form 3 ii this NRD Form 3 was revoked or cancelled or iii any pre notification required and not waived was not received by it or by any AFR The NRD account holder acknowledges that in order to obtain reimbursement from the Financial Institution for the amount of a disputed PAD the NRD account holder must sign a declaration to the effect that either i ii or iii above took place and present it to the Financial Institution up to and including but not later than ten 10 business days after the date on which the disputed PAD was posted to the NRD account The NRD account holder acknowledges that after this ten 10 business day period the NRD account holder shall resolve any dispute regarding a PAD solely with the Payee and that the Financial Institution shall have no liability to the NRD account holder respecting any such PAD 4 10 The NRD account holder certifies that all information provided with respect to the NRD account is accurate and the NRD account holder agrees to deliver an amended NRD Form 3 to the NRD administrator within five 5 business
112. be changed Enter that individual s NRD number and click Continue 3 The system displays the first screen of the notice a list of Current Employment records drawn from the Permanent Record Verify that you have retrieved the record of the correct individual Click Add Another to add a new record or click the Name of Business hyperlink of a current record you wish to change If you are adding new current employment do not type over the existing current employment entry You must select to Add Another FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN CLEEN SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Change Employment Current Employment 2419151 Karpodini Peter 33070 Dargan Cataliers Eee Item 10 11 Current Previous Employment Change _ Employment Information Click on a name of business or employment to edit the information RBT Investments 2009 08 01 Added Dargan Cataliers 2009 01 01 Add Another Continue gt gt 4 You can also use this notice to update or correct previous employment information Click Previous Employment in the local navigator to change previous employment information or to view Current employment records that you end dated in the course of this submission FIRM SEARCH WORK IN SENT TO FIRM ADMIN SEES SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Change Employment Current Employment 2419151 Karpodini Peter 33070 Dargan Cataliers Previous Employment Item 10 11 Current Prev
113. ble by your firm TIP This submission must be made for each jurisdiction where the individual is registered and where you wish to exclude her him from annual fees and it can only be made once per individual to each jurisdiction in a given year TIP You may include more than one individual in the submission as long as they are all in the same jurisdiction Individual submissions There are three categories of individual submission types that you can make using NRD on behalf of individuals associated with your firm They are gt Initial 46 NRD Filer Manual gt Amendment gt Notice a Initial Each of the following submission types allows you to complete and submit what in the paper world would be a Form 33 109F4 While the following descriptions of these submissions refer to registered individuals and to the registration of individuals these submissions are also to be used by or on behalf of permitted individuals i Initial Registration Use this submission type if you are applying for the registration of an individual through NRD for the first time ii Reinstatement of Registration Use this submission type if you are applying for registration of an individual 1 within 90 days of that person leaving her his last sponsoring firm or 2 you are re hiring within 90 days of that person leaving your employ and 3 in the same jurisdiction and the same category as that person s registration
114. bmissions pending and or disposed by a particular jurisdiction AFR you can summarize the state of submissions sent by a particular AFR for a firm Employment Location NRD Number If an AFR wants to see the status of submission for individuals at a specific location the location NRD number can be entered Include submissions that are not disposed checking this triggers the inclusion of submissions that have not yet been assigend a disposition by the regulators where the submission date is up to one year bedore the creation of the report After making your selections click Generate Report If the criteria is valid the system displays a message advising you that the report is being generated You may only generate a report for individuals associated with your firm This report available in the formats common to all NRD reports PDF Excel or CSV 90 Enter information to create a report showing the status of submissions Action Date From 2007 Submission Type All a Submission Status Jurisdiction All lt AFR Employment Location NRD No Report Format PDF o5 phie vyvyu DD To 2007 05 17 YYYY MM DD To select one or more submission types click on a submission type hold the CTL key to select more than one submission type To remove a submission type hold the CTL key and click on the submission type The same applies for the submission status Change or Surrender of I
115. cally revoked NRD Functions and Features Access Chief AFR AFR Admin AFR fener Firm Submission All have access Individual Submissions All have access Search All have access Work in Progress All have access ae Sent to Regulators All have access Firm Information All have access NRD Filer Manual 28 Individual NRD Functions and Features Access Chief AFR AFR Admin AFR Applicant Admin Tools Set Up Users 4 4 Admin Tools Maintain Users 4 4 Admin Tools Change Password 4 4 4 4 Admin Tools Reset Password 4 4 Admin Tools Revoke Access 4 4 Admin Tools Resubmit Fee Payment 4 4 Admin Tools Reports 4 4 Unless otherwise specified the term AFR is used in this manual to refer to all AFR types in general NRD Filer Manual 29 2 Requirements to appoint the chief AFR AFR administrators and AFRs Every firm is required to appoint a person to act as a chief AFR for the firm Every firm must have one person acting as a chief AFR at all times A firm is not required however to appoint one or more AFRs or AFR administrators The system provides firms with the ability to appoint AFRs and AFR administrators to allow firms to distribute the registration workload among several AFRs as desired There is no limit to the number of AFRs a firm has as long as there is always a chief AFR 3 No limit on th
116. carried by all outstanding voting securities Approved person means in respect of a member of the IIROC Member an individual who is a partner director officer employee or agent of a Member who is approved by the IIROC or another Canadian SRO to perform any function required under any IIROC or another Canadian SRO By law Regulation or Policy Several terms used in this form are defined in the securities legislation of your province or territory Please refer to those definitions How to submit this form NRD format Submit this form at the National Registration Database NRD website in NRD format at www nrd ca You are only required to submit one form regardless of the number of registration categories you are seeking If you have any questions contact the compliance registration or legal department of the sponsoring firm or a legal adviser or visit the NRD information website at www nrd info ca Format other than NRD format If you are relying on the temporary hardship exemption in section 5 1 of National Instrument 31 102 National Registration Database you may submit this form in a format other than NRD format If you need more space use a separate sheet of paper Clearly identify the Item and question number Complete and sign the form and send it to the relevant regulator s or in Qu bec the securities regulatory authority SRO s or similar authority The number of originally signed copies of the form you are required t
117. cations in a single submission provided these locations are all in the same jurisdiction Ensure that all information is correct or else the entire notice each location included in the notice might be subject to withdrawal by the regulator TIP When typing in the city name be sure to use the standard spelling The system treats locations with different spellings of cities as being located in different cities For example if your firm s AFRs are using inconsistent spellings for a city Sault Ste Marie Sault St Marie Sault Ste Marie or Toronto TO GTA the system recognizes these as three different cities TIP Obtain the individual NRD number of the branch manager s or supervisor s before starting this submission These individuals must be associated with your firm NRD User Guide 125 Open a New Location Type of Location Branch h NRD No 24561 Address Line 1 fi 222 Lakeshore Road West Address Line 2 cit applicable Suite 1800 City Toronto Province Territory Ontario Postal Code M5H 1K8 Country Canada Telephone No far 65558888 ext cif applicable Fax No ar 65558889 Same as Above Vv Address Line 1 Address Line 2 it applicable City Province Territory Ontario Postal Code Country Canada Add Another Save amp Continue gt gt Reset 4 To view a summary of the location s you are applying to open click Save amp Continu
118. ch NRD Filer Manual 9 individuals are required to provide registration information to regulators pursuant to each province s Rule 33 506 Commodity Futures Act Registration Information Rule 33 506 The National instruments and the provincial rules are collectively referred to in this manual as the registration instruments NRD Filer Manual 10 CHAPTER 2 OVERVIEW OF THE NATIONAL REGISTRATION DATABASE Chapter Outline This chapter describes the National Registration Database and tells you who can access and use NRD and what registration information you can find on NRD This chapter also tells you what registration information must be submitted using NRD and what information must continue to be filed and delivered in paper format The Permanent Record in NRD and NRD numbers are also explained in this chapter A The National Registration Database The National Registration Database NRD is an electronic database containing registration information for dealers advisers underwriters and individuals registered under securities or commodity futures legislation in Canada and also under IIROC by laws or who are otherwise required by such legislation to submit registration information to regulators NRD is also a system used by applicants and registrants to submit electronically certain applications notices and other registration information to regulators NRD contains registration information with respect to all Canadian
119. ch When filling out current employment with the sponsoring firm enter the Head Office address in the Address of business or employer This field was intended to capture the Head Office of the employer rather than an individual s working location The working location is to be recorded under Item 9 Employment Location NRD User Guide 174 21 NOTICE Resignations and Terminations Change l On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 12 Resignations and Termination Change from the list of notice types The system displays a search screen on which to identify the individual whose disclosure is to be changed Enter that individual s NRD number and click Continue 3 The system retrieves the current disclosure information corresponding to the NRD number entered Verify that you have retrieved the record of the correct individual See Item 12 in Form 33 109F4 for the full text of the resignations and terminations disclosure questions 4 To add new disclosure select the appropriate Yes radio button s Click on Save amp Continue Select the appropriate hyperlink s for each question answered Yes Provide the disclosure details To modify existing disclosure details do not change any of the existing answers Click on Save amp Continue Select the appropriate hyperlink and provide the additional details as well as an effective
120. click Save amp Continue NRD User Guide 167 2453781 Green Richard Item 8 Exemption Refusal Information Change 33070 Dargan Cataliers Schedule F Complete the following for each exemption that was refused Which securities regulator derivatives regulator or SRO refused to grant the exemption Ontario Securities Commission State the name of the course examination or experience requirement Canadian Securities Course State the reason given for not being granted the exemption Insufficient experience Date Exemption Refused 2009 109 101 YYYY MM DD Add Another Save amp Continue gt gt When you click Save amp Continue after making your last exemption refusal entry the system displays these entries listed by proficiency name To review edit or delete any item click its proficiency name When you are finished click Save amp Continue to return to the list of proficiencies you entered Item 8 Exemption Refusal Information Change _ Exemption Refusal Information Click on a proficiency requirement to edit the information Canadian Securities Course fa ot When you are ready click Continue The system verifies that you have entered all required data and guides you through the Complete Submission process NRD User Guide 168 19 NOTICE Employment Location Change 1 On the Main Navigator click the Individual Sub
121. conditional discharge from a criminal offence state below 1 the offence 2 the date found guilty and 3 the disposition any penalty or fine and the date any fine was paid Item 14 3 For each charge state below 1 the name of the firm 2 the type of charge 3 the date of the charge 4 any trial or appeal dates and 5 the court location Item 14 4 For each finding of guilty pleading no contest to or granting of an absolute or conditional discharge from a criminal offence state below 1 the name of the firm 2 the offence 3 the date of the conviction and 4 the disposition any penalty or fine and the date any fine was paid NRD User Guide 227 SCHEDULE L Civil disclosure Item 15 Item 15 1 For each outstanding civil proceeding state below 1 the dates the statement of claim and statement of defence were issued 2 the name of the plaintiff s in the proceeding 3 whether the proceeding is pending or on appeal 4 whether the proceeding was against a firm where you are or were a partner director officer or major shareholder and whether you have been named individually in the allegations and 5 the jurisdiction where the action is being pursued Item 15 2 For each civil proceeding state below 1 the dates the statement of claim and statement of defence were issued 2 each plaintiff in the proceeding 3 the jurisdiction where the action was pursued 4 whether the proceeding was about
122. cords The number of tools available depends on the AFR s role chief AFR AFR administrator or AFR You may access the NRD administrative tools by clicking Admin Tools on the main navigator Admin Tools vary according to AFR role Chief AFRs and AFR administrators have the following admin tools at their disposal gt VV VV V WV Set Up Users Maintain Users Change Password Reset Password Revoke Access Resubmit Fee Payment Reports The AFR has access to the following admin tools gt gt gt Change Password Resubmit Fee Payment Reports The individual applicant has access to the following admin tools gt Change Password Each of these functions is explained below A Set Up Users The Set Up Users function is used to appoint AFR administrators and AFRs for your firm In order to appoint a person to act as an AFR administrator or an AFR you must be the chief AFR or an AFR administrator for your firm Click Set Up Users on the Admin Tools local navigator The system displays the Set Up Users form NRD Filer Manual 66 WORK IN SENT TO FIRM ADMIN PROGRESS REGULATORS INFORMATION TOOLS FIRM INDIVIDUAL SUBMISSION SUBMISSION Set Up Users Maintain Users 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc Change Password Reset Password Set Up Users RevokeAccess Individual Information ewe User ID OR Last Name tT First Name CO Second Name it app
123. ctly related to a submission or annual fee renewal Continue gt gt Reset If you select Correct default EFT payment the system will display a full list of default payments if any to be made To complete this function you must confirm payment of all default payments at once you are not permitted to pay them individually Default payments are fees that should have been paid in connection with a submission or annual fee pull via the EFT function but were unsuccessfully withdrawn from the firm s NRD account NRD Filer Manual om Resubmit Fee Payment 200370947 Final Annual Fee Notice Rejected 481 50 Fee Summary Submission Total 481 50 Administrative Fee Amount 0 00 GST 7 0 00 Grand Total 481 50 The amount of 481 50 will be withdrawn from Bank Account 2010896013 via Electronic Fund Transfer If you select Resubmit additional funds directly related to a submission or annual fee renewal the system will present the following screen 21550 Soci t Gu vremont Inc Resubmit Fee Payment Payment Details Submission No 200467756 Fee Recipient Ontario Securities Commission z Submission Fee Amount 75 00 Reason for Payment Late filing fee Loma You may be required to use the Resubmit Fee Payment function to pay late filing fees related to termination submissions to the regulators The regulator will notify you of this requirement You mu
124. d but was never assigned a student number or cannot retrieve the student number gt Applicants must make best efforts to retrieve students numbers That is they should carefully check their own records contact the institution for help and if that fails contact the regulator gt Ifthe applicant took courses from ONLY ONE of the institutions listed and cannot retrieve the applicable student number they may click the checkbox indicating that a s he does not have a student number for that institution However if the applicant has taken courses from MORE THAN ONE institution listed and s he does have student numbers for at least one s he should enter the available student numbers in the appropriate fields For the institutions where the applicant took courses but could not retrieve a student number type Not Available 5 Make any changes or updates as appropriate and click Save amp Continue when you are ready 6 The system verifies that you have entered all required information and guides you through the Complete Submission process Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NRD User Guide 166 18 NOTICE Exemption Refusal Information Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 8 Exemption Refusal Information Change from the
125. date gt You may not change a Yes answer to a No if it was retrieved from the Permanent Record 5 When you are satisfied that you have provided all the necessary disclosure information click Save amp Continue The system verifies that you have entered all required data and guides you through the Complete Submission process NOTE The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NRD User Guide 175 22 NOTICE Regulatory Disclosure Change l On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 13 Regulatory Disclosure Change from the list of notice types The system displays a search screen on which to identify the individual whose regulatory disclosure is to be changed Enter that individual s NRD number and click Continue 3 The system retrieves the current regulatory disclosure information corresponding to the NRD number entered Verify that you have retrieved the record of the correct individual See Item 13 in Form 33 109F4 for the full text of the regulatory disclosure questions 4 To add new disclosure select the appropriate Yes radio button s Click on Save amp Continue Select the appropriate hyperlink s for each question answered Yes Provide the disclosure details To modify existing disclosure details do not change any of
126. days of a change to the contact information for the NRD account and at least ten 10 business days prior to the desired business date of a change to the NRD account information 4 11 Except where caused solely by the negligent actions of the NRD administrator the NRD account holder agrees to indemnify and hold the NRD administrator harmless from and against and reimburse the NRD administrator for all losses costs fees damages expenses liabilities claims suits and demands whatsoever that it may suffer incur or be under or that may be made or brought against the NRD administrator by whomsoever made or brought by reason of or in any way arising out of the action in drawing issuing instructing paying disputing and or reimbursing of any PAD on the NRD account issued in accordance with instructions by AFRs on behalf of the NRD account holder including without limitation any interest claims claims resulting from stop payments and declarations filed by the NRD account holder or any other person 4 12 The NRD account holder warrants and guarantees that it has the authority to electronically agree to commit to this NRD Form 3 by secure electronic signature and that its secure electronic signature conforms with the requirements of the Rules 4 13 The NRD account holder agrees to comply with the Rules or any other rules or regulations which may affect the services described herein as may be introduced in the future or are currently in effect and
127. dence and supporting materials filed or delivered to regulators in paper format that relate to that submission Communication with regulators outside NRD NRD allows you to submit certain applications notices and registration information to regulators electronically NRD does not replace other means of communicating or corresponding with regulators with respect to registration matters While you are encouraged to make use of this manual to instruct yourself and your staff on the practical use of the NRD website you should continue to contact appropriate staff of regulators by telephone fax or e mail in connection with registration matters relating to your firm or individuals associated with your firm e g deficiency or approval notification whether or not those matters relate to the use of NRD All correspondence from regulators to you and your firm including comment letters on application materials or submissions will continue to be sent by mail fax or e mail depending on local practice in each province and territory NRD Filer Manual 21 CHAPTER 3 ENROLLING YOUR FIRM TO USE NRD Chapter Outline This chapter tells you how to enrol your firm to use NRD by completing and delivering the required enrolment forms to CDS INC the NRD administrator A Introduction All firms are required to enrol to use NRD to submit applications and notices to regulators using NRD Enrolling your firm to use NRD is different from applying for
128. des a copy of Form 33 109F4 Registration Information for an Individual The submission illustrations make frequent references to this document Please refer to the Form especially in referencing the full text of disclosure questions This manual also includes NRD Forms 1 Enrolment of Firm Filer 2 Enrolment of Chief Authorized Firm Representative and 3 NRD Account Holder Authorization which are the required firm enrolment forms for NRD C How to get copies of this manual Copies of this manual in English or French may be downloaded from the NRD website at www nrd ca Click Help in the upper right of your screen once you have logged in to NRD D The registration instruments The use of NRD is governed by National Instrument 31 102 National Registration Database NI 31 102 The requirements and procedures for providing registration information to regulators are set forth in National Instrument 33 109 Registration Information NI 33 109 These instruments are collectively referred to in this manual as the National instruments Further details on the National instruments and NRD can be found in Companion Policy 31 102CP and Companion Policy 33 109CP Please note however that the use of NRD by individuals registered or seeking to be registered under commodity futures legislation in Ontario and Manitoba is governed by each province s Rule 31 509 Commodities Futures Act National Registration Database Rule 31 509 Further su
129. dictions Alberta British Columbia Manitoba New Brunswick Newfoundland and Labrador Northwest Territories Nova Scotia Nunavut Ontario Prince Edward Island Qu bec Saskatchewan Yukon NRD User Guide 202 Item 6 Individual categories 1 On Schedule C check each category for which you are seeking registration as an individual or review as a permitted individual If you are seeking review as a permitted individual check each category that describes your position with your sponsoring firm 2 If you are seeking registration as a representative of a mutual fund dealer or of a scholarship plan dealer in Qu bec are you covered by your sponsoring firm s professional liability insurance Yes O No O If No state The name of your insurer Your policy number Item 7 Address and agent for service 1 Address for service You must have one address for service in each province or territory where you are submitting this form A residential address or a business address is acceptable A post office box is not acceptable Complete Schedule D for each additional address for service you are providing Address for service number street city province or territory postal code Telephone number Fax number if applicable E mail address if available 2 Agent for service If you have appointed an agent for service provide the following information for the agent in each province or territory where you hav
130. ditions business locations and annual fee summary NRS election pay annual registration renewal fees Functions related to Individual information Using NRD you may perform the following individual functions on line gt gt gt VV VV VV WV apply for the registration of an individual submit information for permitted individuals apply for an exemption from proficiency or experience requirements applicable to registered or permitted individuals notify regulators of changes to an individual s information apply for the reinstatement of the registration of an individual apply for multiple employment of an individual with more than one firm notify regulators of a termination of an individual s employment surrender or change an individual s categories perform bulk annual fee exclusions search for and view information regarding the individuals associated with your firm Administrative Functions gt gt gt set up and maintain authorized firm representatives AFRs change or reset passwords generate reports on submissions submission fees registrants and AFRs stgo F Access to NRD The NRD website is a password protected website that is not currently accessible to the general public NRD may only be accessed and used by individuals who are authorized to do so by a firm These individuals include authorized firm representatives AFRs as well as individuals who have been granted authorization to use NRD for
131. dministrators may revoke access or reset passwords or change the legal name of a chief AFR These actions must be performed by the NRD administrator There is no functional difference between the Chief AFR and AFR administrators on the NRD site Both have access to all NRD functions The difference in these two roles is in their activities and responsibilities outside of NRD For example it is the chief AFR who is contacted by the NRD administrator on questions regarding payment of annual fees The chief AFR is the first point of contact between the firm and the NRD administrator and therefore has the highest responsibility among the AFRs of the firm An authorized firm representative or AFR has access to the system for the purposes of performing the basic functions of an authorized firm representative for a firm namely making submissions on behalf of the firm and individuals associated with the firm as well as searching for and viewing information on NRD AFRs can change their own password resubmit fee payments and generate all report types but they do not have access to the other admin tools An individual applicant may be assigned an i d and password by an AFR for the purposes of completing their own submission for initial registration The individual applicant only has access to their own submission in Work In Progress and can change their password When the individual completes the submission and sends it to the AFR their i d is automati
132. dy click Save amp Continue 5 The system verifies that you have entered all required data and guides you through the Complete Submission process Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NRD User Guide 155 TIP Individual Relocation to Another Province When an individual relocates to a province in which they are not yet registered and they are surrendering their categories in the current jurisdiction there are several submissions that must be filed to ensure that all regulators are advised of the change of residence The AFR will 1 Notify all affected Regulators outside of NRD via email that the individual is moving to another province and surrendering categories if applicable Note This notification must include the individual s new actual working location 2 Make a Registration in an additional jurisdiction submission to add a the new jurisdiction 3 File a Residential Address Change notice Once the Regulator has approved the new jurisdiction submission the AFR will 4 File the Change or Surrender of Individual categories submission to surrender the registration in the province that the individual has left Note If this notice is filed and approved prior to the Additional Jurisdiction submission the AFR will be prevented from filing that submission since the individual is no longer active 5 File an
133. e Click on a course or examination to edit the information Canadian Investment Finance Course Part 2009 08 31 No Added Canadian Securities Course 2000 06 30 No Canadian Investment Management ram Part 1 2004 04 30 No Canadian Investment Management Program Part 2 2006 01 31 No MBA International Finance 2008 09 15 No NRD User Guide 164 To edit any entries click the hyperlink for that entry and edit as appropriate NOTE Editing proficiencies copied from the Permanent Record The system allows you to make the following changes to previously disclosed proficiencies gt Date completed or Date exempted gt Exempt Not Exempt gt Remove a course disclosed in error This allows you to flag a course as removed but does not delete the course from the Permanent Record You are also required to provide a reason for the removal For example it could have been submitted in error or duplicate entries could have been made The system does not allow you to change the following for previously disclosed proficiencies gt The Name of the course exam To change the name of a course you must remove the incorrect entry and select Add Another to enter the correct information Undo a course Removal that was approved in the Permanent Record you can undo a removal done in the course of the submission You may delete any record added in the submission by opening that record checking the Delete box in the upper right corne
134. e The system will display the location s for which you have completed the form From the summary page you may add more locations by clicking Add Another or proceed to completing and sending the submission to regulators NRD User Guide 126 FIRM SUBMISSION Open location First Page INDIVIDUAL SUBMISSION WORK IN PROGRESS SENT TO FIRM REGULATORS INFORMATION ADMIN SEARCH TOOLS 21550 Soci t Gu vremont Inc Open a Location Click on a link to edit location information 268872 32 Bowrnan Ave 130711 Allen Barbie 268882 65A Garden Lane 1327491 Diane L vesque 268892 4 rue Rivi re 1327551 Gu vremont Jos e 5 When you are ready click Complete Submission on the local navigator The system will verify that all required information is entered and will guide you through the Complete Submission process If you prefer not to make the submission at this point you may click the Return to Task Menu button to perform other tasks The submission will be saved in your Work in Progress NRD User Guide 127 5 Location Address Information Change NOTE There is no notice on NRD to change Head Office or Address for Service information Contact your regulator for instructions on making changes outside the system 1 From the Main Navigation bar click Firm Submission button and select Location Address Information Change from the list of Firm Notices 2 The system displays a list
135. e S a e e e E E E E N aa TE e E OETA Communication with regulators outside NRD esseeseseereeseeresresrtsstsrrssrssresresresrensestrssesresreseeserses Ace MCE OGUCUIONY s2cesss0de ee sussstnsseaecome van oan ee cuade ooo asGon ea beteco a tea cotaan uate nso E e n Eet B When to enrol your firm to use NRD 00 eee cee ssecsseceseceseeeseeeeeeeeaeeeseecaeecaaecsaecaecsaeeeeeeneeeneeeegs How to enrol to use NRD ss 5 secede coon esas hnbecetia coke leven cadenva ceauds Sangedan Suna nndacon sed onve lens dasaneecahSe cdendanoeayes 1 NRD enrolment forms 2 Enrolment Fees 3 Confirmation of Enrolment to use NRD NRD User Guide CHAPTER 4 AUTHORIZED FIRM REPRESENTATIVES cecccceescecssceceseeeceseeeceeeeeceeeeeeseeeeenneeeesaes A Authorized firm representati veS 0 ccie cececseescececseveecbeneocesenevuberdeanecodessevassvereousdesnevensvestecodensoueees 27 1 Role of authorized firm representatives 27 2 Requirements to appoint the chief AFR AFR administrators and AFRs 30 3 No limit on the number of firms for which you can be an AFR 30 B Revoking an existing chief AFR and Appointing a new chief AFR eee ceeeceteceseeeeeeeeeeeees 30 CHAPTER 5 FEES COLLECTED THROUGH NRD scccsssustscepeeeatin cance desietanasavesteecizeeytuortadelenl danatewetnees A Payment of submission fees annual registration fe
136. e an agent for service The address of your agent for service must be the same as the address for service above If your agent for service is not an individual provide the name of your contact person Name of agent for service Contact person Last name First name Item 8 Proficiency 1 Course or examination information and other education Complete Schedule E to indicate each course and examination that is required for registration or approval and that you have successfully completed or have been exempted from O Check here if you are not required under securities legislation or derivatives legislation or both or the rules of an SRO to satisfy any course or examination requirements 2 Student numbers NRD User Guide 203 If you have a student number for a course that you successfully completed with one of the following organizations provide it below CSI Global Education formerly Canadian Securities Institute IFSE Institute formerly IFIC Institute of Canadian Bankers ICB CFA Institute formerly AIMR Advocis formerly CAIFA 3 Exemption refusal Has any securities regulator derivatives regulator or SRO refused to grant you an exemption from a course examination or experience requirement Yes O No O If Yes complete Schedule F Item 9 Location of employment 1 Provide the following information for your new sponsoring firm If you will be working out of more than one location
137. e and GST calculation and the grand total for the firm s annual fees NRD Filer Manual 114 Final Annual Fee Summary Submission No 200319981 Payment due December 31 2002 Click the View History button near the upper right of the screen to view preliminary and final fee summaries from previous years Click on Date Generated to view its information 2003 02 18 2002 Preliminary Annual Fee l Notice l 2003 02 17 2001 Final Annual Fee Notice 2003 02 13 2001 Preliminary Annual Fee Notice 2003 02 07 1999 Final Annual Fee Notice 2003 02 06 1999 Preliminary Annual Fee Notice NRD Filer Manual 115 GLOSSARY annual registration fees fees payable to regulators in provinces and territories other than Ontario in which a firm and its associated individuals are registered in order for the firm to maintain its registrations assigned the NRD term used to describe submissions that an AFR has access to on the system A submission will be assigned to an AFR if that AFR commences the preparation of that submission on NRD or if the chief AFR or an AFR administrator for that firm assigns that submission to the AFR associated the term used to describe an individual that is registered or applying for registration with your firm or that was otherwise required to submit registration information to regulators as a condition of your firm s registration authorized firm representative or
138. e individual s date and place of birth and personal description information Citizenship Item 4 of Form 33 109F4 Citizenship information and if the individual is not a Canadian citizen passport information Registration Jurisdictions Item 5 of Form 33 109F4 The provinces and territories in which the individual is or was previously registered with your firm Individual Categories Item 6 of Form 33 109F4 The categories in which the individual is registered in a particular province or territory and I ROC approval categories if applicable the effective date of registration and the registration status of the individual This includes categories of registration and categories for permitted individuals as well as the current and historical status of the individual in that jurisdiction An individual may currently or previously been registered with another sponsoring firm however you can only view registration information as it applies to your firm The existing statuses for individual are listed below gt Active gt Suspended Regulatory Action Individual gt This status applies to an individual when the regulator has suspended the individual gt Suspended Regulatory Action Firm gt This status applies to an individual when the regulator has suspended the individual s sponsoring firm gt Suspended Pending Employment Termination gt This status applies to an individual when the reinstatement of the individ
139. e input data into the required text fields D How to send a submission to regulators Once you are satisfied with the information that you have entered for a particular submission you may proceed to finalize the submission and send it to regulators 1 NRD Filer Manual Print Submission Page Before sending the submission to the Regulators you can print the submission Completeness check When you are working on a submission and you e Click Complete Submission on the local navigator or e Click Continue on the last page of the submission and start the Complete Submission process The system validates your submission and checks it for completeness If all the required information has been entered the system will display a message confirming that the submission is ready to be sent to regulators Any incomplete items prompt an error message in red text that describes what information is incomplete in the submission You can navigate directly to that section by clicking the corresponding tab on the local navigator Relating a submission to a deficiency If this submission was returned to you by the Regulators this answer is defaulted to yes and the submission number is pre populated and cannot be changed If the submission is related to a deficiency other than a submission returned for correction select Yes and enter the related submission number There are no submission fees payable for submissions that are related t
140. e main navigator Use the local navigator to view details of your firm s Permanent Record a Legal Name This section includes your firm s current legal name Previous legal names can be viewed by clicking the yellow View History button near the upper right of the screen PRIVACY STATEMENT FIRM LIST HELP LOGOUT FRAN AIS IRM INDIVIDUAL F WORK IN SENT TO SUBMISSION SUBMISSION FIRM SEARCH GI EOE INFORMATION Sheis Nane 25980 Test Firm 1234 Inc Head Office Registration Categories General Information __ VIEWHISTORY Address for Service To O Other Locations Legal Name Test Firm 1234 Inc Annual Fee Summary L Continue gt gt y FIRM SUBMISSION INDIVIDUAL SUBMISSION SEARCH WORK IN PROGRESS SENT TO REGULATORS ADMIN TOOLS NRD Filer Manual 110 b Other Business Names This section displays any business names other that your firm s Legal Name used by the firm Click View History to view previously used Other Business Names c Head Office This section displays any Compliance Officer Information along with the address and contact information for your firm s Head Office Click View History near the upper right of the screen to view previous Head Office information Head Office history is divided into two categories Compliance Officer History and Business Address history NOTE Head Office details for ROC firms will identify the Chief Compliance O
141. e number of firms for which you can be an AFR There is no limit on the number of firms for whom an AFR may act whether they act as chief AFRs AFR administrators or AFRs For instance lawyers paralegals or other professionals in private practice may act as AFRs for more than one firm However the AFR must play the same role i e chief AFR or AFR administrator or AFR across her his various firms if s he is using a single user ID If you are an AFR for more than one firm and are using a single user ID the system will present you with a Firm List whenever you log in to the system B Revoking an existing chief AFR and Appointing a new chief AFR A firm may revoke a person s appointment as a chief AFR and enrol a new chief AFR at any time by completing a new NRD Form 1 Enrolment of Firm Filer and identifying on NRD Form 1 and Form 2 that it is a Change to Previous Filing for the Appointment of a new chief AFR and NRD Forms 1 and 2 if required The change may be a result of staff changes The firm should include on the form s the name and particulars of the new person whose appointment as a chief AFR is being confirmed The firm should deliver the form s to the NRD administrator at the address set out above Only a firm may revoke a person s appointment as a chief AFR After the NRD administrator has received NRD Form 1 and NRD Form 2 if required and has set up the change in NRD the access to the system of the person whose appoin
142. e required to allow the chief AFR to access the NRD website The chief AFR will be asked to reset his or her password after accessing the NRD website for the first time It is the sole responsibility of the chief AFR to implement appropriate security precautions to ensure that the PIN selected below is kept strictly confidential fT TT tt Section 4 Acknowledgements of Chief AFR NRDo is the National Registration Database created to facilitate the filing of information pursuant to National Instrument 31 102 National Registration Database NRD and National Instrument 33 109 Registration Information and pursuant to Manitoba and Ontario Securities Commission Rules 31 509 Commodity Futures Act National Registration Database and 33 506 Commodity Futures Act Registration Information Further details on these instruments and NRD can be found in Companion Policy 31 102CP Companion Policy 33 109CP and the NRD Filer Manual NRD was also created to facilitate the electronic payment of fees using the NRD website The chief AFR confirms that he or she has accepted the appointment by the firm as the firm s chief AFR The chief AFR acknowledges that the payment of fees by electronic pre authorized debit on behalf of the appointing firm s from each firm s NRD account may be authorized by the chief AFR or by any other AFRs appointed on behalf of such firm In the event that any conduct of any of the AFRs or individual filers of a firm is harmful to the
143. e retrieved the record of the correct individual before making changes and updates WORK IN SENT TO ADMIN FIRM sey PROGRESS REGULATORS INFORMATION TOOLS FIRM INDIVIDUAL i0 Efe SUBMISSION Residential Address First Page 2453781 Green Richard 33070 Dargan Cataliers Item 2 Residential Address Change _ Current and Previous Addresses Click on an address to edit the information 1200 50th Avenue Yellowknife 555 555 2005 06 5555 60 Sparrow Lake Drive Yellowknife 555 555 1985 01 2005 06 1111 Add Another Continue gt gt 4 You can correct current and previous residential records and end date the current residential record and add a new address If you end date the current record you must add a new residential address with no To date If the individual has moved do not type over the current information You must end date the previous address and select Add Another TIP If the residential address and mailing address differ from each other record the residential address on line 1 and mailing address on line 2 eg for line 2 Mailing Address P O Box 247 If the city province and postal code are the same you are not required to repeat them in the address field New records are marked Added in the Added Changed column Items drawn from the Permanent Record Current and Previous residential records can be edited these will be marked as Changed When you are rea
144. eck the appropriate box es and click Continue The system permits you to send the submission to regulators but it is your responsibility to complete and send the appropriate notices to update your disclosure FIRM WORK IN SENT TO FIRM ADMIN Sii ii ile i SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS INITIAL Registration Jurisdictions Registration Categories Address for Service Transfer Individual ction Emon iio eara Current Employment Rained By checking the appropriate box indicate whether you have any new information to disclose for Term s the items listed below If your information is up to date select Not Applicable Confirm Permanent Record I Regulatory Disclosure I Criminal Disclosure I Civil Disclosure I Financial Disclosure I Related Securities Firms T Not Applicable 805951 Dion 20240 Kapuskasing Securities Inc Valeurs mobili res de Marianne Kapuskasing Inc If you have selected any box other than Not Applicable you will be required to update your information immediately upon sending this submission to regulators Not updating the information may result in a delay in the approval of this submission Continue gt gt Reset NRD User Guide 143 NOTE Filing Notices for Individuals registered with more than one firm If the individual is registered with two firms only one firm is required to file the notice of change through NRD Once one sponsoring firm has filed a notice the system
145. ed to perform the Set Up Users function TIP If you wish to revoke the access of an AFR who has outstanding submissions you must re assign the submissions to another AFR before revoking the access NRD Filer Manual 71 FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Set Up Users Maintain Users 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc C RevokeAccess Reset Password Name Stevenson Alec Bunsen an Role AFR Reports F Resubmit Fee Payment The Resubmit Fee Payment function is used to submit fees through NRD to correct a default payment or to remit additional funds that may be required in connection with a submission user fee or an annual registration of a firm or payment of late filing fees related to terminations Click Resubmit Fee Payment on the local navigator The system displays two types of fee resubmission Select either Correct default EFT payment or Resubmit additional funds directly related to a submission or annual fee renewal and click Continue FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Set Up Users Maintain Users 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc Change Password Reset Password Resubmit Fee Payment Revoke Access Correct default EFT payment C Resubmit additional funds dire
146. egory of registration am making this submission as agent for the individual identified in this form By checking this box certify that the individual provided me with all of the information on this form 2 Certification Format other than NRD format Individual By signing below certify to the regulator or in Qu bec the securities regulatory authority in each jurisdiction where am filing or submitting this form either directly or through the principal regulator that e have read this form and understand the questions and e all of the information provided on this form is true and complete Signature of individual Date Authorized partner or officer of the firm By signing below certify to the regulator or in Qu bec the securities regulatory authority in each jurisdiction where am submitting this form either directly or through the principal regulator for the individual that NRD User Guide 210 e the individual identified in this form will be engaged by the sponsoring firm as a registered individual or a permitted individual and e have or a branch manager or supervisor or another officer or partner has discussed the questions set out in this form with the individual and to the best of my knowledge the individual fully understands the questions Name of firm Name of authorized signing officer or partner Title of authorized signing officer or partner Signature of authorized signing officer or partn
147. either the upper left or upper right corner of your screen while an individual s NRD number will be displayed in the upper left corner of your screen WORK IN SENT TO FIRM ADMIN PROGRESS REGULATORS INFORMATION TOOLS FIRM SUBMISSION SEARCH 24631 brown joan 7610 CSAIDA Firm35 Complete Submission 20025400 Individual Name Change Confirmation The system generates the NRD number for an individual when you create an Initial Registration for that individual This NRD number is assigned to the individual even before you send the submission to regulators However one cannot search for an individual s NRD number until the initial submission is approved since there is no permanent record for that individual See Chapter 9 Searching for and Viewing Information on NRD When you perform searches and prepare certain submissions the system will require you to enter or give you the option of entering an individual NRD number in an input field provided on your screen You must indicate an individual s NRD number on all correspondence and supporting materials filed or delivered to regulators in paper format that relate to a submission for that individual NRD Filer Manual 20 Individual NRD numbers end in a 1 AFRs are not assigned NRD numbers by the system Rather AFRs are assigned user IDs as outlined in Chapter 4 Authorized Firm Representatives 2 NRD numbers for business locations other than He
148. elephone 867 920 8984 NRD User Guide Nunavut Legal Registries Division Department of Justice Government of Nunavut P O Box 1000 Station 570 Iqaluit NU XOA OHO Attention Deputy Registrar of Securities Telephone 867 975 6590 Ontario Ontario Securities Commission Suite 1903 Box 55 20 Queen Street West Toronto ON M5H 3S8 Attention FOI Coordinator Telephone 416 593 8314 Prince Edward Island Securities Registry Office of the Attorney General B Consumer Corporate and Insurance Services Division P O Box 2000 Charlottetown PE C1A 7N8 Attention Deputy Registrar of Securities Telephone 902 368 6288 Qu bec Autorit des march s financiers 800 square Victoria 22e tage C P 246 tour de la Bourse Montr al Qu bec H4Z 1G3 Attention Responsable de l acc s a l information Telephone 514 395 0337 or 877 525 0337 in Qu bec Saskatchewan Saskatchewan Financial Services Commission Suite 601 1919 Saskatchewan Drive Regina SK S4P 4H2 Attention Director Telephone 306 787 5842 Yukon Yukon Securities Office Department of Community Services P O Box 2703 C 6 Whitehorse YT Y1A 2C6 Attention Superintendent of Securities Telephone 867 667 5225 Self regulatory organization Investment Industry Regulatory Organization of Canada 121 King Street West Suite 1600 Toronto Ontario M5H 3T9 Attention Privacy Officer Telephone 416 364 6133 E mail PrivacyOfficer
149. ensess A NRD submissions and NRD submission types cecceeceseceeceeeeeeseeeseeeseecaaecaeceseceseeeeeeseeeneeeees 45 1 Firm submissions 45 2 Individual submissions 46 3 Single jurisdiction and multi jurisdiction submission types 50 B Who may make a SubMISSION asnos ioei aeee taare oeie beiee Te SES EI E rE Eer SREE EEE 51 1 AFRs 51 2 Individual Applicants 51 C How to prepare a submission enpeinnar e A E A oes E eee ieee 52 1 Data format tips 52 2 Firm submissions 53 3 Individual submissions 53 4 How to re assign a submission 54 5 Fields commands and other objects used to enter information for submissions 55 6 Work in progress WIP 58 7 Print Submission 59 NRD Filer Manual D How to send a submission to regulators cc eesceseceseceseceseceseeeeeeeseeesseecsaecsaecaecaecsaeeeeeeseeeeeeees 60 1 Print Submission Page 60 2 Completeness check 60 3 Relating a submission to a deficiency 60 4 Submission fee summary screen 61 5 Certification Page 61 6 Submissions made by firms and individuals associated with firms that are IIROC members 61 E Dealing with submissions after they have been sent to regulators eects eeeeceneceeeeeeeeeeeeeees 61 1 Sent to Regulators 61 2 Review of submissions by regulators 62 3 Approval and acknowledgement of submissions by regulators 63 4 Terms and conditions 63 5 Withdrawing submissions 64 6 Abandoned
150. enship Information Change Item 7 Address or Agent for Service Change Item 8 Proficiency Information Change Item 8 Exemption Refusal Information Change Item 9 Employment Location Change Item 10 11 Current Previous Employment Change Item 12 Resignations and Terminations Change Item 13 Regulatory Disclosure Change Item 14 Criminal Disclosure Change Item 15 Civil Disclosure Change Item 16 Financial Disclosure Change Item 17 Ownership of Securities and Derivatives Firms Change For all Individual Amendments and Notices the system will then present a search field to identify the individual for whom you are preparing a submission Enter the individual s NRD number and click Continue The system will validate the number and retrieve the corresponding individual s record as it pertains to the chosen submission type NRD User Guide 141 SENT TO REGULATORS FIRM INFORMATION ADMIN FIRM WORK IN SEARCH TOOLS INDIVIDUAL SUBMISSION PROGRESS 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc NRD No Continue gt gt You should always verify that you have retrieved the correct individual before proceeding with a submission After you enter the NRD number and click Continue the system posts a heading in large blue text that includes the individual s NRD number and legal name at the left along with the firm NRD
151. ent This Agreement was last updated on the date shown above Anything in the NRD website inconsistent with this Agreement is superseded by this Agreement 11 Modification to the NRD website The NRD administrator reserves the right to modify add change discontinue or suspend the NRD website or any services made available on or through the NRD website in whole or in part at any time without prior notice subject to the approval of the CSA in most instances 12 Miscellaneous The provisions of sections 5 6 and 7 shall survive termination of this Agreement No waiver or failure to enforce any of the terms of this Agreement shall be deemed or construed as a waiver or continuing waiver of such term or any other term of this Agreement If in any jurisdiction any of the terms or portions of terms in this Agreement are held to be invalid or unenforceable by a court of competent jurisdiction such term or portion of a term shall be severed restricted or eliminated to the minimum extent necessary and will be deemed superseded by a valid enforceable term or portion of a term that most closely matches the intent of the original provision and the remaining provisions in this Agreement shall otherwise remain in full force and effect It is the express wish of the parties that this Agreement and all related documents and NRD User Guide 189 correspondence to the firm have been or shall be drawn up in English C est la volont expresse des parties que la
152. eport Reset TIP Once you are satisfied with your criteria you may wish to print this screen by using the Print command on you browser s File menu The criteria will not be listed as such on your report At the bottom of this screen you may also select the report format PDF CSV or Excel The List Registrants report arranges data as follows gt Individual NRD Number Last Name First Name Second Name Employment Location NRD Number 83 gt Registration Information Jurisdiction Status Firm Registration Category Individual Category NRD Report Time Run 1 49 08 pm Date Run 5 6 2004 Firm Legal Name Soci t Gu vremont Inc Firm NRD Number 21550 Who Requested Report Lynne Lynnedebin Name of Report Individual Registrant Report Individual Detalls Registration Information NRD No Last Name First Name Second Name Employment Jurisdiction Status Firm Registration Individual Registration Category NRD No 820961 Judith Anne 260842 British Columbia Active Investment Counsel Compliance Officer Securities and Exchange Contracts 890961 International Adviser Officer Non Advising Non Resident Investment Counsel amp Portfolio Manager amp Commodity Trading Menager Non Resident 130711 260842 British Columbia Investment Counsel Partner Non Advising Securities and Exchange Contracts 130711 Ontario International Adviser Partner Advising Resident Investment Counsel amp Portfolio Manager
153. er Date signed YYYY MM DD NRD User Guide 211 SCHEDULE A Names Item 1 Item 1 2 Other personal names Name 1 Last name First name Second name N A Third name N A Provide the reasons for the use of this name for example marriage divorce court order commonly used name or nickname When did you use this name From To YYYY MM YYYY MM Name 2 Last name First name Second name N A Third name N A LJ Provide the reasons for the use of this name for example marriage divorce court order commonly used name or nickname When did you use this name From To YYYY MM YYYY MM Name 3 Last name First name Second name N A _ Third name N A Provide the reasons for the use of this name for example marriage divorce court order commonly used name or nickname When did you use this name From To YYYY MM YYYY MM Item 1 3 Use of other names Name 1 Name Provide the reasons for the use of this other name for example trade name or team name If this other name is or was used in connection with any sponsoring firm did the sponsoring firm approve the use of the name Yes O No O When did you use this name From To YYYY MM YYYY MM Name 2 NRD User Guide 212 Name Provide the reasons for the use of this other name for example trade name or team name If this other name is or was used in connection with any sponsoring firm did the sponsorin
154. ermas 15610 Conseillers en placements canadiens Inc Canadian Investment Counsellors Inc Complete Submission 2003280 Submit to Firm An Authorized Firm Representative that submits information on your behalf to a regulator acts as your agent It is an offence for you to submit information either directly or through your agent to a regulator that in a material respect and at the time and in the light of the circumstances in which it is submitted is misleading or untrue M By checking this box certify that understand the warning set out above To forward the submission to the firm click on Submit to Firm This will result in your access to the system being revoked To edit your submission click on Retum to Submission Return to Submission NRD User Guide 148 TATEMENT HELF You have successfully logged out of the NRD system Click here to go to the NRD homepage If the individual logs back in now and clicks the Individual Submission tab the system informs the user that the submission is under review by the firm The individual cannot access or edit the submission 1040871 Ethier Hermas 15610 Conseillers en placements canadiens Inc Canadian Investment Counsellors Inc Your submission is currently under review by the firm The submission can now be found in the Work in Progress list of the AFR who set up the individual FIRM INDIVIDUAL SEARCH SENT TO FIRM ADMIN SUBMISSION SU
155. es and annual NRD user fees eee 31 1 Submission Fees 31 2 Annual Registration Fees 32 3 Annual NRD User Fee 32 B EFT and the NRD accounts vero sects ieoi ii he tees doe decal e A dee i E E e E R 32 1 Payment status definitions 33 2 Submission fee status definitions 34 3 Process for rejected returned payments 34 C Calculation of submission fees by the system cece ceseceseceseceseeseeeeseecaaeceaecaecsaeenseeeseeeeeeeees 34 D Reconciliation TepOrts iee eternei states sh caaceebhetaveyea lated yl E EEE EE e e EEEak 34 1 Reconciliation Report by Submission 35 2 Reconciliation Report by EFT 35 Ej Requests for reruns sssini fovea at eal teat eee tess eee aces ieee eee 35 Bo Wate tiling teeseen e E EA AE EE ieee ETE Weeder eaten eee 35 CHAPTER 6 NAVIGATING THE NRD WEBSITE 0000 ccccccecceeeeeecceseccessceeenseccentececeteeccesseccenseneentescensees As Whe NRD website ongi erie enere oct aE dy coe niente deta tone EE toed ob late Leh AE E ek ee tees 36 1 NRD splash page 36 2 Logging in 36 B Navigating the NRD WebSite v c sie ose bce ceantbeieotiag oligos Sia bieive E i ais 38 1 Global navigator 39 2 Main navigator 41 3 Local navigator 43 4 Error Informational Warning messages 43 5 Using your Browser s navigation buttons 44 CHAPTER 7 MAKING NRD SUBMISSIONS cccccccesscessscsesestcessstaesssscesncesenascessacesesasessnacsesansessaes
156. eted in section 3 the Financial Institution and the NRD account holder authorizes the Financial Institution to honour and pay such PADs The agreements in this NRD Form 3 are provided for the benefit of the Payees their financial institutions and the Financial Institution and are provided in consideration of the Financial Institution agreeing to process debits against the NRD account in accordance with the rules of the Canadian Payments Association affecting the payment services provided in NRD the Rules The NRD account holder agrees that any direction provided on its behalf in the manner set out in this NRD Form 3 to draw a PAD and any PAD drawn in accordance with this NRD Form 3 shall be binding on it as if signed by or drawn by the NRD account holder 4 4 In order to revoke or cancel the continuing authorization provided in this NRD Form 3 the NRD account holder shall provide written notice of revocation or cancellation to the NRD administrator by personal delivery or fax to the NRD administrator as set out on page 1 and to the firm Any revocation or cancellation does not terminate or otherwise affect any other obligation or agreement between the NRD account holder the firm and or the Payees 4 5 The NRD account holder agrees that the Financial Institution is not required to verify that any PAD has been drawn in accordance with this NRD Form 3 including the amount frequency and fulfillment of any purpose of any PAD 4 6 The
157. eved from the Permanent Record as part of the submission has been opened by clicking the business name hyperlink and edited It is marked Changed Click on a name of business or employment to edit the information Acres amp Francois Lt e 2004 05 10 Added Soci t Gu vremont Inc 2000 01 01 Changed NRD Filer Manual 56 Added records can also be deleted from a submission See section e below Records drawn from the Permanent Record cannot be deleted only edited Once a submission is approved by regulators the changes and additions are reflected in the Permanent Record The Permanent Record does not display the Added Changed column e Delete checkbox The Delete checkbox function is used to delete an item of information added during the course of a submission This function is only available for information added during the submission not for information drawn from the Permanent Record In this example the AFR is preparing an Initial Registration and has input an Other Name for the individual After clicking Save amp Continue at the bottom of the Other Name input screen the system displays a summary list of Other Name entries If the AFR wishes to delete the Other Name entry they click the Other Name hyperlink and the system retrieves the data entered FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS iZan WS Sam gelu ule TOOLS INITIAL uz 808101
158. fficer as required under ITROC By laws PRIVACY STATEMENT FIRM LIST HELP FRANCAIS Kelereluis FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM SUBMISSION SUBMISSION PROGRESS seit Wyre St 38 INFORMATION Other Business Names 25980 Test Firm 1234 Inc Head Office Registration Categories Head Office Information __Mewnistory Address for Service Terms and Conditions _ Oraon _ Compliance Officer Information Aa ree Sey NRD No Last Name First Name Address Line 1 1234 Bay Street Address Line 22 if applicable City Toronto Province Territory State Ontario Postal Code P9L8M7 Country Canada Telephone No 416 555 1234 ext Fax No 416 555 5678 Same as Above 4 Location Website Address Coe A d Registration Categories This section displays your firm s registration categories by jurisdiction as well as the current and previous status of your firm in each of its jurisdictions If your firm is registered in Ontario information pertaining to Participation Fees will also be NRD Filer Manual 111 displayed in this section Participation fees are annual renewal fees paid to the Ontario Securities Commission based on your firm s revenue Contact the Ontario Securities Commission for details Click a province territory to view your firm s registration information in that jurisdiction This information includes current and historical status in the selected jurisdiction as well as regulatory
159. for summary conviction offences that have been stayed for six months or more e stayed charges for indictable offences that have been stayed for a year or more and e offences under the Young Offenders Act Canada or the Youth Criminal Justice Act Canada With respect to questions 14 2 and 14 4 you are not required to disclose an offence for which you or your firm was found guilty if you or the firm participated in the Alternative Measures Program more than three years ago for that offence Item 15 1 Are there any outstanding or stayed charges against you alleging a criminal offence that was committed in any province territory state or country Yes O No O If Yes complete Schedule K Item 14 1 Have you ever been found guilty pleaded no contest to or granted an absolute or conditional discharge from any criminal offence that was committed in any province territory state or country Yes O No O If Yes complete Schedule K Item 14 2 To the best of your knowledge are there any outstanding charges against any firm of which you were at the time the criminal offence was alleged to have taken place in any province territory state or country a partner director officer or major shareholder Yes O No O If Yes complete Schedule K Item 14 3 To the best of your knowledge has any firm when you were a partner officer director or major shareholder ever been found guilty pleaded no contest to or granted an
160. g firm approve the use of the name Yes No J When did you use this name From To YYYY MM YYYY MM Name 3 Name Provide the reasons for the use of this other name for example trade name or team name If this other name is or was used in connection with any sponsoring firm did the sponsoring firm approve the use of the name Yes O0 No O When did you use this name From To YYYY MM YYYY MM NRD User Guide 213 SCHEDULE B Residential address Item 2 Item 2 1 Current and previous residential addresses If you have lived at your current address for less than 10 years list all previous addresses for the past 10 years You do not have to include a postal code or ZIP code or a telephone number for any previous address Address 1 Residential address number street city province territory or state country When did you live at this address From To YYYY MM YYYY MM Address 2 Residential address number street city province territory or state country When did you live at this address From To YYYY MM YYYY MM Address 3 Residential address number street city province territory or state country When did you live at this address From To YYYY MM YYYY MM NRD User Guide 214 SCHEDULE C Individual Categories Item 6 Check each category for which you are seeking registration approval or review as a permitted individual Categories common to al
161. gulatory disclosure questions under the headings Securities regulatory authority Self regulatory organizations and Non securities regulation set out under item 13 of Form 33 109F4 Criminal Disclosure Item 14 of Form 33 109F4 The individual s answers to the criminal disclosure questions under the heading Criminal provincial and territorial offences set out under item 14 of Form 33 109F4 Civil Disclosure Item 15 of Form 33 109F4 The individual s answers to the civil disclosure questions under the heading Civil Disclosure set out under item 15 of Form 33 109F4 Financial Disclosure Item 16 of Form 33 109F4 The individual s answers to the financial disclosure questions under the headings Bankruptcy Debt Obligations Surety bond or fidelity bond and Garnishments unsatisfied judgements or directions to pay set out under item 16 of Form 33 109F4 Owership of Securities and Derivatives Firms Item 17 of Form 33 109F4 The individual s answers to the related securities firms disclosure questions under the heading Related securities firms and holdings set out under item 17 of Form 33 109F4 102 To view an individual s Permanent Record perform a search for the individual in question Select that individual from your search results by clicking her his last name The system retrieves the individual s Permanent Record The record is displayed in much the sa
162. h the locations the regulator will consider exempting the firms and individuals involved in the transaction from making filings through NRD and allow for a Bulk Transfer NRD Filer Manual 64 Bulk transfers involving firms that are registered in different categories or different jurisdictions may need to take additional steps Firms involved in such a transaction should contact the applicable regulators to discuss what steps are required to allow the firms to use the bulk transfer process described above H Temporary hardship exemption If unanticipated technical difficulties prevent you from making an NRD submission to regulators within the time required under applicable securities or commodity futures legislation you may file that submission in paper format in reliance on the temporary hardship exemption provided by the registration instruments If you file a submission in paper format in reliance on the temporary hardship exemption the registration instruments also require you to make the submission using NRD as soon as practicable and in any event within 10 business days of the unanticipated technical difficulties being resolved NRD Filer Manual 65 CHAPTER 8 ADMINISTRATIVE TOOLS Chapter Outline This chapter tells you how to use the administrative tools features of NRD to perform tasks such as changing passwords appointing AFR administrators and AFRs resubmitting fee payments and generating NRD reports for your re
163. hanging its legal name or NRD account it shall deliver an amended NRD Firm 1 to the NRD administrator as soon as practicable following a change to the information on the most recently submitted NRD Firm 1 NRD User Guide 184 The firm agrees that an executed copy of this form if delivered to the NRD administrator by fax shall have the same effect as an originally executed copy delivered to the NRD administrator The firm has caused this form to be signed by its duly authorized signatories on its behalf Name of firm Print name of Direct phone number Date signatory C dd mm yyyy Extension if Signature of authorized signatory applicable Print name of Direct phone number Date signatory dd mm yyyy Extension if Signature of authorized signatory applicable NRD User Guide 185 Article II Appendix A to NRD Form 1 Terms and Conditions of Use last amended January 21 2003 ACKNOWLEDGED on behalf of the Firm name of firm signature of authorized signatory signature of authorized signatory NRD is the National Registration Database created to facilitate the filing of information pursuant to National Instrument 31 102 National Registration Database NRD and National Instrument 33 109 Registration Information collectively the Instrument and pursuant to Manitoba and Ontario Securities Commission Rules 31 509 Commodity Futures Act National Registration Database and 33 506 Commodity F
164. his form you certify that you understand the rules of the applicable SROs of which you are seeking registration or approval or of which your sponsoring firm is a member or participating organization You also undertake to become conversant with the rules of any SROs of which you or your sponsoring firm becomes a member or participating organization You agree to be bound by observe and comply with these rules as they are from time to time amended or supplemented and you agree to keep yourself fully informed about them as they are amended and supplemented You submit to the jurisdiction of the SROs from whom you are seeking registration or approval or of which your sponsoring firm is now or in the future becomes a member or participating organization and wherever applicable their Governors Directors and Committees You agree that any registration or approval granted pursuant to this form may be revoked terminated or suspended at any time in accordance with the then applicable rules of the respective SROs In the event of any such revocation or termination you must terminate all activities which require registration or approval and thereafter not perform services that require registration or approval for any member of the SROs or any approved affiliated company or other affiliate of such member without obtaining the approval of or registration with the SROs in accordance with their rules By submitting this form you undertake to notify the SROs from w
165. ho are associated with more than one firm under the same user ID will first be presented with a Firm List These AFRs select a firm to work on and are then presented with the task menu The task menu NRD Filer Manual 38 displays a list of hyperlinks that correspond to the tabs on the main navigator Select a task from the list or directly from the main navigator PRIV ATEMENT FIRM LIST HELP FRANCAIS LOGOUT L FIRM INDIVIDUAL WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS 20240 Kapuskasing Securities Inc aleurs mobili res de Kapuskasing Inc Firm Submission Individual Submission Search Work In Progress Sent To Regulators Firm Information Admin Tools FIRM SUBMISSION NDIVIDUAL S MISSION SEARCH WORK IN PROGRES SENT TO REGULATORS FIRM INFORMATION ADMIN TOOLS 1 Global navigator PRIVACY STATEMENT FIRMA LIST HELP FRANCAIS LOGOUT The global navigator is a row of links in small text at the upper right corner of each screen Privacy Statement Help Francais English and Logout If you are an AFR for more than one firm Firm List will also appear as a choice in the global navigator a Privacy Statement Click this link to view a privacy statement regarding the collection and use of information on NRD b Firm List If you are an AFR using the same user ID for more than one firm the Firm List link appears on your global navigator Follow this l
166. hom you are seeking registration or approval or with which you are currently or may in the future be registered or approved of any material change to the information herein provided in accordance with their respective rules You agree to the transfer of this form without amendment to other SROs in the event that at some time in the future you seek registration or approval from such other SROs You certify that you have discussed the questions in this form together with this Agreement with an Officer or Branch Manager of your sponsoring member firm and to your knowledge and belief the authorized Officer or Branch Manager was satisfied that you fully understood the questions and the terms of this Agreement You further certify that your business activities that are subject to securities rules and derivatives rules or both will be limited strictly to those permitted by the category of your registration or approval Item 21 Warning It is an offence under securities legislation and or derivatives legislation including commodity futures legislation to give false or misleading information on this form Item 22 Certification 1 Certification NRD format confirm have discussed the questions in this form with an officer branch manager or supervisor of my sponsoring firm To the best of my knowledge the officer branch manager or supervisor was satisfied that fully understood the questions will limit my activities to those permitted by my cat
167. ia 9 Recall Report by Number Every report generated by NRD receives a report number You may recall any of your reports with the Recall Report by Number function on the Reports Menu up to seven days after it was first generated After this period the report is no longer available on the system Of course should your report expire before you have the chance to save it on your own system you can generate a new report using the same criteria However your purposes for the report may be date sensitive Therefore it is best to save the report on your own system as soon as it is generated If the report is large or if the system is extremely busy you may receive a message that provides a report number and advises you to retrieve the report later Record that number and use the Recall Report by Number function at a later time but before the 7 day period ends FIRM SUBMISSION INDIVIDUAL SUBMISSION WORK IN PROGRESS SENT TO FIRM SEARCH REGULATORS INFORMATION 8610 Soci t Universelle de Lynne ene ee OOO Reset Password Tania Acs Your report has been scheduled successfully but is not ready for retrieval Record our Report No 7243 and return later to retrieve your report Resubmit Fee Payment Reports FIRM SUBMISSION INDIVIDUAL SUBMISSION WORK IN PROGRESS SENT TO REGULATORS FIRM SEARCH INFORMATION 8610 Soci t Universelle de Lynne E
168. ia Securities Commission 00 Soci t Gu vremont on ne stem Soci t Gu vremont Inc Ontario Securities Commission EFT Information EFT Identifier Process Date e e oraaa 4 20 2004 NRD Revenue Soci t Gu vremont Ine Page 1 of 4 2 Reconciliation report by EFT electronic funds transfer A reconciliation report by EFT is a listing of electronic funds transfers from your firm s designated account that shows the amounts debited from that account over a period of time Like the reconciliation report by submission this report is a tool for reconciling your firm s designated account statements to NRD s fee payment records The only required criterion for this report is the process date range You may also use the following criteria to generate a report EFT identifier number EFT Status and the regulator to whom the EFT was made NRD Filer Manual 79 Enter information in either the EFT Identifier box or the Fram and To boxes below to create a report showing transactions in a bank account for each electronic funds transfer EFT ID OR SPT Process From fe YYYMwoD T vf ef OYYYMMDD AND EFT Status All X SRAYSRO All X Report Format PDF C Excel C Comma separated Values CSV The EFT report arranges data as follows Generate Report gt EFT Identifier Number Value Date Amount Status Record Type C
169. ient If you select Open this file from its current location the system will launch Excel if you selected Excel or CSV formats or Acrobat Reader if you selected PDF format You can now view and print the report To save it on your own system click File in the upper left corner of the new window and select Save as You may rename and store the file as appropriate You will notice that the system generates a report number that is included in the file name for the report NRD Filer Manual 76 batid gs Acrobat Reader 66498 1 pdf eid de HELP FR S LOGOUT Ctrl Shift S lour report Once you have Ts r T a e 0 e Se a a an il a S a E A 1 Reconciliation report by submission A reconciliation report by submission is a listing of submissions made by your firm that shows the submission fees paid and the status of those payments This report is a tool for reconciling your firm s NRD account statements to NRD s fee payment records You may generate a Report by Submission based on the following criteria submission type fee submission date and fee status NRD Filer Manual zF Please enter information in the From and To boxes below to create a report showing the status of fees paid for each submission The remaining fields are optional Fee Submission Eom n E YY Y Y MM DD Date Submission All Type Fee Status All X Report Format PDF Tt vf vf evyy
170. iiroc ca 232 NRD User Guide 233 NRD ENROLMENT AND USER FEES Article III Introduction The NRD administrator will charge firms a fee to enroll in NRD and user fees for some NRD submissions For the convenience of registrants and applicants for registration the fees required by the NRD administrator are set out below NRD enrolment and user fees cover the cost of developing and operating NRD NRD fees are subject to goods and services tax or GST CDS INC GST No 892971631RT and are in addition to the registration fees that are payable by registrants and applicants for registration to securities regulatory authorities and the Investment Industry Regulatory Organization a Enrolment fees To enrol to use NRD firms must pay a one time enrolment fee by cheque to the NRD administrator The cheque must be payable to CDS INC and must accompany the NRD enrolment forms and any documents filed in support of enrolment e g a void cheque articles of incorporation This enrolment package must be submitted to CDS INC Attention NRD administrator at 85 Richmond Street West Toronto ON M5H 2C9 The NRD enrolment forms are available in editable form at the website addresses www nrd info ca and www nrd ca Firms are charged a 500 GST enrolment fee b NRD user fees In addition to the initial enrolment fee firms will be charged NRD user fees annually and with specified NRD submissions These fees are paid through NRD by pre auth
171. ill be apparent when you view information about your firm or a particular individual associated with your firm Your screen will indicate the effective date of the terms and conditions and may also indicate the date on which the terms and conditions must be satisfied You may also view the details of the terms and conditions See Chapter 9 Searching for and viewing information on NRD for more details on viewing terms and conditions 63 5 Withdrawing submissions If you wish to withdraw a submission after it has been sent to regulators you may do so by contacting the applicable regulators in writing If this is a multi jurisdictional submission you must contact all applicable regulators immediately If a regulator agrees to and finalizes your withdrawal of a submission the status of your submission will be indicated as Withdrawn on the system To view information on a withdrawn submission use the Search function to search that submission Having retrieved the submission details click Submission History then on the status of the submission in this case Withdrawn You will be able to view the details of the withdrawal as input by the regulator who dealt with the submission in question If you have not yet sent a submission to regulators and you wish to remove delete the submission from NRD you may delete the submission from your Work in Progress list 6 Abandoned submissions If you have not responded
172. ink to view your firm list This feature enables you to work on your various firms in one session without logging out of the system AFRs that are associated with more than one firm are presented with their firm list whenever they login However you may only work with one firm at a time NRD Filer Manual 39 STATEMENT HELP FRAN AIS LOGOUT Firm List 21550 Soci t Gu vremont Inc Active 22260 Everest Investments Ltd Work in progress 22280 Acres amp Fran ois Lt e Active 22340 Placements Gu vremont amp Suspended Regulatory Action Stevenson Lt e c Help Clicking Help launches a new browser window your current NRD session is not interrupted The system displays a page of frequently asked questions and hyperlinks to other help tools and help contacts This page also includes a hyperlink to this manual j PRIVACY STATEMENT HELP FRAN AIS LOGOUT E Z Welcome AFR Microsoft Internet Explorer Mimle File Edt View Favorites Tools Help Firm List Bak gt 2 A ASearch GyFavoites Hristoy Gy SO E Address ja https sedt210 cds ca nrd userquide english welcome_pages aft_quide_en htm z Go 21550 Y National Registration Database Help for Authorized Firm Representatives Frequently Asked Questions User Guide Forms Contacts The National Registration Database NRD is an electronic database containing registration information for deale
173. ion State the name of the course examination or experience requirement State the reason given for not being granted the exemption Date exemption refused YYYY MM DD NRD User Guide 221 SCHEDULE G Current employment other business activities officer positions held and directorships Item 10 Complete a separate Schedule G for each of your current business and employment activities with your sponsoring firm and with all other organizations This includes any business related officer or director positions held or any other equivalent positions held whether you receive compensation or not 1 Start date YYYY MM DD 2 Firm information LI Check here if this activity is employment with your sponsoring firm If the activity is with your sponsoring firm you are not required to indicate the firm name and address information below Name of business or employer Address of business or employer number street city province territory or state country Name and title of your immediate supervisor 3 Description of duties Describe all employment and business activities related to this employer Include the nature of the business and your duties title or relationship with the business If you are seeking registration that requires specific experience include details with this firm such as level of responsibility value of accounts under direct supervision number of years of experience and percentage of ti
174. ion Are you now or have you ever been registered or licensed under any legislation which requires registration or licensing to deal with the public in any capacity other than to trade in or advise on securities or derivatives or both in any province territory state or country e g insurance real estate accountant lawyer teacher Yes O No O If Yes complete Schedule J Item 13 3 a Have you ever been refused registration or a licence under any legislation relating to your professional activities unrelated to securities or derivatives in any province territory state or country Yes O No O If Yes complete Schedule J Item 13 3 b Are you now or have you ever been a subject of any disciplinary actions conducted under any legislation relating to your professional activities unrelated to securities or derivatives in any province territory state or country Yes No O If Yes complete Schedule J Item 13 3 c Item 14 Criminal disclosure Offences you must disclose You must disclose all criminal offences committed in any province territory state or country This includes but is not limited to criminal offences under federal statutes such as the Criminal Code Canada Income Tax Act Canada the Competition Act Canada Immigration Act Canada and the Controlled Drugs and Substances Act Canada or its predecessor the Narcotic Control Act Canada This includes pleas or findings of guilt for impaired
175. ious Employment Change Click on a name of business or employment to view the information Cortol Technologies 2005 04 2008 12 Changed Unemployed 2004 03 2005 03 Full time student 1999 01 2004 02 Add Another Continue gt gt NRD User Guide 172 NOTE An individual registrant who is a President CEO or Managing Partner may disclose that they report to the Board of Directors Under Name and Title of Immediate Supervisor type the following gt Last Name N A gt First Name N A Title of Immediate Supervisor governing body EG Board of Directors partnership 5 Changes made in the notice are recorded in the Added Changed column of the Current and Previous employment information lists as follows gt Added signifies a new record added during the preparation of the notice Whether a new item is entered and saved once or edited any number of times while the AFR prepares the notice this new item always shows as Added never Changed Added items can be deleted from the submission gt Changed signifies an item drawn from the Permanent Record has been edited in some way end dated corrected or updated in any field End dated Current items that were drawn from the Permanent Record are moved to the Previous list and are flagged as Changed Changed items and any items drawn from the Permanent Record cannot be deleted 6 When you are ready click Contin
176. isfied judgments or directions to pay For each garnishment unsatisfied judgment or direction to pay regarding your indebtedness indicate below 1 the amount that was owing at the time the garnishment judgment or direction to pay was rendered 2 the person or firm to whom the amount is or was owing 3 any relevant dates for example when payments are due or when final payment was made 4 the percentage of earnings to be garnished or the amount to be paid 5 any amounts currently owing and 6 any other information that you think is relevant or that the regulator or in Qu bec the securities regulatory authority may request NRD User Guide 229 SCHEDULE N Ownership of securities and derivatives firms Item 17 Firm name What is your relationship to the firm Partner O Major shareholder What is the period of this relationship From To if applicable YYYY MM YYYY MM Provide the following information a h State the number value class and percentage of securities or the amount of partnership interest you own or propose to acquire when you are registered or approved as a result of the review of this form If acquiring shares when you are so approved or registered state the source for example treasury shares or if upon transfer state name of transferor State the market value approximate if necessary of any subordinated debentures or bonds of the firm to be held by you or any other subordinated
177. isplayed as forms presented on a screen or a series of screens that the AFR completes in a standard form for a particular purpose It includes initials amendments notices and firm submissions submit the term for delivering or filing a submission to regulators electronically using NRD To avoid awkward phrasing e g to submit submissions this manual also uses alternate phrasing depending on the context e g to make a submission to send a submission to regulators user ID a unique combination of numbers and letters that is generated by NRD for each AFR using the system A user ID identifies an AFR on the system work in progress a submission that has been prepared to some extent in NRD that has not yet been sent to regulators NRD User Guide 120 SUBMISSION ILLUSTRATIONS Firm Submissions Preliminary Screens for Firm Submissions Open a Location Location Address Information Change Close a Location Location Supervisor Change Annual Fee Exclusion Reversal Location Status Change Individual Submissions Preliminary Screens for Individual Submissions How to set up an individual to complete an Initial submission Individual Submissions Initial Initial Registration Reinstatement of Registration Registration with an Additional Sponsoring Firm Registration in an Additional Jurisdiction Reactivation of Registration Submission for Individuals included in Data Transfer Individual Submissions Amendmen
178. issions As described in Chapter 2 Overview of the National Registration Database the registration instruments require that certain registration information be submitted to regulators electronically using NRD This information must be prepared and submitted using the appropriate submission types found on the system An NRD submission type is the NRD term for a screen or a series of screens on NRD by which you enter registration related information in a standard form for a particular purpose The purpose of some of these submission types such as Form 33 109F4 is to apply for the registration of an individual with one or more regulators The purpose of other individual submission types is to provide notice to regulators of changes to registration information for an individual Throughout this manual NRD submission types are often referred to simply as submission types The specific submission types that may be created and submitted on behalf of firms and individuals using NRD are described below The submission illustrations in this manual provide you with instructions screen illustrations and tips on completing each submission type 1 Firm submissions There are six firm submission types that you can make using NRD a Open a Location This submission type allows your firm to open a business location in a jurisdiction in which your firm is registered or is applying for registration This submission type requires you to provide address and
179. ists submissions according to your criteria made by your firm over a specified period that shows the fee amounts paid in respect of submissions and the status of those payments 2 Reconciliation Report by EFT This report lists electronic authorized debits from your NRD account according to your criteria showing amounts debited and credited over a specified period See Reports in Chapter 8 Administrative Tools for more information on generating reconciliation reports E Requests for refunds NRD automatically debits your firm s NRD account for the purposes of paying submission fees annual registration fees and NRD user fees Once a submission has been sent the EFT process cannot be reversed Any corrections to the fees payable by your firm will be dealt with by way of manual refunds made outside the system Contact your regulator for more information F Late filing fees NRD does not calculate late filing fees If your firm owes late filing fees to a regulator the regulator will communicate the late charge to the AFR outside the system i e by telephone or email as specified in the AFR s user profile when s he was set up on the system The regulator communicating late filing fees to an AFR will provide you with the following information and instruct you to use the Resubmit fee payment function on NRD gt Reason for the late fee gt Applicable NRD submission number gt Amount due to late filing gt Due date for sub
180. ith a description of NRD how to access NRD and set up other users how to navigate the system and finally how to make submissions perform administrative tasks and manage your firm s information on NRD Screen shots The manual is enhanced by images taken from the NRD website www nrd ca These screen shots help to illustrate the various functions available on the system You will notice that many images are close ups of the relevant portions of screens and do not always display the full screen as it appears when you are on the system NOTE The firms individuals NRD numbers and other data displayed in the screen shots were created solely for instructional use in this manual Correlation to real data on NRD is coincidental Image resolution when viewing the manual in Acrobat Reader you may find that some screen shots display with some blurring or distortion A zoom level of about 125 provides good resolution of most screen images displays the body of text at a comfortable size for reading and is small enough to fit the full page width and the navigation window on your screen You may wish to print the manual as well Terminology This manual uses many terms that are unique to NRD Refer to the glossary for definitions The following is a brief description of each chapter of the manual NRD User Guide Chapter 1 About this Manual This chapter provides an outline of the contents of this manual and describes the registration
181. itution account of that entity for the purposes of electronic pre authorized debits This form must be completed and signed by the payer who will be paying fees for your firm by electronic pre authorized debit Enrolment Fees The NRD enrolment fee of 500 GST is payable by paper cheque to the order of CDS INC This cheque must be payable in Canadian funds Please submit this cheque along with the NRD enrolment forms The NRD enrolment fee of 500 GST is payable by paper cheque to the order of CDS INC This cheque must be payable in Canadian funds Please submit this cheque along with the NRD enrolment forms Confirmation of Enrolment to use NRD a Confirmation of set up by NRD administrator After your firm delivers the NRD enrolment forms other required documents and fee to the NRD administrator the NRD administrator will set up your firm on the system Set up is performed by the NRD administrator on the basis of the contents of the enrolment forms delivered by your firm No record of information about your firm will exist on NRD until the NRD administrator has set up your firm on the system After the NRD administrator has set up your firm the chief AFR for your firm will receive a confirmation from the NRD administrator by fax or e mail that confirms that your firm has been set up on the system This confirmation will set out the name and NRD number of your firm as well as the name telephone number fax number and e mai
182. ividual Registration format for all application Form 33 109F3 materials for registrations Location Information Firm corresponds with regulators re comments AFRs make additional submissions if required Once the firm has satisfied the registration requirements the registration is reflected on NRD and the firm s registration status is Active NRD Filer Manual 26 CHAPTER 4 AUTHORIZED FIRM REPRESENTATIVES Chapter Outline This chapter describes the role of an authorized firm representative and describes the three types of authorized firm representative the AFR the chief AFR and the AFR administrator This chapter describes how a chief AFR is appointed and introduces the concepts of user IDs passwords and PINs that are required in order to use the system A Authorized firm representatives 1 NRD User Guide Role of authorized firm representatives An authorized firm representative or AFR is a person who is authorized by a firm to access information and make NRD submissions to regulators in respect of that firm and individuals associated with that firm Only authorized firm representatives and in limited circumstances which are described in Chapter 7 Making NRD Submissions individual applicants may access and use NRD You may not access information on NRD regarding other firms or individuals associated with those firms nor may you make submissions on their behalf unless you are an AFR for tho
183. ividual is registered or applying for registration These include all individual submission types in the Notice category except for the submission type described in Section 2 b v Change Address and Agent for Service As all of these submission types are notices of change to an individual s single NRD Permanent Record it is appropriate that they be submitted to regulators in each jurisdiction in which the individual is registered although only the lead jurisdiction approves denies withdraws the submission The non lead jurisdictions simply acknowledge the submission B Who may make a submission 1 NRD Filer Manual AFRs Any AFR can complete any submission type However unless you are the chief AFR or an AFR administrator for your firm you may only complete submissions that you create or are assigned to you Chief AFRs and AFR Administrators may reassign submissions to themselves or to other AFRs including individual applicants Individual Applicants An individual who is not an AFR is permitted to complete the information for certain Initial submission types if s he is granted authorization to do so by an AFR for her his firm The submission types allowed are Initial Registration Reactivation of Registration and Submission for Individuals included in Data Transfer See How to Set up and individual to 51 complete an Initial submission for details on granting authorization to individuals for this purpose While an i
184. jurisdictions The database and the system used to submit electronic registration information are accessed using the NRD website located at www nrd ca In this manual the terms National Registration Database NRD and the system are used interchangeably to refer to both the database containing registration information and the system used to submit electronically registration information described above 39 66 39 66 29 66 This manual refers often to firms individuals registered individuals permitted individuals and regulators See the glossary for their definitions B Hardware and software required to use NRD You do not require any specialized software or equipment in order to use NRD All you require is a computer with an Internet connection and an Internet browser as specified below In order to effectively use NRD it is recommended that your hardware operating system and software meet or exceed the following specifications gt personal computer with a 133 MHz Pentium processor and 32 MB of RAM gt Internet connection and Hayes compatible modem with a minimum speed of 56 000 bps gt Adobe Acrobat reader 4 x for generating reports and viewing this Help Manual online gt The tested and supported Internet browser software for using NRD are gt Internet Explorer 5 5 and 6 0 Netscape 4 7 and 6 2 gt The tested and supported operating system for using NRD are gt Windows 95 2000 and NT 4 NRD U
185. l Commodity Trading Manager Futures Commission Merchant Individual categories and permitted activities Advising Representative Salesperson Branch Manager Officer Specify title Director Partner Shareholder IIROC approval only Manitoba Firm categories Dealer Merchant Dealer Futures Commission Merchant Dealer Floor Broker NRD User Guide 216 Adviser Local Individual categories and permitted activities Floor Trader Salesperson Branch Manager Adviser Officer Specify title Director Partner Futures Contracts Portfolio Manager Associate Futures Contracts Portfolio Manager ROC approval only Local Qu bec activities relating to derivatives For information purposes indicate whether you will carry on activities as a representative of An Investment Dealer Acting as a Derivatives Dealer A Portfolio Manager Acting as a Derivatives Portfolio Manager NRD User Guide 217 NRD User Guide 218 SCHEDULE D Address and agent for service Item 7 Item 7 1 Address for service You must have one address for service in each province or territory in which you are now or are seeking to become a registered individual or permitted individual A post office box is not an acceptable address for service Address for service number street city province or territory postal code
186. l Regulator and copies to non Principal Regulator s Supporting documents including Form 31 101F1 if choosing NRS Application material for membership in Investment Industry Regulatory Organization of Canada or Mutual Funds Dealers Association of Canada as Appoint a chief authorized firm representative Designate an account at a financial institution for payment of fees in NRD by pre authorized debit Complete and submit to NRD administrator the following forms Enrolment of Firm Filer Enrolment of Chief Authorized Representative NRD Account Holder Authorization Include a void cheque for NRD Account Articles of incorporation or any other document issued by a governmental office confirming the legal name of the firm Enrolment fees Receive confirmation of set up enrolment from NRD administrator This confirmation includes system access information for your chief AFR unless the chief AFR already has access to NRD due to an association with another firm AFR NRD Format AFR Paper Format Chief AFR may appoint AFRs File firm application materials T to begin creating submissions in paper format with regulators Review application in each jurisdiction where materials received registration is sought from firm and its AFRs Establish firm When regulator has registration categories established firm s registration categories AFRs prepare and send to regulators Form 33 109F4 Return comments in paper Ind
187. l address of your firm s chief AFR This confirmation should be checked for accuracy by the chief AFR for your firm If the chief AFR is being enrolled as a chief AFR for the first time or is not acting as a chief AFR for another firm at the time of being enrolled the confirmation will also contain the user ID and initial password of the chief AFR The chief AFR s PIN will not be referred to in the confirmation received by the chief AFR Once the chief AFR has received confirmation that your firm has been set up on the system your firm s chief AFR will be able to access NRD 24 NRD Filer Manual b Establishing categories After your firm has been set up on the system by the NRD administrator the regulators will review your firm s application materials and confirm the registration categories in which your firm is seeking registration Regulators input your firm s registration categories on NRD While your firm is awaiting notification from regulators that applicable regulators have reviewed your firm s application materials AFRs may commence the process of making required NRD submissions to regulators See Chapter 7 Making NRD Submissions 25 Flow of Actions for a Firm Applying for Registration as a Dealer Adviser or Underwriter Prepare firm application materials in paper format including Applications on Form 3 for all jurisdictions in which registration is sought If choosing NRS Form 3 to Principa
188. l in your WIP retrieve it directly from your Work in Progress list and not from the Search function NRD Filer Manual 105 FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS INITIAL 808321 Ethier 20240 Kapuskasing Securities Inc Valeurs mobili res de ResidentitAddess Ademar Kapuskasing Inc Personal Information peesantees Seieh beers ES Item 1 Name Citizenship Topoon Ae Registration Categories Last Name Ethier Address for Service First Name Adelmar Proficiency Location of Employment Current Employment Previous Employment Are you currently or have you previously been known by a name other than the name Resignations and mentioned above Terminations Yes Regulatory Disclosure Criminal Disclosure Civil Disclosure Financial Disclosure Related Securities Firms Second Name cif applicable Third Name cif applicable Continue gt gt FIRM SUBMISSION INDIVIDUAL SUBMISSION WORKIN PROGRESS FIRM INFORMATION ADMIN TOOLS SENT TO REGULATORS At the bottom of the local navigator is a yellow tab labelled Submission History This feature shows the record of the submission s creation submission and disposition It lists by whom when and to what regulator s the submission is sent and its current status in any pertinent jurisdiction If the submission is still Work in Progress these details will be i
189. l jurisdictions under securities legislation Firm categories Format other than NRD format only Investment Dealer Mutual Fund Dealer Scholarship Plan Dealer Exempt Market Dealer Restricted Dealer Portfolio Manager Restricted Portfolio Manager Investment Fund Manager Individual categories and permitted activities Dealing Representative Advising Representative Associate Advising Representative Ultimate Designated Person Chief Compliance Officer Officer Specify title Director Partner Shareholder Branch Manager MFDA members only IIROC approval only Investment Industry Regulatory Organization of Canada Approval categories Executive Director Industry Director Non Industry Supervisor Investor Registered Representative Investment Representative Trader Additional approval categories Chief Compliance Officer NRD User Guide 215 Chief Financial Officer Ultimate Designated Person Products Non Trading Securities Options Futures Contracts and Futures Contract Options Mutual Funds only Customer type Retail Institutional Not Applicable Portfolio management Portfolio Management Categories under local commodity futures and derivatives legislation Ontario Firm categories Commodity Trading Adviser Commodity Trading Counse
190. l registrants within a firm press Continue gt gt For individual registrants in a specific location or jurisdiction please enter either an Employment Location NRD No or a Jurisdiction Employment Location NRD No Jurisdiction All X Continue gt gt Reset NRD Filer Manual In the second stage you may specify the following criteria gt Registration status of individuals the system will only display the statuses that exist among the registrants in your firm according to the employment location or jurisdiction you selected on the previous screen gt Firm registration categories gt Individual categories gt Report format If you wish to list all the registrants that fall under the criteria you selected on the first screen check the Al status checkbox and check the Al categories checkbox If these two are checked no matter what specific selections you make further down the screen the system will generate a report on all registrants The system sorts your criteria from top to bottom If you wish to be more specific do not check the All box Find the specific categories for which you wish to retrieve data Firm categories are in bold text and the individual categories that fall under the firm category are indented and in regular text 82 NRD Filer Manual If you select a firm category AND an individual category within that firm category the system will ignore your i
191. licable FO Third Name cif applicable O Telephone No ext if applicable Fax No if applicable Po E Mail Address cit applicable DSS ER Role SelectOne J Save amp Continue gt gt Reset SEARCH There are two ways to complete this form Option 1 If the AFR you are setting up with your firm is currently playing the same AFR role with another firm AFR or AFR administrator you may wish to use her his original ID information for your own firm If this is the case type the AFR s user ID in the first field and click Save amp Continue Sold The system will verify that the user ID entered is valid and current and will retrieve that AFR s name and contact information Click Printable Page at the bottom of the screen to confirm this AFR If you do not click Printable Page the AFR will not be set up with your firm If you find that this is not the correct AFR record click Cancel to re enter the AFR user ID When you complete this user set up the AFR s original user ID and password are not altered Therefore no new password is generated on the confirmation page Option 2 If you wish to set up an AFR that is new to the system and to your firm enter the name and contact information of the individual in the appropriate fields Select AFR or AFR Administrator from the Role drop down list NRD Filer Manual 67 SUBMISSION SUBMISSION Maintain Users 20240 Kapuskasing Securities Inc f
192. loan to be made by you to the firm If another person or firm has provided you with funds to invest in the firm provide the name of the person or firm and state the relationship between you and that person or firm Are the funds to be invested or proposed to be invested guaranteed directly or indirectly by any person or firm Yes O No O If Yes provide the name of the person or firm and state the relationship between you and that person or firm Have you directly or indirectly given up any rights relating to these securities or this partnership interest or do you when you are registered or approved as a result of the review of this form intend to give up any of these rights including by hypothecation pledging or depositing as collateral the securities or partnership interest with any firm or person Yes No O If Yes provide the name of the person or firm state the relationship between you and that person or firm and describe the rights that have been or will be given up Is a person other than you the beneficial owner of the shares bonds debentures partnership units or notes held by you Yes No O If Yes complete g h and i Name of beneficial owner Last name First name Second name Third name if applicable if applicable Residential address NRD User Guide 230 number street city province territory or state country postal code i Occupation NRD User Guide 231
193. m 16 1 b Been subject to proceedings under any legislation relating to the winding up or dissolution of the firm or under the Companies Creditors Arrangement Act Canada Yes O No O If Yes complete Schedule M Item 16 1 c Been subject to or initiated any proceedings arrangement or compromise with creditors This includes having a receiver receiver manager administrator or trustee appointed by or at the request of creditors privately through court process or by order of a regulatory authority to hold your assets Yes O No O If Yes complete Schedule M Item 16 1 d Debt obligations Over the past 10 years have you failed to meet a financial obligation of 5 000 or more as it came due or to the best of your knowledge has any firm while you were a partner director officer or major shareholder of that firm failed to meet any financial obligation of 5 000 or more as it came due Yes O No O If Yes complete Schedule M Item 16 2 3 Surety bond or fidelity bond Have you ever been refused for a surety or fidelity bond Yes O No O If Yes complete Schedule M Item 16 3 4 Garnishments unsatisfied judgments or directions to pay NRD User Guide 208 Has any federal provincial territorial state authority or court ever issued any of the following against you regarding your indebtedness or to the best of your knowledge the indebtedness of a firm where you are or were a pa
194. m is registered Active or Suspended This screen also indicates the firm notice type you are initiating Select the appropriate jurisdiction FIRM INDIVIDUAL SUBMISSION H I Sie WORK IN PROGRESS SENT TO REGULATORS FIRM INFORMATION ADMIN TOOLS SEARCH 7610 CSAIDA Firm35 Open a New Location Click on a province or territory to open one or more new locations Ontario For every firm submission type except Open a Location and Annual Fee Exclusion the system then presents a Search for Location screen Enter the desired criteria to retrieve the location for which you are preparing a submission When you are ready click Search The system executes the search according to NRD User Guide 123 your criteria and presents the results at the bottom of the screen Select the desired location by clicking its NRD number WORK IN PROGRESS INDIVIDUAL SUBMISSION SEARCH 7610 CSAIDA Firm35 Search for Location Results NRD No OR Address Contains City Province Territory Type of Location NRD No of Branch Manag Showing Results 1 3 of 3 Enter information in at least one of the text boxes below to begin your search ADMIN TOOLS FIRM INFORMATION SENT TO REGULATORS Bok gt _ Ontario All ec hs Search Reset 8592 1222 Brock Street Toronto Ontario Branch 9012 555 Brock Road Toronto Ontario Branch g 1222 Brock S
195. me way it was first input when your firm performed the Initial Registration for this individual This is a read only view To make changes to the Individual s Permanent Record you must prepare the appropriate Individual Submission FIRM INDIVIDUAL en WORK IN SENT TO FIRM INDIVIDUAL ADMIN SUBMISSION SUBMISSION tele tel Ure ROO INFORMATION M o o E Residential Address 808321 Ethier 20240 Kapuskasing Securities Inc Valeurs mobili res de Personal Information Adelmar Kapuskasing Inc Citizenship NRD Filer Manual Address for Service Last Name thier _Terms and Conditions _ First Name Adelmar Proficiency 1 Second Name cif applicable Gr goire Location of Employment Current Employment Third Name cit applicable Previous Employment Provide reason for name change Resi ns and correction d orthographe A tl h iously b k b ther than th RENN DEET RE re you currently or have you previously been known by a name other than the name ey S elnenk mentioned above Civil Disclosure Financial Disclosure Continue gt gt Related Securities Firms NRD allows you to view the Individual s current Form 33 109F4 information as well as any previous changes made to the Permanent Record by your firm s AFRs or by the regulators e g Terms and Conditions You do not have access to the individual s registration information with other sponsoring firms Click the local navigator to view any item To view the historical i
196. me spent on each activity 4 Number of work hours per week How many hours per week do you devote to this business or employment If this activity is employment with your sponsoring firm and you work less than 30 hours per week explain why 5 Conflicts of interest If you have more than one employer or are engaged in business related activities disclose any potential for confusion by clients and any potential for conflicts of interest arising from your multiple employment or business related activities or proposed business related activities Include whether or not any of your employers or organizations where you engage in business related activities are listed on an exchange Confirm whether the firm has procedures for minimizing potential conflicts of interest and if so confirm that you are aware of these procedures If you do not perceive any conflicts of interest arising from this employment explain why NRD User Guide 222 SCHEDULE H Previous employment and other activities Item 11 Provide the following information for each of your employment and other activities in the past 10 years Account for all of your time including full time and part time employment self employment or military service Include your status for each such as unemployed full time student or other similar statuses Do not include short term employment of four months or less while a student unless it was in the securities derivatives or financial industr
197. mission of late funds through NRD see Resubmit fee payment in Chapter 8 NRD Filer Manual 235 lt CHAPTER 6 NAVIGATING THE NRD WEBSITE Chapter Outline This chapter tells you how to navigate the NRD website using the navigators found on the system A The NRD website The address of the NRD website is www nrd ca The first screen displayed is the NRD splash page 1 NRD splash page The NRD splash page displays the NRD logo and prompts you to select either the English or the French language version of the website There are also links to information on intellectual property enrolling to use NRD and on privacy Click the language of your choice to proceed to the login page Intellectual Property D n gl iS h Enrol for Authorizec Privacy Statement Propri t intellectuelle Inscription obligatoire f Francais 2 Logging in After selecting the English or French language version of the website the system displays the login page TIP You may also download copies of the NRD enrolment forms from the Login page Enter your user ID and password and click Login NRD Filer Manual 36 Enter Your User ID Enter Your Password a To set up your new firm and to make any changes to firm enrollment click here steve001 4 Reset a Enter your personal identification no p First login for chief AFR If you are a chief AFR and are logging in to NR
198. mission tab and select Notice from the list of submission types 2 Select Item 9 Employment Location Change from the list of notice types The system displays a search screen on which to identify the individual whose employment location is to be changed Enter that individual s NRD number and click Continue 3 The system displays Item 9 Location of Employment Unique Identification Number for entry of a new ID Number The field is exclusively for firm use and may be used to record Cost Centre number Human Resource number or any other unique identifier for the individual Enter the information if applicable and press Save amp Continue FIRM SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Location of Employment First Page 2453781 Green Richard 33070 Dargan Cataliers Item 9 Employment Location Change This field can be used to enter a unique identifier for this individual such as Transit Cost Centre or Human Resource number Unique Identification Number HR3333333 optional Save amp Continue gt gt The system displays the individual s current employment location Verify that you have retrieved the record of the correct individual and click Continue WORK IN SENT ADMIN TO FIRM sean PROGRESS REGULATORS INFORMATION TOOLS FIRM SUBMISSION Location of Employment First Page 2453781 Green Richard 33070 Dargan Cataliers j Item 9
199. n if you log in to the other language version of the site to retrieve it To view the same criteria in both French and English you must generate a report from each language version of the site i e log in to the French version of the site to generate a report with French headings NOTE NRD report data is updated throughout the day to match data that has been entered into the NRD application In addition all reports are retrieved within the same business day regardless of the size although larger reports take longer to produce For any report type once you click Generate Report the system will advise you of the progress of the report creation When the report is ready the system launches the report in the format you selected and a pop up message appears NRD Filer Manual 2 5 PRIVACY STATEMENT FIRM LIST HELP FRANCAIS LOGOUT FIRM INDIVIDUAL WORK IN SENT TO FIRM SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION 21550 Soci t G Aane x Report Status You have chosen to download a file from this location Please wait whi 66498 pdf from sedt210 cds ca you receive your report Once you have retrieved your re What would you like to do with this file Open this file from its current location Save this file to disk M Always ask before opening this type of file Cancel More Info If you select Save this file to disk you may store the report electronically on your own system and access it when conven
200. n of Employment First Page 2453781 Green Richard 33070 Dargan Cataliers Item 9 Employment Location Change Select Complete Submission from the local navigator if you are not disclosing a change to the location of employment NRD Location Number Type of business location Supervisor or Branch Manager Address Line 1 Address Line 2 if applicable City Province Territory State Postal ZIP Code Country Telephone Number Fax No Effective Date 556902 Branch or Business Location 2419151 Karpodini Peter 33 Old Post Road Yellowknife Northwest Territories LOLOLO Canada 867 555 1212 ext 867 555 1212 2009 09 01 YYYY MM DD Save amp Continue gt gt Reset Cancel TIP If in addition to the Location change there are changes to the type of business or employment and duties number of hours changes to the individual s employment with the sponsoring firm i e now in a principal agent relationship you must file a Notice of NRD User Guide Current Previous Employment Change When you are ready click Save amp Continue The system verifies that you have entered all required data and guides you through the Complete Submission process TIP Individual Relocation to Another Province When an individual relocates to a province in which they are not yet registered and they are surrendering their categories in the current jurisdiction the
201. n the past statuses 104 100000 Black Joe Item 6 Registration and Accepted Categories Ontario Status Active Officer amp Director Advising Non Resident 2005 06 20 Officer Title Other Other Title Investment Director Click on a status to view details Active 2004 11 01 2005 06 20 2004 11 01 For the Disclosure items Regulatory Criminal Civil and Financial any past disclosure is displayed as follows Instead of a View History button previous disclosure is displayed in full beginning with the most recent effective date NOTE Any submissions you may have made to update information on the Permanent Record will not be reflected until the regulator has accepted the submission A Firm and individual submissions NRD allows you to view details of a submission previously sent by you or any other AFR of your firm You may also view submissions in the Work in Progress list of any AFR of your firm In order to view the details of a submission perform a search for the firm or individual submission If you created the submission and sent it to regulators you may view the submission in your Sent to Regulators list if this has not yet been processed When you have retrieved the submission you may navigate through the entire document However you will not be able to edit the submission You may only edit submissions that are currently in your WIP list If you wish to edit a submission that is stil
202. n to view a list of cities where there are closed branches or sub branches Click a city to view its closed locations When you retrieve the record of any location you can also view any historical information regarding supervisors or branch managers or address contact information changes You can also search for locations by selecting Search from the main navigator and Location The only way to retrieve Head Office information from the search function is to enter the NRD number or select Head Office as the search criteria under the location type You cannot retrieve Head Office details using any other criteria NRD Filer Manual 109 FIRM INDIVIDUAL WORK IN SUBMISSION SUBMISSION PROGRESS SENT TO FIRM REGULATORS INFORMATION ADMIN TOOLS Individual Firm Submission 1111 Mansoor Investment Counsel Limited Individual Submission Location Search for Location Enter information in at least one of the text boxes below to begin your search NRD No OR Address Contains City Province Territory State Select One v Type of Location All v NRD No of Branch All Manager Branch Head Office Sub Branch FIRM SUBMISSION INDIVIDUAL SUBMISSION WORK IN PROGRESS SENT TO REGULATORS FIRM INFORMATION ADMIN TOOLS 5 Firm information Permanent Record To view current and historical information on your firm click the Firm Information tab on th
203. nce the system will display an error message if you attempt to 43 NRD Filer Manual gt enter an invalid postal code or date of birth gt assign an individual to a branch in a jurisdiction in which s he is not registered or registering gt leave a mandatory field blank e g First Name or Telephone Number in an Initial Registration Informational messages simply indicate the presence or absence of requested data For instance the system will display an informational message if you gt click View History for a Permanent Record item that has no historical records gt execute a search for which there are no results gt have Terms and Conditions on an individual s Permanent Record Warning messages do not force you to correct an action but they do relay important facts concerning your submission It is advisable to note these messages and follow their recommendations appropriately For instance the system will display a warning message if you gt Are relating an Initial submission to a deficient Initial submission gt Are completing a Notice of Termination for an individual who is a location supervisor or branch manager gt Are completing a Close a Location submission for a business location where individuals are still working Using your Browser s navigation buttons When you click your Internet browser s Back button or hit the Backspace button on your keyboard typically the browser brings y
204. ncomplete Also applicable submission fees are listed along with their status record NRD Filer Manual 106 FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS INITIAL Tame 3808321 Ethier 20240 Kapuskasing Securities Inc Valeurs mobili res de alae Adelmar Kapuskasing Inc Personal Information Submission History oe Summary Registration Jurisdictions ee eels wel Type Initial Registration Submission No 20034576 Address for Service Profici Created By Stevenson Lynne Submitted By Stevenson Lynne Location of Employment Created On 2003 02 06 01 50PM Submitted On 2003 02 07 01 00PM Current Employment Previous Employment O Febon O Fossi Fee Tyne Fes Amount O fpeymont Ti ns FOY DOGANI Created Resubmit Initial 56 23 View Details Criminal Disclosure Created Resubmit Initial 32 00 View Details Civil Disclosure Created Initial 5580 25 Financial Disclosure Related Securities Firms Current Status Approved Current Status Approved If the submission is still in your Sent to Regulators list you may view the submission details there as well This is an easy way to track the status of your submission while you are awaiting disposition by the regulator Retrieve the submission from the Sent to Regulators list and use the local navigator which includes a Submission History button on the local navigator to view the submission details Any submission
205. nd payable to regulators in each province or territory in which the submission is being made and or to the NRD administrator NRD bases this calculation on the fee schedule in effect in each of the provinces and territories in which the submission is being made See Chapter 7 Making NRD Submissions for more details The firm s NRD account will not be debited the amount shown on the fee calculation screen until the AFR acknowledges the amount listed and finishes the Complete Submission process by sending the submission to regulators Some fees are calculated outside the system and are communicated to the AFR by the Regulator In this case you would use the resubmit payment function in the Admin Tools section of NRD and select to Resubmit additional funds directly related to a submission or annual fee renewal See Chapter 8 Administrative tools for more details D Reconciliation reports To reconcile your firm s records of its NRD account with NRD s record of fees debited from that account you may generate reconciliation reports using the Administrative Tools function in NRD These reconciliation reports will show you NRD s record of the amounts that were debited from your firm s NRD account for the purposes of paying submission fees annual registration fees or NRD user fees The two reconciliation report types available on NRD are NRD Filer Manual 34 1 Reconciliation Report by Submission This report l
206. nd provide gt Passport Number gt Country of citizenship from the drop down list gt Date of Issue of the passport gt Place of Issuance of the passport City Province Territory State and Country gt An effective date which must be a past or current date Item 4 Citizenship Information Change What is your country of citizenship O Canada ee Other specify United States M If you are a citizen of a country other than Canada complete the following for that citizenship O Check here if you do not have a valid passport Otherwise provide Passport Number G55678452 Date of Issue 2009 o9 01_ YYYY MW DD Place of Issue City San Francisco Province Territory State California xl Country United States Effective Date 2009 09 7 01 YYYY MM DD l Save amp Continue gt gt Reset NRD User Guide 158 TIP If the individual is not a Canadian citizen and does not have a passport from her his own country complete the relevant fields as follows gt Passport number Type N A gt Country of Citizenship Select the country of citizenship from the drop down list gt Date of issue enter the current date gt Place of Issuance City Type N A gt Place of Issuance Province Territory State Select Not Applicable from the drop down list gt Place of Issuance Country Select the country of citizenship from the drop d
207. nd used by the securities regulatory authorities in the jurisdictions set out in Schedule O to administer and enforce certain provisions of their securities legislation or derivatives legislation or both By submitting this form the individual consents to the collection by the securities regulatory authorities of this personal information and any police records records from other government or non governmental regulators or SROs credit records and employment records about the individual that the securities regulatory authorities may need to complete their review of the information submitted in this form relating to the individual s continued fitness for registration or approval if applicable in accordance with the legal authority of the securities regulatory authorities while the individual is registered with or approved by it Securities regulatory authorities may contact government and private bodies or agencies individuals corporations and other organizations for information about the individual If you have any questions about the collection and use of this information contact the securities regulatory authority in any jurisdiction in which the required information is submitted See Schedule O for details In Qu bec you can also contact the Commission d acc s a l information at 1 888 528 7741 or visit its website at www cai gouv qc ca SROs The principal purpose for the collection of personal information is to assess your suitability
208. ndividual Categories Apply for an Exemption Initial Registration he gt Denied Withdrawn LE Returned to Firm _ All v M Include submissions that are not disposed Excel Comma separated Values CSV Generate Report Reset NRD Filer Manual The report than provides the following information divided into two sections i the application information on the left and ii the submission information on the right Applicant Information includes the applicant s NRD number name and employment location NRD number The employment location is either the current employment location of the individual or a location pending approval Submission Information groups submission types together and then sorts them by submission date A submission sent to multiple jurisdictions will include the status of the submission with each of the jurisdictions The Jurisdiction field will distinguish between the commission or HROC office from which disposition is pending or has been applied The name of the AFR who made the submission will also be shown 91 NRD Report Time Run Date Run Who Requested Report Name of Report Action Date 33 21pm 2007 05 18 Tsatsou Panoraia Submission Status Report From 2007 05 16 to 2007 05 18 Submission Type Submission Status Jurisdiction AFR Firm NRD No Firm Name Include submissions that are not disposed
209. ndividual category selection and simply retrieve data for all the individuals who fall under the selected firm category regardless of their individual categories If you wish to retrieve data pertaining to a specific individual category select that category but do not select the firm category under which it falls In this example the user wishes to view the Active Branch Managers in Prince Edward Island The user checks Active on the Registration Status list then under Prince Edward Island Categories Mutual Fund Dealer checks Dealing Representative TIP Were the user to also check Mutual Fund Dealer the system would retrieve all Active individuals under that firm category not just Branch Managers Registration Status All v Active Suspended Employment Termination Select one or more categories form the list or check Select Categories All Click on the Firm category checkbox to request all individual categories within the Firm category or check each individual category Prince Edward Island Categories Permitted Activities and Ultimate Designated Person Officer Partner Mutual Fund Dealer Dealing Representative Branch Manager MFDA members only Exempt Market Dealer O Dealing Representative Chief Compliance Officer Report Format PDF Excel Comma separated Values CSV Generate R
210. ndividual may complete the information for her his submission s he is not permitted by the system to send the submission to regulators When the individual completes the submission the system redirects it to the WIP of the AFR who originally authorized the individual to prepare the submission on the system Only an AFR for the firm may send submissions to regulators How to prepare a submission The process of preparing a submission involves choosing the appropriate submission type and then completing the information by entering information in the input fields or by clicking on checkboxes or radio buttons These and other functions are described in Section C 4 of this chapter Once you have finished preparing a submission or if you have authorized an individual to prepare a submission and you are satisfied with the contents of that submission you may follow the procedures for completing and sending a submission to regulators These procedures are described in Section D of this chapter Although AFRs may create submissions as soon as they are authorized and set up on the system by their chief AFR those submissions cannot be completed or sent to regulators until the firm s registration categories are set up on NRD in all the applicable jurisdictions NOTE If there seems to be a delay in the set up of firm registration categories in a jurisdiction contact the applicable regulator 1 Data format tips gt Language preference the d
211. ne peas 5 a a Copiers Total Completed 3 50 00 Total Work In Progress 4 16 67 Total Not Started 2 33 33 6 Generate Permanent Record Report for an Individual Registrant Use this report to generate a copy of an Individual s Permanent Record Enter the individual s NRD number and when you are ready click Generate Report If the criteria is valid the system displays a message advising you that the report is being generated You may only generate a report for individuals associated with your firm This report is only available in PDF format Enter the individual registrants NRD No to create a permanent record report for an individual registrant Individual NRD No Generate Report Reset NRD Filer Manual 86 Stevenson Marise Brigitte Last name First name Second name if applicable Third name if applicable Are you currently or have you previously been known by a name other than the name mentioned above Yes If Yes complete Schedule A Provide all residential addresses including any foreign residential addresses for the past 10 years Residential Address 32 rue Bowman Toronto Ontario Canada mim1m41 Telephone Number 416 998 7563 Resided at this address since If you have resided at this address for less than 10 years complete Schedule B Date of Birth 1900 01 01 Place of birth Kapuskasing Ontario Canada YYYYIMMIDD city province temitory or
212. nformation completed in section 3 of NRD Form 1 Authorized signatories of the NRD account holder must sign the form manually C Return this completed form together with a blank cheque for the NRD account named in section 3 below marked on the front with VOID and deliver by prepaid mail personal delivery or fax to the NRD administrator at the address above or by fax to 1 866 729 8011 or to such other address or fax number as may be provided on the NRD website NRD User Guide 195 Section 1 Firm Information Full legal name of firm Firm NRD number only required if a change to previous filing Section 2 Contact Information for NRD account Name of NRD account holder Business address street name and number Municipality city town etc Province territory state Main Phone Number C C Last name of NRD account holder s contact First name of NRD account holder s contact person person Direct phone number E mail address Extension if applicable Section 3 NRD Account Information for Electronic Pre authorized Debit Name of NRD account holder s financial institution Branch transit number Account number The financial institution selected must be a member of the Canadian Payments Association Section 4 Authorization and Agreement of NRD Account Holder 4 1 The NRD account holder hereby authorizes and directs to the NRD administrator to enrol the NRD account stated in section
213. nformation for any item on the Permanent Record click the yellow View History button that appears near the upper right of the screen for that item In this example we will view the historical information for Item 1 Name 103 NRD Filer Manual 808321 Ethier 20240 Kapuskasing Securities Inc Valeurs mobili res de Adelmar Kapuskasing Inc Item 1 Name Click on a legal name to view the information Ethier Adelmar 2003 02 07 2002 02 07 Continue gt gt This individual has one previous legal name recorded in his history To view the details of this record click the previous name hyperlink The system displays the details of the record The current and past registration statuses of the individual with your firm may be viewed for every jurisdiction in which s he is registered This information is under the Registration Jurisdictions tab on the local navigator Click this tab and select a province or territory to view the individual s status and individual categories in that jurisdiction Each individual category has an effective date NOTE Registration information for individuals with IROC Member firms will display both registration categories and ROC approval categories For example Salesperson and Registered Representative Retail If the individual s status in this jurisdiction has changed that information is listed at the bottom of the screen and you may follow a hyperlink for further details o
214. ng reports The admin tools available to you depend on your AFR role See Chapter 8 Administrative Tools for full details and instructions on using the NRD Admin Tools functions Local navigator PRIVACY STATEMENT FIRM LIST HELP FRANCAIS LOGOUT INDIVIDUAL WORK IN SENT TO FIRM SUBMISSION SUBMISSION NRD Filer Manual FIRM SEARCH I ETS S INFORMATION 25980 Test Firm 1234 Inc eneral Information Test Firm 1234 Inc Legal Name Continue gt gt FIRM SUBMISSION INDIVIDUAL SUBMISSION SEARCH WORK IN PROGRESS SENT TO REGULATORS ADMIN TOOLS After selecting a task from the main navigator the system displays a subset of commands or links in the local navigator a column of tabs that appears at the left of your screen Some main navigator tabs Work In Progress and Sent to Regulators do not have corresponding local navigators but if you open any of the submissions in either of these sections the submission s local navigator will appear Error Informational Warning messages As you work in NRD the system may display an error informational or warning message in red at the top of the screen in response to an action you have taken These messages will help you correct mistakes or avoid unintended actions while using NRD EXAMPLES Error messages force the user to correct an action Until you correct the error on a particular screen the system will not allow you to proceed For insta
215. nges to the address and contact information and provide an effective date The effective date must be a past or current date Click Save amp Continue to proceed with the submission 6 The system verifies that you have entered all required information and guides you through the Complete Submission process NOTE If you are accessing the notice from Work In Progress existing data is displayed If you had previously entered a mailing address for the location and then select the Same as Above field the mailing address information will be deleted from the submission If you delete a previously saved fax number telephone number or extension the information is deleted from the submission as it was last saved and not from the Permanent Record itself NRD User Guide 129 6 Close a Location l From the Main Navigation bar click the Firm Submission tab and then select the Close a Location hyperlink 2 The system displays a list of jurisdictions in which the firm is currently registered Select the province or territory where the firm wishes to close a location 3 The system presents a search form for the jurisdiction selected You may search by the location s NRD Number by location type Branch or Sub Branch the Branch manager s NRD Number or by elements of the location address Address Contains and City 4 Select the desired location from the search results by clicking the hyperlink of that location s NRD
216. nter your Report No in the text box below to retrieve your report Report No 7243 Reset NRD Filer Manual 93 CHAPTER 9 SEARCHING FOR AND VIEWING INFORMATION ON NRD Chapter Outline This chapter tells you how to search for and view registration information on NRD and describes the type of information you may search for and view A The Search function The NRD Search function allows you to find an individual associated with your firm a business location of your firm or an individual or firm submission prepared by an AFR for your firm The Search function provides detailed information about an individual submission or location including NRD numbers Viewing information is explained later in this chapter B How to search the system Once you have logged in to the system click Search on the main navigator or task menu Names with French characters all French characters are allowable except and Use separate characters ae and oe instead If you need to search a name with French accents but do not have access to French keyboard settings you may enter plain text to obtain the same search results For example if you are searching for an individual associated with you firm with the last name Gu vremont you may enter Guevremont and the system will still be able to find that record The system displays four search types Click the hyperlink of the search type you wish to execute
217. o include all business related officer or director positions and any other equivalent positions held whether you receive compensation or not Item 11 Previous employment and other activities On Schedule H complete your employment and other activities history for the past 10 years Item 12 Resignations and terminations Have you ever resigned been terminated or been dismissed for cause by an employer from a position following allegations that you 1 Item 13 1 a Violated any statutes regulations rules or standards of conduct Yes O No O If Yes complete Schedule Item 12 1 Failed to appropriately supervise compliance with any statutes regulations rules or standards of conduct Yess DO No O If Yes complete Schedule Item 12 2 Committed fraud or the wrongful taking of property including theft Yes O No O If Yes complete Schedule Item 12 3 Regulatory disclosure Securities and derivatives regulation Other than a registration or permitted individual status that has been recorded under this NRD number are you now or have you ever been registered or licensed with any securities regulator or derivatives regulator or both in any province territory state or country to trade in or advise on securities or derivatives or both Yess O No O If Yes complete Schedule J Item 13 1 a Have you ever been refused registration or a licence to trade in or advise on securities or deriv
218. o firms only one firm is required to file the notice of change through NRD Once one sponsoring firm has filed a notice the system will not permit the other firm to file the same notice of change until the regulator has approved that first notice When filing a notice of change for the record of an individual registered with multiples firms the AFR should use the following procedure gt Check to see if the Permanent Record has already been updated with the changes i e does the Permanent Record show the updated information If the record has been updated the individual has already filed the notice via another sponsoring firm gt If the change is reflected on NRD you must still file the notice of change for your firm however you may not submit the change on NRD and must submit a paper F5 on behalf of your firm with the appropriate regulators for review gt If the change is not reflected on NRD submit the appropriate NRD notice gt If you receive an error message indicating that there is already a submission of this type in progress this means that another sponsoring firm has created or submitted that notice type In that case file a paper F5 to notify the regulator of the change TIP When you get that error message determine if another AFR at your own firm has created or sent a notice or that you already have the notice in your WIP Even though the first firm has filed a notice of the changes to the dually registe
219. o ised A Registration functions you can perform using NRD eee eeeeseeereeeseeceeceecesecsaeceseeseesseeeeeeees 1 Functions related to Firm information 2 Functions related to Individual information 3 Administrative Functions INCCOSS LO NRDircsectiessciedecedacdt E A E A E E EE Contents OL NRD ESE N E E S SENS 1 The Permanent Record 2 Firm information Permanent Record 3 Individual information Permanent Record Requirements to submit information to regulators through NRD and in paper format 0 1 Registration information that must be submitted to regulators using NRD 2 Registration information that must be filed or delivered to regulators in paper format Supporting documents 3 nc iie ote eel daa en eee Sees ele EE ia 1 Registration information that must be filed with regulators in paper format in support of an NRD submission 2 Non Duplication of Filing Requirements Lead and non lead jurisdictions ee eeeecceeseeeseeeseeecesseceseceseesseesscessaeeeseeeseecaeecsaecaecaeenaeenseeeaee 1 How is the lead jurisdiction determined 2 How is Principal Regulator determined under NRS NRD T1018 0 oc eee tr Ram a i a a aaea a a a a 1 NRD numbers for firms and individuals 2 NRD numbers for business locations other than Head Office 3 NRD numbers for Head Office and Address and Agent for Service NRD submission numb
220. o previous submissions Click Continue after you have clicked Yes or No as applicable NRD 60 will calculate the fees if any that are required to be paid to regulators with your submission 4 Submission fee summary screen The system displays information regarding the fees payable to regulators in each province and territory in which you are making your submission as well as your firm s NRD account information NRD user fees also apply to some submissions To print the fee summary for your records click Printable Page then use the Print function in your internet browser Click Continue then Acknowledge to confirm your acceptance of the fees listed 5 Certification Page The system displays a screen with the provinces territories and regulators to which your submission will be sent This screen also includes statements to which you must attest When you are ready check the certification box and click Send to Regulators The system sends the submission and displays your Task Menu You can view the submission by clicking your Sent to Regulators tab on the main navigator 6 Submissions made by firms and individuals associated with firms that are IIROC members By using NRD you will not be required to make a submission to more than one regulator in any province or territory If your firm is an IROC member NRD will automatically send your submission to the appropriate regulator in each province and territory where
221. o submit depends on the province or territory and on the regulator the securities regulatory authority or SRO To avoid delays in processing this form be sure to answer all of the questions that apply to you If you have questions contact the compliance registration or legal department of the sponsoring firm or a legal adviser or visit the National Registration Database information website at www nrd info ca Item 1 Name 1 Legal name NRD User Guide 200 Last name First name Second name N A Third name N A LJ NRD number if applicable 2 Other personal names Are you currently or have you ever been known by any names other than your full legal name above for example nicknames or names due to marriage Yes O No O If yes complete Schedule A 3 Use of other names Are you currently or have you ever used operated under or carried on business under any name other than the name s mentioned above for example trade names for sole proprietorships or team names Yes DO No O If yes complete Schedule A Item 2 Residential address Provide all of your residential addresses including any foreign residential addresses for the past 10 years 1 Current and previous residential addresses number street city province territory or state country postal code Telephone number Lived at this address since YYYY MM If you have lived at this address for less than 10 years complete Schedule B 2
222. ocation you must complete an Open a Location submission re entering all data for the location in question The location will be assigned a new NRD number TIP To view information for closed locations click Firm Information on the main navigator then Other Locations on the local navigator Click the yellow Closed Locations button near the upper right of that screen TIP Only one location can be closed in a submission NRD User Guide 132 4 Location Supervisor Change NOTE There is no notice on NRD to change Compliance Officer information for the firm s Head Office Contact your regulator for instructions on making changes outside the system See How to ange a Location supervisor ior m Ir NRD User Guide 133 5 Annual Fee Exclusion Reversal l From the Main Navigation bar click the Firm Submission button and then select Annual Fee Exclusion Reversal from the list of firm notices INDIVIDUAL WORK IN ADMIN SEARCH SENT TO FIRM SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Notice 33070 Dargan Cataliers Open a Location Location Address Information Change Close a Location Location Supervisor Change Location Status Change Annual Fee Exclusion Reversal Ds The system displays a list of jurisdictions in which the firm is currently registered Click the province or territory where the firm wishes to exclude individuals from annual fees for the coming calendar year or rever
223. oeo ian EEE N on a erir aA aera ae E hea en Naa ee aea EEEa aN 94 B How to s arch the System ensinenenianr einni E i ESE 94 1 Search criteria 94 2 Searching for individuals and locations 95 3 Searching for submissions 96 4 Search results 98 5 Hyperlinks for viewing information 99 C Viewing information on NRD 0 ses is ote e en eee aie scaled edie 99 1 Individual information Permanent Record 99 2 Firm and individual submissions 105 NRD Filer Manual 3 Fee breakdown 107 4 Location information 108 5 Firm information Permanent Record 110 GEOSSARY scat arate Saez oes cans ceria E Sia talt Batata tied E Secale Baten E E oa cies ESE 116 SUBMISSION ILLUSTRA TIONS sicc2sscteentecestk eed iecieeks eesti ened eed erie eed enue ESSAS aai 121 As BirtasSubmiissions sison steading ieee ieee oi eld oSheel ene A a E thal ee eh 123 4 Open a Location 125 5 Location Address Information Change 128 6 Close a Location 130 4 Location Supervisor Change 133 5 Annual Fee Exclusion Reversal 134 6 Location Status Change 137 Bye Individual Submissions en oes et ever neste eaa a oi lend a eaae a aE gegen aaea EEE E rabies te 139 1 How to set up an individual to complete an initial submission 145 2 INITIAL Initial Registration 151 3 INITIAL Reinstatement of Registration 151
224. of jurisdictions in which the firm is currently registered Click the province or territory where the firm wishes to change the address information for a firm location 3 The system presents a search form for the jurisdiction selected You may search by the location s NRD Number by location type Branch or Sub Branch the Branch manager s NRD Number or by elements of the location address Address Contains and City Click Search to view the results Select the desired location by clicking on the hyperlink of that location s NRD number 500 TEST Pvt LIMITED Change Location Address Information Type of Location Branch Location NRD No 458002 NRD No 111111 Last Name JOSEPH First Name THOMAS Address Line 1 Front Street Address Line 2 if applicable City Toronto Province Territory State Ontario Postal Code M3W3P8 Country Canada Telephone No 1 ext Fax No Same as Above Change Location Address Information 4 The system displays the current information for the location Confirm that this is the correct location and click the Change Location Address Information button at the bottom of the page If this is not the correct location you may click Cancel to return to the location search page NRD User Guide 128 5 The system displays the form to change the location s address information All fields are editable except for the Province Territory State and Country fields Make the required cha
225. on from the main navigator Your screen will display the following six choices gt Open a Location Location Address Information Change Close a Location Location Supervisor Change Annual Fee Exclusion Reversal gt Location Status Change Click the submission type you wish to prepare See the Submission Illustrations for further details on how to complete each submission type Individual submissions Select Individual Submission from the main navigator Your screen will display the following individual submission categories gt Initial gt Amendment gt Notice See the Submission Illustrations for further details on how to complete each submission type 53 4 How to re assign a submission When you are preparing a submission you will see a tab at the bottom of the local navigator called Re assign submission This function allows you to electronically forward submissions to other AFRs in your firm as well as to individuals who have been granted a user ID and password to complete an initial submission type You may need to re assign a submission to an individual if for example they have not provided adequate information for a disclosure question You may also re assign a submission to another AFR if for example you need to delegate some of your workload during an absence from your office Chief AFRs and administrative AFRs may also reassign submissions using the search function When a Chief AFR or administrative
226. on in all 12 NRD jurisdictions is 325 GST NRD User Guide 235
227. on of Registration Use this submission to reactivate your registration if i you submit this more than three months after leaving your former sponsoring firm ii you are seeking registration in jurisdiction s or category ies that differ from employment with your former sponsoring firm iii you have a change to information previously submitted in items 13 to 16 of your Form 33 109F4 or iv you were dismissed or asked to resign from your former sponsoring firm Submission for Individuals Included in Data Transfer Unless you are reactivating or transferring your registration use this submission type if you were recorded on NRD on the NRD launch date and you are submitting Form 33 109F4 or Form 33 506F4 for the first time NRD User Guide 140 The Amendment screen displays the following FIRM SUBMISSION WORK IN SENT TO FIRM ADMIN Se PROGRESS REGULATORS INFORMATION TOOLS Amendment 33070 Dargan Cataliers mummy Select an Amendment 33 109F2 Change or Surrender of Individual Categories Apply for an Exemption The Notice screen displays the following FIRM WORK IN SENT TO FIRM ADMIN SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS SEARCH Amendment 33070 Dargan Cataliers Notice Notice of Termination Update Correct Termination Information Item 1 Individual Name Change Item 2 Residential Address Change Item 3 Personal Information Change Item 4 Citiz
228. ord e g you wish to Close a Location but you have retrieved the record of the wrong business location The Reset button makes the system re display the information on a screen up to the last time that you clicked Save amp Continue for that screen If you have not clicked Save amp Continue for the screen on which you are currently working clicking Reset will clear all information from that screen Work in progress WIP You are not required to complete a submission in one session Any submission that you have not completed and sent to regulators will be stored in your Work in Progress as at the last successful Save Any information you saved while working on your submission is preserved and is immediately retrievable Just click the Work in Progress tab to retrieve the submission Or it will be retrievable in WIP the next time you log in Work in Progress submissions also include submission that have been returned to AFRs for correction by the Regulators See Section E 2 below for further details Works in progress do not form part of the Permanent Record for a firm or an individual but constitute all of the submissions that have been assigned to an AFR that have not yet been sent to regulators WIP submissions can be deleted by checking the box at the left of the submission on your WIP list and clicking Delete at the bottom of the screen You may sort your WIP submissions by NRD number of the individual or business location by Name
229. orized debit from the firm s NRD account NRD User Guide 234 c Annual NRD user fees On December 31 of each year each firm will be charged an annual NRD user fee for use of NRD for the following year A firm s annual NRD user fee is calculated as follows 75 for each registered and permitted individual sponsored by the firm in a single NRD jurisdiction and 50 for each additional NRD jurisdiction in which an individual is sponsored to a maximum of five additional jurisdictions for a total of 250 EXAMPLES If an individual is a registered individual in three NRD jurisdictions the firm s annual NRD user fee for that individual is 175 GST If an individual is a permitted individual in 12 NRD jurisdictions the firm s annual NRD user fee for that individual is 325 GST NRD submission fees NRD submission fees are payable when making one of the following submissions Initial Registration Reactivation of Registration and Registration in an Additional Jurisdiction NRD submission fees are calculated as follows 75 for a Form 33 109F4 submitted to one jurisdiction and 50 for each additional jurisdiction to which the Form 33 109F4 is submitted to a maximum of 5 additional jurisdictions for a total of 250 EXAMPLES The submission fee for an individual applying for registration in three jurisdictions is 175 GST The submission fee for an individual applying for registrati
230. ou may use NRD for this application only if the individual in question is associated with your firm on NRD A notice of any changes to an individual s information An application to reinstatement of registration of an individual gt gt gt A notice of termination of an individual s employment gt A surrender or change of individual categories gt An notice to exclude individuals from the annual fee calculation The information referred to above must be submitted to regulators using the appropriate NRD submission types These submission types are described in Chapter 7 Making NRD Submissions and in the submission illustrations included in this manual 2 Registration information that must be filed or delivered to regulators in paper format The following registration information must be filed or delivered to regulators in paper format gt An application for registration as a dealer adviser or underwriter on Form 3 and all supporting documents in connection with such an application gt A notice of any changes to a firm s information contained on Form 3 including Head Office information Use NRD to change information on a firm s Branch and Sub Branch locations gt A notice of amalgamation or merger of a firm with another firm NRD Filer Manual 16 gt An application for membership with the Investment Industry Regulatory Organization of Canada or the Mutual Fund Dealers Association of Canada gt Any
231. ou to the previous page You cannot use your back button to correct information you have previously saved The system will automatically return you to the last page you were on before you clicked your browser s back button Although you will not lose saved information to avoid being confused by this interrupted navigation you should never use your browser s Back button or Forward or Refresh Reload buttons for that matter while you are working on a submission or an Admin Tools function You may use your browser s navigation buttons when you are viewing Firm Information or information retrieved from the Search function such as an individual s Permanent Record firm or individual submissions or location information See Chapter 7 Making NRD Submissions for more tips on using various NRD commands while using the system 44 CHAPTER 7 MAKING NRD SUBMISSIONS Chapter Outline This chapter describes each NRD submission type who may make a submission and the procedures for creating completing and sending submissions to regulators NRD submissions and NRD submission types An NRD submission is the NRD term for registration related information that is prepared and sent to regulators under Canadian securities legislation commodity futures legislation or ROC requirements using NRD Throughout this manual NRD submissions are often referred to as submissions or specified as firm submissions or individual subm
232. oved person 3 the categories of approval and 4 the period that you held the approval For each approval refused state below 1 the name of the firm 2 the SRO that refused the approval 3 the category of approval refused 4 the date of the refusal and 5 the reasons for the refusal For each order or disciplinary proceeding state below 1 the name of the firm 2 the SRO that issued the order or that is or was conducting the proceeding 3 the date any notice of proceeding was issued 4 the date any order or settlement was made 5 a summary of any notice order or settlement including any sanctions imposed 6 whether you are or were a partner director officer or major shareholder of the firm and named individually in the order or disciplinary proceeding and 7 any other information that you think is relevant or that the regulator or in Qu bec the securities regulatory authority may request Item 13 3 Non securities regulation a For each registration or licence state below 1 the party who is or was registered or licensed if insurance licensed also indicate the name of the insurance agency 2 with which regulatory authority or under what legislation the party is or was registered or licensed 3 the type or category of registration or licence and 4 the period that the party held the registration or licence NRD User Guide 225 For each registration or licence refused state below 1 the party
233. own list Item 4 Citizenship Information Change What is your country of citizenship O Canada B Other specify Peru E If you are a citizen of a country other than Canada complete the following for that citizenship O Check here if you do not have a valid passport Otherwise provide Passport Number In a Date of Issue 2009 09 l01 YYYY MM DD Place of Issue City n a Province Territory State Not Applicable Country Peru Effective Date 2009 09 01 YYYY MM DD 4 When you are ready click Continue The system verifies that you have entered all required data and guides you through the Complete Submission process Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NRD User Guide 159 16 NOTICE Address and Agent for Service Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 7 Address and Agent for Service Change from the list of notice types The system displays a search screen on which to identify the individual whose address and agent for service information is to be changed Enter that individual s NRD number and click Continue 3 The system displays a list of jurisdictions in which the individual is currently registered Verify that you have retrieved the record of the
234. plete and submit a Form 33 109F2 to change or surrender individual categories or change your officer title TIP if the individual is surrendering all categories in the last jurisdiction in which s he is registered you must complete the Notice of Termination and not the Change or Surrender of Individual Categories ii Apply for an Exemption This submission type allows you to apply for an exemption from a proficiency requirement for an individual associated with your firm NOTE If this submission is approved the Proficiency section of the individual s Permanent Record is automatically updated Notices i Notice of Termination Form 33 109F1 This submission type allows you to give notice of the termination of employment of an individual with your firm for all the jurisdictions in which s he is registered with your firm TIP if the individual is registered with your firm in more than one jurisdiction and is not surrendering registration in all of these jurisdictions complete the Amendment Change or Surrender of Individual Categories for only the applicable jurisdiction s and not the Notice of Termination ii Update Correct Termination Information This submissions type allows you to correct termination information that was previously approved by the regulators for an individual that is terminated by your firm 48 NRD Filer Manual iii Individual Name Change Item 1 of Form 33 109F4 This submission
235. prior to the coming into force of the registration instruments Throughout this manual NRD submissions are often referred to simply as submissions NRD user fees fees payable by your firm to the NRD administrator annually in connection with the use of NRD and also fees payable with some submissions permitted individuals individuals who are not registered to trade or advise on behalf of a firm and who are directors partners officers of a firm are referred to as permitted individuals In British Columbia Alberta and Ontario holders of 10 or more of the voting securities of a firm are also referred to as permitted individuals participating regulators general term that includes both the Canadian Securities Administrators and the Investment Industry Regulatory Organization of Canada participation fee annual renewal fees paid to the Ontario Securities Commission pursuant to Rule 13 502 of the Ontario Securities Act These fees are based on a firm s revenue NRD User Guide 118 password a combination of 6 to 20 alphanumeric characters initially generated by NRD for each AFR using the system in order to control access to NRD A password permits an AFR to access the system and is personalized by the AFR after his her first login A password must have 6 20 alphanumeric characters must begin and end with a letter must contain at least one number and may have no special characters spaces punctuation marks etc EXAMPL
236. propriate jurisdictions On your Sent to Regulators list you can see to which regulators a submission has been sent The Submission History accessible through the yellow Submission History tab at the bottom of the local navigator when you open a submission specifies the jurisdictions who have received the submission and the status of the submission in each jurisdiction All firm submission types are single jurisdiction submission types as each of them relates to a particular location of your firm in a single province or territory In addition the individual submission types Change Address and Agent for Service and Apply for Exemption are single jurisdiction submission types All other individual submission types are multi jurisdictional submission types Multi jurisdictional submissions for individual will be filed in more than one jurisdiction if they are registered in more than two jurisdictions For instance the submission types described above in Section 2 a Initial Registration Transfer Additional Sponsoring Firm Reactivation and Additional Jurisdiction as well as in Section 2 b Change or Surrender of Individual Categories may be made in one or more jurisdictions selected by an AFR at the time of preparing those submissions These submissions must be approved withdrawn or denied by each regulator All other multi jurisdictional submissions made for individuals will automatically be submitted in each jurisdiction the ind
237. r and clicking Save amp Continue The system re displays the list of proficiencies and the deleted entry no longer appears When you are satisfied with the list click Continue 4 The system displays a screen for updating student number information The system copies whatever student numbers are contained in the Permanent Record Every student number field can be edited If you previously disclosed a number in error you cannot simply clear the field Delete the field and type X NRD User Guide 165 2453781 Green Richard 33070 Dargan Cataliers Item 8 Proficiency Information Change If you have a student number for a course that you successfully completed with one of the following organizations provide it below C Check here if you a do not have a student number with one of the following institutions b are not required under securities legislation or derivatives legislation or both or the rules of an SRO to satisfy any course or examination requirements or c have previously disclosed this information on NRD CSI Global Education formerly x Canadian Securities Institute IFSE Institute formerly IFIC Ix Institute of Canadian Bankers ICB 456 4441 amp 465 4425 CFA Institute formerly AIMR i Advocis formerly CAIFA 890 12322 01 Save amp Continue gt gt Reset NOTE It is possible that the applicant has completed courses with one of the institutions liste
238. re are several submissions that must be filed to ensure that all regulators are advised of the change of residence The AFR will 1 Notify all affected Regulators outside of NRD via email that the individual is moving to another province and surrendering categories if applicable Note This notification must include the individual s new actual working location 2 Make a Registration in an additional jurisdiction submission to add a the new jurisdiction 170 3 File a Residential Address Change notice Once the Regulator has approved the new jurisdiction submission the AFR will 4 File the Change or Surrender of Individual categories submission to surrender the registration in the province that the individual has left Note If this notice is filed and approved prior to the Additional Jurisdiction submission the AFR will be prevented from filing that submission since the individual is no longer active File an Employment Location Change notice with regulators Note This cannot be filed until the individual is active in the province NRD User Guide 171 20 NOTICE Current Previous Employment Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 10 11 Current Previous Employment Change from the list of notice types The system displays a search screen on which to identify the individual whose employment information is to
239. re than 45 minutes to complete the disclosure details on a single page and then click Save amp Continue you may find that your session has timed out If this happens you would have lost your work for that specific page To avoid this when you are working on a page that requires a large amount of work click Save amp Continue at regular intervals even before you are finished with the item and navigate back to the question or item using the local navigator or by retrieving the submission from WIP This will save you the trouble of repeating work 7 Print Submission You can print the F4 report at any time and still edit the information before submitting to the Regulators When completing an initial type submission a Print Submission button is added just above Complete Submission which allows you to print the F4 at any time NRD Filer Manual 59 Page by page completeness check When you are preparing a submission on NRD and you click Save amp Continue or Continue on any particular screen the system validates the information you entered If any data is invalid or incomplete the system displays a message near the top of the screen to help you correct the data Upon receiving this error message you should complete the missing information and click the Continue or Save amp Continue button at the bottom of your screen NRD does not validate the sufficiency of the disclosure you provide in text fields only that you hav
240. record of the correct individual See Item 15 in Form 33 109F4 for the full text of the civil disclosure questions 4 To add new disclosure select the appropriate Yes radio button s Click on Save amp Continue Select the appropriate hyperlink s for each question answered Yes Provide the disclosure details To modify existing disclosure details do not change any of the existing answers Click on Save amp Continue Select the appropriate hyperlink and provide the additional details as well as an effective date gt You may not change a Yes answer to a No if it was retrieved from the Permanent Record 5 When you are satisfied that you have provided all the necessary disclosure information click Save amp Continue The system verifies that all you have entered all required data and guides you through the Complete Submission process Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NRD User Guide 178 25 NOTICE Financial Disclosure Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 16 Financial Disclosure Change from the list of notice types The system displays a search screen on which to identify the individual whose financial disclosure is to be changed Enter that individual s NRD number and click Continue 3 The sy
241. red individual s record the second firm is still required to file the notice of change within 5 business days of the event to ensure that all regulators receive the notice of change for that individual NRD User Guide 152 12 NOTICE Individual Name Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 1 Individual Name Change from the list of Notice types The system displays a search screen on which to identify the individual whose name is to be changed Enter that individual s NRD number and click Continue 3 The system retrieves the current Individual Name information that corresponds to the NRD number entered Verify that you have retrieved the record of the correct individual If this is the correct individual make the appropriate changes to the record and enter an effective date This date must be a past or current date If you wish to indicate a change in the current name of the individual you must type over the current name If you wish to indicate an alias or are adding a previous name to the individual s record you must indicate that the individual is or has been known under other names the system will guide you through the appropriate screens to add these other names to the individual s record When you are ready click Save amp Continue The system verifies that you have entered all the required information and guides you thro
242. registration or for membership with the Investment Industry Regulatory Organization of Canada or The Mutual Fund Dealers Association When your firm enrols to use NRD your firm is establishing on the system its initial record of information B When to enrol your firm to use NRD Your firm is required to enrol only once with the NRD administrator to use NRD Therefore if your firm is registered in at least one province or territory of Canada to use NRD and is seeking registration in another province or territory of Canada it will not be required to enrol to use NRD a second time C How to enrol to use NRD To enrol to use NRD your firm must gt appoint one person to act as the chief authorized firm representative chief AFR for your firm that person must accept the appointment gt maintain one account with a member of the Canadian Payments Association from which fees will be paid in NRD by pre authorized debit unless an exemption is granted gt complete and deliver to the NRD administrator the NRD enrolment forms described below together with any required fees and a copy of your firm s incorporating documents or if your firm is not a corporation other documents issued by the applicable governmental office confirming the legal name of your firm gt Foreign Advisers should contact the regulator in the jurisdiction where they seek NRD enrolment for specific information and requirements NRD User Guide 22 NRD Filer M
243. retrieved from Sent to Regulators is read only and cannot be edited NOTE A Chief AFR or AFR Administrator can reassign WIP submissions using the search function 3 Fee breakdown To allow better reconciliation of fees a fee breakdown by jurisdiction involved in the submission and NRD user fees can be obtained by clicking View Fee Details Under each jurisdiction there will be a further breakdown to identify what amounts are charged by the commission and which ones are charged by the IIROC if applicable These fees are based on the total shown in the submission for example a submission that includes AB BC amp ON shows fees for each of those jurisdictions and the NRD user fee NRD Filer Manual 107 FIRM INDIVIDUAL SEARCH WORK IN FIRM ADMIN SUBMISSION SUBMISSION iS REGULATORS ELAO TOOLS 2064791 Smith John 8500 TEST Pvt LIMITED Initial Registration Submission No 200785919 Created By Richardson John Submitted By Richardson John Created On 2007 05 22 02 21PM Submitted On 2007 05 24 08 45AM Created View Fee Details lt Ontario Securities Commission Current Status Submitted Submission Fee Details Type Initial Registration Submission No 200785919 Created By Richardson John Submitted By Richardson John Created On 2007 05 22 02 21PM Submitted On 2007 05 24 08 45AM 4 Location information There are two ways to view details on firm locations One way is to perform a search on the loc
244. rm applying to register in New Brunswick Ontario and British Columbia with a Head Office in New York the lead jurisdiction is Ontario and the non lead jurisdictions are New Brunswick and British Columbia The lead jurisdiction for an individual is determined by that individual s place of residence How is Principal Regulator determined under NRS The determination of Principal Regulator is specified in National Policy 31 201 Part 3 K NRD numbers An NRD number is a unique number generated by NRD to identify a firm individual or business location 1 NRD Filer Manual NRD numbers for firms and individuals A firm s NRD number is generated by the system when the NRD administrator creates its record on the system Whenever you login to the system as an AFR for your firm the firm s legal name and NRD number are displayed in blue text near the top of your screen If you are AFR for more than one firm you select the firm in which you wish to work from the Firm List that appears after you login Firm NRD numbers end in a 0 19 PRIVACY STATEMENT FIRM LIST HELP FRANCAIS LOGOUT FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc Firm Submission vidual Submissi Search Work In Progress Sent To Regulators Fi Admin Tools A firm s NRD number may be displayed in
245. rs underwriters advisers and individuals registered under securities and commodity futures legislation in Canada NRD is also a system used by applicants and registrants to electronically submit certain applications notices and other registration information to securities regulatory authorities and self regulatory organizations The database and the system used to electronically submit registration information are accessed using the NRD Web site ww nrd ca Standard NRD system operating hours are 6 00 a m to 1 00 a m Eastern Time FAQs Technical NRD Filer Manual AQ d Francais English If you change your language preference by clicking on the language link in the global navigator the system will log you out of the system and present the login screen in your new preferred language Since the language link is effectively a logout button be sure to save any work before clicking the link e Logout Click Logout to exit the system Be sure to save any work before logging out 2 Main navigator PRIVACY STATEMENT FIRM LIST HELP FIRM INDIVIDUAL WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION SEARCH PROGRESS REGULATORS INFORMATION TOOLS The main navigator is a row of tabs running across the top of each NRD screen These links are repeated as text hyperlinks at the bottom of each NRD screen Each link is described below a Firm Submission Click this item to create a new submission on behalf of your firm
246. rtner director officer or major shareholder Yes No Garnishment Unsatisfied judgment O O Direction to pay O O If Yes complete Schedule M Item 16 4 ltem 17 Ownership of securities and derivatives firms Are you now or have you ever been a partner or major shareholder of any firm including your sponsoring firm whose business is trading in or advising on securities or derivatives or both Yes O No O If Yes complete Schedule N Item 18 Agent for service By submitting this form you certify that in each jurisdiction of Canada where you have appointed an agent for service you have completed the appointment of agent for service required in that jurisdiction Item 19 Submission to jurisdiction By submitting this form you agree to be subject to the securities legislation or derivatives legislation or both of each jurisdiction of Canada and to the by laws regulations rules rulings and policies collectively referred to as rules in this form of the SROs to which you have submitted this form This includes the jurisdiction of any tribunals or any proceedings that relate to your activities as a registrant or a partner director or officer of a registrant under that securities legislation or derivatives legislation or both or as an Approved Person under SRO rules Item 20 Notice of collection and use of personal information The personal information required under this form is collected on behalf of a
247. s approved this information will be saved to the individual s Permanent Record WORK IN SENT TO ADMIN FIRM Sete PROGRESS REGULATORS INFORMATION TOOLS FIRM INDIVIDUAL SLIEN SUBMISSION 2453781 Green Richard 33070 Dargan Cataliers Item 17 Ownership of Securities and Derivatives Firms Change Schedule N To edit beneficial owner information click on a beneficial owner that is not Ceased Green Securities Ltd Ceased Green Mary Ceased Continue gt gt When you are satisfied that you have made all appropriate updates and changes click Continue on the summary list of related securities firms or Complete Submission on the local navigator NRD User Guide 181 NRD FORM 1 ENROLMENT OF FIRM TO CDS INC Attention NRD Administrator 85 Richmond Street West Toronto Ontario M5H 2C9 Please select one box L Initial Filing by Firm in the National Registration Database NRD All sections must be completed Appendix A must be attached and signed Return this form with NRD Form 3 NRD Account Holder Authorization and if required NRD Form 2 Enrolment of Chief Authorized Firm Representative together with a true copy 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 as stated in section 1 below and any required NRD enrolment fees by cheque payable to C
248. s includes a submission fee summary screen for the user to review and acknowledge before proceeding The summary includes a breakdown of fees by jurisdiction and NRD user fees if applicable gt Initial Registration gt Registration in an Additional Jurisdiction gt Reactivation of Registration NRD Filer Manual 31 The user fee is based on the number of jurisdictions in which the individual is registered with your firm to a maximum of 6 jurisdictions 2 Annual Registration Fees Under applicable securities and or commodity futures legislation Firms must also pay annual registration fees to regulators in the participating jurisdictions in which they are registered and to the IIROC if applicable to maintain registration Annual fees are withdrawn from your account per jurisdiction based on applicable securities and or commodity futures legislation These fees are payable December 31 of each year The firm may use the Bulk Annual Fee Exclusion Reversal submission until December 31 of a given year to exclude individuals from the December 31 annual fee payment Each year the CSA will advise registrants of the hour on the 31 after which the system will become unavailable for submission If the firm uses this submission the firm must file one of the following submissions for each individual who is excluded from the Annual Fee calculation gt Notice of Termination if the individual will no longer be employed at your firm
249. s or amendments sent to regulators using NRD may have a fee prescribed by securities and or commodity futures legislation and under ROC by laws The fees collected at the time the submission is sent may go directly to the commission and or to the ROC as applicable NRD facilitates submission fees being paid to both the commission and ITROC when applicable If fees are payable in connection with a particular submission sent to regulators using NRD the system in most cases will determine the fees payable by the firm at the time that the submission is to be sent to regulators This determination is based on the fee schedule in effect in each of the provinces and territories in which the submission is being made and under IIROC by laws as applicable In some circumstances NRD will not automatically determine the fee In these situations firms will be advised of the fee outside of NRD In addition to the fees currently prescribed under securities legislation a Firm will be required to pay a fee for each individual who is applying for registration in a single jurisdiction to the system administrator An additional fee is payable by the Firm for each additional jurisdiction up to a total of 6 jurisdictions to which the individual applies A permitted individual will also be charged a fee irrespective of the number of jurisdictions in which the Firm is registered When an AFR sends a submission to regulators using NRD the Complete Submission proces
250. se firms There are four types of authorized firm representatives for NRD purposes gt chief authorized firm representative gt authorized firm representative administrator gt authorized firm representative gt individual applicant Appointment of Chief AFR A chief authorized firm representative or chief AFR is a representative who has accepted a firm s appointment to act as that firm s highest ranking authorized firm representative This person in addition to being able to perform all the functions of an AFR is able to perform additional functions including gt Granting and revoking user IDs and passwords to persons that will act as AFRs and AFR administrators for a firm in order to permit those persons to access and use NRD gt Resetting passwords and maintaining user profile information for AFR administrators and AFRs gt Accessing the submissions of all AFRs of a firm Vv Re assigning submissions from one AFR to another gt Co ordinating and delivering firm enrolment materials to the NRD administrator 27 gt Receiving on behalf of the firm notices confirmations and other correspondence from the NRD administrator An authorized firm representative administrator or AFR administrator is an authorized firm representative that like a chief AFR also has an enhanced level of access to the system An AFR administrator may perform all the same NRD functions as a chief AFR Neither chief AFRs nor AFR a
251. se reports may be printed or saved electronically for your records It is also advisable to print out your criteria page for complex reports before generating them Reports are generated based on the criteria you stipulate The following report types are available in Excel CSV and PDF format gt Reconciliation Report by Submission gt Reconciliation Report by EFT NRD Filer Manual 74 List Registrants Report List AFRs Report Progress Report on Submission for Individuals Included in Data Transfer Annual Fee Detailed Report gt Submission Status Report Viewing PDF documents requires Adobe Acrobat Reader The Permanent Record Report for an Individual Registrant is available only in PDF format FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM ADMIN SUBMISSION SUBMISSION PROGRESS REGULATORS INFORMATION TOOLS VV V WV Set Up Users Maintain Users 18400 TEST MANAGEMENT LIMITED Change Password Reset Password Generate Reconciliation Report by Submission Revoke Access Resubmit Fee Payment Generate Reconciliation Report by EFT List Registrants List AFRs Generate Progress Report on Submission for Individuals Included in Data Transfer Generate Permanent Record Report for an Individual Registrant Generate Annual Fee Detailed Report Generate Submission Status Report Recall Report by Number TIP If you generate a report in one language that specific report is not viewable in the other official language eve
252. se the exclusion of individuals already identified in previous Annual Fee Exclusion Reversal submissions 3 The system displays a screen requiring the NRD number of the individual that the firm wishes to exclude or reverse exclusion from its annual fees Enter a valid number and click Continue PRIVACY STATEMENT FIRM LIST HELP LOGOUT FRAN AIS ADMIN TOOLS FIRM INDIVIDUAL SEARCH WORK IN SENT TO FIRM SUBMISSION SI L PROGRESS REGULATORS INFORMATION Annual Fee Exclusion Reversal TirstPage 25980 Test Firm 1234 Inc Annual Fee Exclusion Reversal Provide the NRD No 2078911 Continue gt gt Reset INDIVIDUAL SUBMISSION SEARCH WORK IN PROGRESS SENT TO REGULATORS FIRM INFORMATION ADMIN TOOLS 4 The system validates the NRD number entered displays the legal name of the corresponding individual and that person s individual categories with your firm If this is not the correct individual click Cancel at the bottom of the screen to execute a new search by individual NRD number Select whether the individual is to be excluded from the upcoming Annual Fee or their previously identified exclusion reversed To add other individuals to the annual fee exclusion reversal for this jurisdiction click Add Another to identify other individuals If you are ready to proceed with the submission click Save amp Continue NRD User Guide 134 PRIVACY STATEMENT F
253. ser Guide 11 We suggest a minimum 128 bit encryption for working from a home computer If required please consult your technical IT staff for further instructions Any minimum desktop hardware or operating system requirements specified by browser and operating system vendors is the minimum requirement for NRD C Hours of operation NRD is available every day of the week from 6 00 am until 1 00 am Eastern Time The CDS Help Desk is available during those hours except on weekends and statutory holidays You will not be able to use the system between 1 00 and 6 00 am Eastern Time D Getting help for the Help Desk The NRD Help Desk is available to provide you with assistance when you encounter technical problems with the NRD system If you have difficulty accessing the system or receive unexplained error messages you should contact the Help Desk for assistance Phone 1 800 219 5381 E mail NRDwebmaster cds ca For questions about the registration process in general please contact the registration staff at your regulator The Help Desk staff needs to have specific information about your technical problem in order to respond to your request quickly and effectively If possible please gather the following information before making your inquiry gt your user ID not the password submission number if applicable gt gt the NRD of both the firm and individual involved gt a description of what action you were
254. sociation NRD User Guide 183 Section 4 Contact Information If the NRD administrator has any questions about the information provided on this form it can contact Last name First name Business address street name and Municipality Province territor Postal code number city town etc y state Direct phone number Fax number E mail address C Extension if applicable Section 5 Acknowledgements of Firm All access to and use of NRD shall be subject to the Terms and Conditions of Use attached as Appendix A to the Initial Filing of this form by the firm and any amendments thereto All confirmations notices and other correspondence between the NRD administrator and the firm shall be sent to the attention of the then current chief AFR of the firm at the e mail address or fax number of the chief AFR as selected by the chief AFR on NRD Form 2 as such e mail or fax number may be amended by the chief AFR upon notice on NRD Form 2 to the NRD administrator Changes to certain information shall be made as follows e The firm shall deliver an amended NRD Form 1 and a new or an amended NRD Form 3 to the NRD administrator at least 10 business days prior to a change of the NRD account named in section 3 of this form e The firm shall deliver an amended NRD Form 3 to the NRD administrator within 5 business days of a change to the contact information for the NRD account in section 2 of NRD Form 3 e Unless a firm is c
255. st manually enter the submission number the amount and the reason and select the fee recipient from the drop down list Click Continue to confirm NRD Filer Manual 73 21550 Soci t Gu vremont Inc Resubmit Fee Payment Submission No 200467756 Fee Recipient Ontario Securities Commission Submission Fee Amount 75 00 NRD Fee Amount 0 00 GST 7 0 00 Reason for Payment Late filing fee Grand Total 75 00 The amount of 75 00 will be withdrawn from Bank Account 321321321 via Electronic Fund Transfer Printable Page Acknowledge Once you click Acknowledge for either resubmit function the system will display a confirmation message for the payment The system will debit your NRD account only after you have confirmed and authorized the amount shown RM FI INDIVIDUAL SUBMISSION SUBMISSION WORK IN PROGRESS SENT TO FIRM SEARCH REGULATORS INFORMATION Set Up Users Maintain Users 21550 Soci t Gu vremont Inc Change Password Reset Password Payment Confirmation Revoke Access The payment has been resubmitted Resubmit Fee Payment FIRM SUBMIS N YDI AL S SION SEARCH WORK IN PROG S SENT TO REG FIRM INFORMATION These payments will appear on the Submission History of the appropriate submission G Reports The Reports function on NRD is used to generate various reports on the NRD records for your firm and individuals The
256. stem retrieves the current financial disclosure information corresponding to the NRD number entered Verify that you have retrieved the record of the correct individual See Item 16 in Form 33 109F4 for the full text of the financial disclosure questions 4 To add new disclosure select the appropriate Yes radio button s Click on Save amp Continue Select the appropriate hyperlink s for each question answered Yes Provide the disclosure details To modify existing disclosure details do not change any of the existing answers Click on Save amp Continue Select the appropriate hyperlink and provide the additional details as well as an effective date gt You may not change a Yes answer to a No if it was retrieved from the Permanent Record 5 When you are satisfied that you have provided all the necessary disclosure information click Save amp Continue The system verifies that you have entered all required data and guides you through the Complete Submission process Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NRD User Guide 179 26 NOTICE Ownership of Securities and Derivatives Firms Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 17 Ownership of Securities and Derivatives Firms Change from the list of notice t
257. stration to be terminated Terms and Conditions Item 6 of Form 33 109F4 Details of the terms and conditions imposed by regulators by jurisdiction on the registration of the individual Terms and Conditions are applied by the regulator Address and Agent for Service Item 7 of Form 33 109F4 The address and name of the individual s agent for service in a particular jurisdiction Proficiency Item 8 of Form 33 109F4 Industry courses or examinations successfully completed or from which exemptions were granted the date of completion or exemption student numbers and details of exemptions or exemption refusals Location of Employment Item 9 of Form 33 109F4 Business location where the individual will be doing most of her his business Current Employment Item 10 of Form 33 109F4 Details of current employment with sponsoring firm including information regarding other business activities or employment for gain Previous Employment Item 11 of Form 33 109F4 101 m n 0 p q r NRD Filer Manual Details of previous employment including name and address of employers and name and title of immediate supervisors Resignations and Terminations Item 12 of Form 33 109F4 Information regarding previous resignations and terminations with other firms and whether there was a termination or resignation for cause Regulatory Disclosure Item 13 of Form 33 109F4 The individual s answers to the re
258. struments National Instrument 31 102 National Registration Database and National Instrument 33 109 Registration Information NRD User Guide 117 National Registration Database NRD or the system the electronic database containing registration information for dealers advisers underwriters and individuals registered under securities or commodity futures legislation in Canada or who are otherwise required by such legislation to submit registration information to regulators NRD is also the system used by firms and individuals to electronically submit certain applications notices and other registration information to regulators NRD account the account designated by your firm from which submission fees annual registration fees and NRD user fees will be paid with respect to NRD by electronic pre authorized debit NRD administrator The NRD administrator is CDS INC or a successor appointed by the regulators the legal entity responsible for the operation of NRD NRD number a unique number assigned by the system in order to identify a firm individual business location or submission in NRD NRD submission the NRD term for registration related information that is prepared and submitted to regulators under Canadian securities legislation commodity futures legislation or IIROC requirements using NRD NRD submissions are the NRD equivalent of the forms and other documents that registrants filed or delivered in paper format
259. t one numeric character It is not case sensitive Enter Current Password Enter New Password Re Enter New Password Save amp Continue gt gt Reset See Set Up Users in Chapter 8 Administrative Tools for more details on first time logins If you do not have a user ID and password and PIN if you are a chief AFR or if you are not able to log in to the system using your user ID and password and PIN if applicable contact one of the following for assistance gt if you are the chief AFR for your firm contact the CDS INC Help Desk at 1 800 219 5381 gt if you are an AFR administrator for your firm you should contact the chief AFR for your firm gt if you are an AFR for your firm you should contact either the chief AFR or an AFR administrator for your firm gt if you are an individual that is completing an initial application using NRD you should contact the AFR who provided you with your user ID and password for accessing NRD If you are not able to log in to the system using your user ID and password and PIN if applicable contact the CDS INC Help Desk at 1 800 219 5381 NOTE If you make three unsuccessful login attempts within a thirty minute period your access to the system will be frozen If you get locked out contact the CDS INC Help Desk for assistance B Navigating the NRD website Once you have successfully logged in to the system the task menu is displayed AFRs w
260. taking when the error occurred including what screen you were using and the function you were trying to perform e g entering data searching etc Vv the time and date when the error occurred 1 a detailed description of any error message If possible use your computer s print screen function to print the error message screen Copy it to a Word document to email to the helpdesk gt operating systems Windows 95 2000 NT4 v If you are e mailing the Help Desk please ensure your message includes your contact name and phone number NRD Filer Manual f 2 E Registration functions you can perform using NRD NRD was designed primarily to facilitate the submission and storage of registration information relating to individuals Although NRD allows you to perform registration functions on behalf of both firms and individuals most of the registration functions you can perform using NRD relate to individuals 1 NRD Filer Manual Functions related to Firm information Using NRD you may perform the following firm functions on line gt gt notify regulators of the opening and closing address change status change and location supervisor change of business locations of your firm Head office changes in paper view information including historical data regarding your firm legal name other names Head Office details jurisdictions in which the firm is registered and registration categories terms and con
261. that account at the time of submission This is the case whether or not the NRD account is an account in the name of your firm or in the name of a third party NRD has been designed to calculate fees and create an EFT file for transmission to the Bank of Montreal BMO for collection and distribution to the applicable regulators and or NRD administrator Some firms such as foreign advisers may seek exemption from EFT on NRD Contact the regulator in the jurisdiction where you intend to do business for more information Contact information is maintained at http nrd info ca en contact htm 1 NRD Filer Manual Payment status definitions a b c d e f Created The payment has been acknowledged by the AFR who completed and sent to regulators the submission in question and is being processed Exchanged The payment has been successfully picked up through the EFT process and an EFT file has been created to be sent to BMO for processing The status Exchanged represents the day the particular transaction is posted on the firm s account Reconciliation should always be done using the Exchanged status Paid The payment has been successfully processed the amount acknowledged by the AFR who completed the submission in question has been debited from the firm s NRD account NOTE In circumstances where there has been a Returned payment Paid is still used to indicate that the transaction is complete
262. the firm could damage disable overburden or impair NRD or the NRD website or interfere with any other person s use of NRD or the NRD website The firm shall not use any robot spider or other automatic device software program or manual process in a manner that interferes with any web pages on NRD the NRD website or Linked Sites 3 Payments The firm agrees to pay to the NRD administrator all NRD enrolment fees NRD submission fees NRD annual filer fees and other fees and charges for services plus applicable taxes duties and other levies as such fees and charges are set out in the NRD Filer Manual a regulator notice or this Agreement In the case of NRD submission fees NRD annual filer fees and other fees or charges approved by the CSA or set out in the NRD Filer Manual such fees and charges shall be paid in NRD by electronic pre authorized debit using the NRD account The firm acknowledges that electronic payments for the firm may be authorized by any of the AFRs It is the firm s responsibility to ensure that the NRD account stays current and available for electronic payments of NRD fees and charges payable to the NRD administrator as those NRD fees and charges become due The firm agrees to cease initiating or authorizing electronic payments from the NRD account immediately upon revocation or cancellation by the NRD account holder of the NRD account holder s NRD Form 3 The firm agrees to pay interest to the NRD administrator on all unp
263. the lead jurisdiction will require the applicant to provide the following supporting documents Financial Disclosure Item 16 of Form 33 109F4 Form 33 506F4 Item 16 includes the following 4 sections a Item 16 1 a Bankruptcy If the applicant or registrant has ever declared personal bankruptcy the applicant or registrant must submit a Statement of Affairs to the regulator If the applicant or 17 b c d e registrant has been discharged from the bankruptcy the applicant or registrant must also submit a copy of the discharge to the regulator Item 16 1 b Bankruptcy If the applicant or registrant has made a proposal under legislation relating to bankruptcy or insolvency the applicant or registrant must submit a copy of the proposal and a Statement of Affairs Item 16 1 c Bankruptcy If the applicant or registrant has been subject to proceedings under any legislation relating to the winding up dissolution or companies creditors arrangement the applicant must submit documentation relating to these proceedings Item 16 1 d Bankruptcy If the applicant or registrant has been subject to or instituted any proceedings arrangement or compromise with creditors the applicant must submit documentation relating to these proceedings Item 16 2 Solvency Regulators will have the discretion to request a supporting document based on the disclosure provided by the applicant or registrant
264. the site or any content goods or services sold or made available on or through the site or any association with its operations Use of any Linked Sites is entirely at the firm s own risk Nothing in this Agreement grants the firm any rights or authorization with respect to any Linked Sites 9 Governing Law If the head office of the firm is situated in a jurisdiction in which the Instrument has been enacted this Agreement shall be governed by and the firm submits to the applicable laws in force in the province of the head office of the firm and the laws of Canada applicable therein Otherwise this Agreement shall be governed by and the firm submits to the laws in force in the province where the head office of the NRD administrator is located and the laws of Canada applicable therein 10 Modification of Agreement Subject to the approval of the CSA the NRD administrator may modify this Agreement at any time s by either posting notice of such modified agreement on the NRD website or by delivering a notice and copy of such modified agreement to the firm and the firm agrees that it is deemed to have accepted such modification as is in effect at the time if after such time the AFRs and or individual filers continue to access and use the NRD website In the event of the foregoing the firm agrees that it shall be bound by the provisions of the modified Agreement notwithstanding the lack of a manual signature of the firm upon any amended agreem
265. tial Registration submission because the original is deficient and has been Withdrawn then you may proceed Otherwise before proceeding with the submission you should investigate the possibility that you are about to create a duplicate individual i e a second NRD number for a single individual who is already active on the system Steps to follow gt Perform an Individual Search to see if the individual already exists with your firm on the National Registration Database gt Perform an Individual Submission Search You or another AFR at your firm may have begun or even completed an Initial submission for this individual gt If you still can t find the individual in question contact the regulator for assistance since this individual might already be associated with another firm If you can determine that the individual you are trying to create an Initial submission for is indeed not a duplicate already recorded on the system you may proceed with the submission However when in doubt please contact your regulator who can help you confirm that you are not creating a duplicate record NRD User Guide 139 Preliminary Screens Once you are logged in to the system click Individual Submission on the main navigator or on the Task Menu INDIVIDUAL FIRM IRK IN SENT ADMIN SULEST SUBMISSION wW TO FIRM SE PROGRESS REGULATORS INFORMATION TOOLS 33070 Dargan Cataliers Task Me Initial Amendment Notice
266. ties or conditions about the accuracy reliability completeness currency quality timeliness or usefulness of the NRD website or any goods information or service provided through the NRD website The NRD administrator and the Related Parties are not responsible for nor do they independently verify any of the content nor do they assume any obligation to update content or advise on further developments relating to NRD The firm should not assume that NRD will be error free timely accurate and complete or that NRD will operate without interruption In no circumstances shall the NRD administrator and the Related Parties or other third parties mentioned on the NRD website be liable for any indirect special incidental consequential or punitive damages or damages for lost profits arising out of or in connection with this Agreement or the use of or inability to make use of the NRD website the content or any service provided through the NRD website whether based on warranty contract tort negligence or any other legal theory irrespective of notice To the extent that some jurisdictions do not allow exclusions or limitations on some categories of damages these exclusions or limitations may not apply to the firm Notwithstanding the express exclusions and limitations set out in this Agreement any and all liability of the NRD administrator and the Related Parties for actual and direct damages unless caused by the gross negligence or wilful misconduct
267. tment is being revoked will be terminated with respect to the relevant firm Revoking the appointment of a person as a chief AFR for one firm does not affect that person s status as a chief AFR for other firms A chief AFR can change her his own password using Change Password and can change her his own contact information using Maintain Users on NRD but to update her his own name s he must complete a new NRD Form 1 and 2 in paper format and submit it to the NRD administrator along with proof of name change It is the firm s responsibility to ensure that the NRD Administrator is advised of any changes to the Chief AFR s contact information If the user id of a Chief AFR needs to be revoked outstanding submissions in their Work In Progress must be reassigned gt Search for submissions by name of old CAFR current instead of all gt New CAFR reassign submissions of old CAFR using local navigator NRD Filer Manual 30 CHAPTER 5 FEES COLLECTED THROUGH NRD Chapter Outline This chapter describes the payment of fees by way of electronic pre authorized debit This chapter introduces the concepts of an NRD account and the authorization by an AFR of fee payments through NRD A Payment of submission fees annual registration fees and annual NRD user fees The fees payable by Firms include regulatory fees and fees for the use of NRD They are 1 Submission Fees Applications for registration notice
268. treet Toronto Ontario Branch Select a firm submission to view more specific details Open a Location Location Address Information Change Close a Location Location Supervisor Change Annual Fee Exclusion Reversal Location Status Change NRD User Guide 124 4 Open a Location 1 Login The system presents the task menu Select Firm Submission from the main navigator or the Task Menu From the list of Firm submission types select Open a Location 2 The system presents a list of the jurisdictions in which your firm is registered or applying to be registered Select the province or territory in which you wish to open a location 3 The system presents the form required for opening a location Information required includes the NRD number of the individual who will act as branch manager or supervisor location type branch or sub branch as well as address and contact information for the new location When the form is completed click Save amp Continue at the bottom of the page Click Add Another if you wish to open additional locations in the selected jurisdiction as part of the same submission Clicking Reset will clear all fields to the values of the last successful save If you exit the system or are interrupted during the preparation of the submission you may retrieve the submission from your Work in Progress tab on the main navigator The submission is preserved up to the last successful save TIP You can open multiple lo
269. ts Change or Surrender of Individual Categories Apply for an Exemption Individual Submissions Notices Notice of Termination Update Correct Termination Information Individual Name Change Residential Address Change Personal Information Change Citizenship Information Change Address and Agent for Service Change Proficiency Information Change Exemption Refusal Information Change Employment Location Change Current Previous Employment Change Resignations and Terminations Change Regulatory Disclosure Change Criminal Disclosure Change NRD User Guide 121 Civil Disclosure Change Financial Disclosure Change Ownership of Securities and Derivatives Firms Change NRD User Guide 122 A Firm Submissions Preliminary Screens Once you are logged in to the system click Firm Submission on the main navigator or on the Task Menu ADMIN TOOLS INDIVIDUAL SUBMISSION WORK IN PROGRESS SENT TO FIRM REGULATORS INFORMATION SEARCH 33070 Dargan Cataliers Open a Location Location Address Information Change Close a Location Location Supervisor Change Location Status Change Annual Fee Exclusion Reversal INDIVIDUAL SUBMISSION SEARCH WORK IN PROGRESS SENT TO REGULATORS FIRM INFORMATION ADMIN TOOLS Select the desired notice type by clicking on the hyperlink for that type For every firm notice type the system presents a list of jurisdictions in which your fir
270. type allows you to give notice of a change to legal and other name information that was previously submitted for an individual iv Residential Address Change Item 2 of Form 33 109F4 This submission type allows you to give notice of a change to the residential address information that was previously submitted for an individual This notice also permits you to correct Previous Residential information already on the permanent record v Personal Information Change Item 3 of Form 33 109F4 This submission type allows you to give notice of a change to the personal description information eye and hair colour weight and height that was previously submitted for an individual Personal information such as date and place of birth can also be corrected vi Citizenship Information Change Item 4 of Form 33 109F4 This submission type allows you to give notice of a change to the citizenship information that was previously submitted for an individual vii Address or Agent for Service Change Item 7 of Form 33 109F4 This submission type allows you to give notice of a change to the address and agent for service information that was previously submitted for an individual viii Proficiency Information Change Item 8 of Form 33 109F4 This submission type allows you to give notice of a change to the proficiency information that was previously submitted for an individual ix Exemption Refusal Information Change Item 8 of Form 33 109
271. u will receive an error message instructing you to narrow your search criteria If no date appears in the Date Submitted column it indicates that the submission is in WIP and has not yet been submitted to Regulators Hyperlinks for viewing information To view the details of a particular search result click the hyperlinked portion of that search result The hyperlink will be the last name of an Individual the submission type of a Firm or Individual submission and the NRD number of a Location C Viewing information on NRD You may view information on NRD regarding your firm individuals associated with your firm firm and individual submissions made by AFRs for your firm and locations of your firm along with historical data associated with any of these 1 NRD Filer Manual Individual information Permanent Record NRD allows you to view an individual s current and historical registration information Form 33 109F4 information This information consists of the following a Name Item 1 of Form 33 109F4 The full legal name of the individual information regarding other names used by the individual and historical data for both 99 NRD Filer Manual b c d e f Residential Address Item 2 of Form 33 109F4 The individual s residential address information for at least the past 10 years including current residential telephone number Personal Information Item 3 of Form 33 109F4 Th
272. ual s registration to another firm has been approved by the Regulator and a Notice of Termination with the previous firm has not been submitted and or approved by the regulator gt Suspended Employment Termination gt The status of Suspended Employment Termination is given when an individual has terminated employment with their sponsoring firm gt Suspended Surrender 100 NRD Filer Manual g h i Gj k Y gt This status applies to an individual who has surrendered their categories of registration in the jurisdiction but remain registered in at least one other jurisdiction gt Suspended Bulk Annual Fee Exclusion gt The status of Suspended Annual Fee Exclusion is given to an individual identified as not renewing their registration by the sponsoring firm including them in the Annual Fee Exclusion submission This status is given on December 31st The sponsoring firm must either file the Change or Surrender of Individual Categories or the Notice of Termination for an individual with this status if not already submitted gt Suspended Bulk Transfer gt Terminated Regulatory Action Individual gt This status is given when the regulator has terminated the individual s registration gt Terminated Regulatory Action Firm gt This status applies to an individual when the regulator has terminated a firm for either regulatory violations or the firm has requested their regi
273. ue The system verifies that you have entered all required data and guides you through the Complete Submission process Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NOTE How to record Maternity Leave and Long Term Disability LTD Regulators do not suspend individuals on maternity parental or disability leave Also it is not mandatory for firms to advise the regulators of Short Term Disability for licensed registered and non licensed approved individuals who do not hold supervisory positions However firms are required to notify regulators of Short Term Disability for individuals who hold supervisory positions i e Compliance Officers Branch Managers This notification may be submitted to the regulators by way of a NRD submission or in writing To indicate Maternity Leave or Disability use this notice to change Current Employment information as follows gt Change the employment details to indicate the individual is on leave gt Change the working hours to read 1 this is a mandatory field and zero 0 is not permitted In text field a provide a short description of the nature of your leave including the effective date and expected return date For example Maternity leave effective January 15 2004 expected return January 2 2005 NRD User Guide 173 TIP For applicants working from a branch or sub bran
274. ugh the Complete Submission process NRD User Guide 153 2453781 Green Richard 33070 Dargan Cataliers Item 1 Individual Name Change Last Name Green First Name Richard Second Name N A O Allen Third Name N A Provide reason for name change Add Second Name Effective Date 2009 4 09 20 YYYY MM DD Are you currently or have you ever been known by any names other than your full legal name above for example nicknames or names due to marriage Yes Are you currently or have you ever used operated under or carried on business under any name other than the name s mentioned above for example trade names for sole proprietorships or team names Yes Note The individual s permanent record will not be updated with this information until the submission has been approved by Regulators NRD User Guide 154 13 NOTICE Residential Address Change 1 On the Main Navigator click the Individual Submission tab and select Notice from the list of submission types 2 Select Item 2 Residential Address Change from the list of Notice types The system displays a search screen on which to identify the individual whose residential address is to be changed Enter that individual s NRD number and click Continue 3 The system retrieves the residential address information corresponding to the individual NRD number entered Verify that you hav
275. ulator when you retrieve the firm s or individual s Permanent Record and see the changes there You may also perform a search on the relevant submission and view the Submission History which indicates whether regulators have accepted the information you submitted For an individual the Permanent Record will initially consist of the information submitted on Form 33 109F4 after regulators process and accept the information For a firm the Permanent Record will initially consist of certain information filed in paper format on the firm s initial application for registration on Form 3 together with business location information for that firm submitted to regulators using NRD after the application is approved by regulators The Permanent Record for both individuals and firms can be amended through later submissions Any changes to the Permanent Record are reflected as historical information NRD Filer Manual 14 NRD Filer Manual Searching for and viewing information in the Permanent Record for a firm or individual is described in Chapter 9 Searching and Viewing Information on NRD An overview of the information you can find in the Permanent Record for firms and individuals is provided below For a more detailed description please see Chapter 9 Firm information Permanent Record The Permanent Record of your firm does not contain most of the information that your firm is required to disclose to regulators on its initial applic
276. utures Act Registration Information Further details on the Instruments and NRD can be found in Companion Policy 31 102CP Companion Policy 33 109CP and the NRD Filer Manual NRD was also created to facilitate the electronic payment of fees using the NRD website located at www nrd ca NRD is an initiative of the participating Canadian securities regulatory authorities collectively the CSA and the Investment Industry Regulatory Organization of Canada The use of NRD and the NRD website by or on behalf of the firm is subject to NRD Form 1 and the following terms and conditions of use agreed to between the NRD administrator and the firm the Agreement l Firm Responsibilities Following completion of enrolment in NRD in accordance with the NRD Filer Manual a firm s authorized firm representatives and individual filers may access and use the NRD website only by the provision of a valid user ID password and if applicable a personal identification number A firm s authorized firm representatives consist of the chief AFR appointed by the firm any AFR administrators appointed by the chief AFR and any other AFRs appointed by the chief AFR or by an AFR administrator collectively the AFRs Only AFRs may use NRD on behalf of the firm to make NRD submissions and electronic payments of fees For the purposes of the firm s NRD submissions the firm shall ensure that a only its AFRs and individual filers will be permitted access to and use of the
277. vidual 145 NRD User Guide applicant who will then login to NRD As with any new or reset user ID this user must change her his password upon the first login Create Individual Applicant Confirmation Name Stevenson Alec Legal Firm Name Kapuskasing Securities Inc A aleurs mobili res de Kapuskasing Inc Firm NRD No 20240 Individual NRD No 819751 User ID STEWYE0011 Password grdbmwgy Role Individual Applicant Password must be changed the first time you fog in Printable Page After the individual s successful login the system presents the Individual task menu The inidividual has access only to the submission and admin tools PRIVACY STATEMENT HELP FRANCAIS LOGOUT INDIVIDUAL ADMIN SUBMISSION TOOLS 819751 Stevenson Alec 20240 Kapuskasing Securities Inc Valeurs mobili res de Kapuskasing Inc Individual Submission Admin Tools Under Admin Tools the individual can change her his password NRD User Guide 146 INDIVIDUAL ADMIN SUBMISSION TOOLS 819751 Stevenson Alec 20240 Kapuskasing Securities Inc Task Menu Change Password Click Individual Submission to work on the Initial The local navigator and submission content is identical to what an AFR would see except for the absence of the Reassign button INDIVIDUAL ADMIN SUBMISSION TOOLS INITIAL 819751 Stevenson 20240 Kapuskasing Securities Inc valeurs mobili res de
278. y In addition to the information required in the paragraph above if you were employed or had business activities in the securities or derivatives industry or both during and before the 10 year period disclose all your securities and derivatives or both employment or business activities both before and during the 10 year period LI Unemployed O Full time student LI Employed or self employed From YYYY MM To YYYY MM Complete the following only if you are or were employed or self employed during this period Name of business or employer Address of business or employer number street city province territory or state country Name and title of immediate supervisor if applicable Describe the firm s business your position duties and your relationship to the firm If you are seeking registration in a category of registration that requires specific experience include details of that experience Examples include level of responsibility value of accounts under direct supervision number of years of that experience and research experience and percentage of time spent on each activity Reason why you left the firm NRD User Guide 223 SCHEDULE Resignations and terminations Item 12 Item 12 1 For each allegation of violation of any statutes regulations rules or internal external standards of conduct state below 1 the name of the firm from which you resigned were terminated or dismissed for cause
279. y NRD Form 1 completed by the firm when delivered to the NRD administrator The names completed in section of this form must match the names completed in section 2 of NRD Form 1 D The personal identification number referenced in section 3 of this form is to be kept strictly confidential For security reasons the chief AFR may choose to return this completed form together with NRD Form 1 if required under C above to the NRD administrator on behalf of the firm E Return this form by prepaid mail or personal delivery to the NRD administrator at the address above or if this form is accompanied by an amended NRD Form 1 as required under C above it may be returned to the NRD _ administrator by fax to 1 866 729 8011 or by e mail to nrdadministrator cds ca in both cases to such other address fax number or e mail address as may be provided on the NRD website Section 1 Chief AFR Information Last name First name Second name Third name Direct phone number Fax number E mail address C C Extension if applicable NRD User Guide 192 Section 2 Firm Information Legal name of the firm that has appointed the chief AFR Firm NRD number if firm has previously enrolled and is changing the chief AFR or any chief AFR information Section 3 Personal Identification Number Select four to six numbers not beginning with zero as the unique confidential personal identification number PIN of the chief AFR The PIN will b
280. y unauthorized use reproduction modification or distribution of the proprietary content is strictly prohibited and may cause the NRD administrator serious damages for which money damages may not constitute a sufficient remedy and in such instances the NRD administrator may seek and obtain injunctive relief in addition to any other remedies 5 Privacy Personal information contained in NRD is governed by privacy laws including without limitation the federal Personal Information Protection and Electronic Documents Act and corresponding provincial privacy legislation The firm is fully responsible for compliance with all privacy laws The NRD website is subject to the terms of the NRD administrator s Privacy Statement which can be viewed at the NRD website 6 Limitation of Liability and Disclaimers Access to and use of the NRD website is provided on an as is and as available basis The firm s use of the NRD website is entirely at its own risk To the fullest extent permitted by law except as stated in this Agreement the NRD administrator and any of its affiliates employees agents officers contractors directors or third party providers collectively Related Parties disclaim all warranties representations or conditions of any kind whether express or implied including the implied warranties or conditions of merchantability and fitness for a particular purpose The NRD administrator and the Related Parties make no representations warran
281. yammyop C Excel Comma separated Values CSV Generate Report Reset The Report by Submission arranges data as follows gt gt gt gt v NRD Filer Manual Submission NRD Number Type NRD Number and Name of Firm or Individual to whom the submission pertains AFR who made the submission to regulators thereby authorizing the EFT Fee Submission Date Payment Type Record Type C Credit D Debit Amount and Status Created Exchanged Paid Returned Rejected It is advisable to perform reconciliations using the Exchanged status dates rather than the Paid dates EFT Identifier Number EFT Process Date 78 NRD Report Time Run Date Run Who Requested Report Name of Repert Submission Type Fee Submission Date Fee Status Firm NRD No Submission Information Type 67157 Initia Registration gi 67260 Reactivation of Registration Reactivation of Registration 1 13 22pm 20040506 Lynne Lynnedebin Recondiliation Report by Submission All From 2004 04 01 to 2004 05 06 All 21550 Applicant Information NRD No Firm Name OR Last Name st Name 1325341 Gu wemont 21550 Soci t Gu vremont Inc 890961 Allen Fee Submitter Fee Submission Last Name First Name Payment Record Amount Type Type Lynnedebin 4192004 m oe 133 75 N 133 75 iene al i 49 2004 initial Payee Lice Soci t Gu vremont Ine 00 British Columb
282. ypes The system displays a search screen on which to identify the individual whose related securities information is to be changed Enter that individual s NRD number and click Continue 3 Verify that you have retrieved the record of the correct individual 4 The system displays the question regarding ownership of securities and derivatives firms See Item 17 in Form 33 109F4 for the full text of the questions and forms that follow If the individual has previously answered Yes the system displays the message You have previously provided disclosure for this item Click Save amp Continue to update the information If the individual has previously answered No the Yes and No radio buttons are displayed with the No button selected You must change the selection to Yes and click Save amp Continue to proceed with the submission SUBMISSION SUBMISSION IES PROGRESS REGULATORS INFORMATION TOOLS Ed Derivatives Fims 2453781 Green Richard 33070 Dargan Cataliers Item 17 Ownership of Securities and Derivatives Firms Change Are you now or have you ever been a partner or major shareholder of any firm including your sponsoring firm whose business is trading in or advising on securities or derivatives or both You have previously provided disclosure for this question Save amp Continue gt gt 5 The system presents a list of related securities firms previously disclosed Or if
283. ys after December 31 gt Change or Surrender of Individual Categories or gt Notice of Termination NRD User Guide 136 6 Location Status Change 1 From the Main Navigation bar click the Firm Submission tab and select Location Status Change from the list of Firm Notices 2 The system displays a list of jurisdictions in which the firm is currently registered Select a province or territory by clicking on the province or territory where the firm wishes to change a location type SA The system presents a search form for the jurisdiction selected You may search by the location s NRD Number by location type Branch or Sub Branch the Branch manager s NRD Number or by elements of the location address Address Contains and City Click Search to view the results Select the desired location by clicking on the hyperlink of that location s NRD number 4 The system displays the current record for the selected location Verify that this is the correct location and click the Change in Location Type button If this is not the correct location you may click Cancel to return to the location search page 5 The system displays the form to change the location type Change the location type in the drop down menu at the top of the page and enter an effective date for the change The effective date must be a past or current date Click Save amp Continue to proceed The system verifies that you have entered all required
284. zed to access the system to complete a submission registered individuals individuals who are registered to trade or advise on behalf of a registered firm regulators provincial and territorial securities regulatory authorities and the Investment Industry Regulatory Organization of Canada IIROC registration instruments collectively the National instruments and Ontario and Manitoba Rule 33 506 Commodity Futures Legislation Registration Information set up the NRD administrator s input on NRD of initial information about your firm the enrolment of a firm on NRD this also refers to the establishing of AFR users on the system the act of providing a user ID and password to a person in order to give that person access to NRD as a chief AFR AFR administrator or an AFR for a firm NRD User Guide 119 single jurisdiction submission types submission types that can only be filed in one province or territory e g submission to open a location sub branch a location of your firm other than your firm s Head Office or branch in a province or territory that is supervised by a supervisor that is working out of another location submission see NRD submission submission fees fees prescribed by applicable securities or commodity futures legislation and or required under IIROC by laws in each province and territory of Canada in connection with submissions submission type on NRD submission types are d

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NATIONAL REGISTRATION DATABASE (NRD™) USER GUIDE