Frequently Asked Questions

How do I obtain my NRD number?
Every individual who applies for registration through NRD is assigned a unique NRD number. This number does not change and remains associated with the individual for all NRD filing purposes.

If your working location is in Manitoba and you require your NRD number, please email: Please include your full legal name, date of birth date and previous employer information.

How do I choose a dealer or an adviser?
Choosing the right adviser is an important process. Some helpful tips can be found in our Investing Basics, Getting Started brochure.

What courses do I need to become registered?
Certain courses are required for the different categories of registration. A list of the required courses can be found under Part 3.4 of NI 31-103.

How long are my courses valid?
For time limits on examination requirements, refer to Part 3.3 of NI 31-103.

Do I need to file a Criminal Record Check with my application?
Yes, all Manitoba residents need to file a Criminal Record Check with their application for registration.

How much does registration cost?
$300 to become registered as an individual sponsored by a firm;
$750 to become registered as a firm under Part 7 of NI 31-103;
$1,000 to become registered as a firm under The Commodity Futures Act.

For other registration fees, refer to the Fees section. For NRD system and submission fees, please visit

Who do I notify if I move?
If you are moving residence, you must notify your compliance officer immediately. Firms have 10 days in which to notify the regulators of a residential address change. For more information, see Appendix A of CP 33-109.

Can I obtain copies of my Notice of Termination?
Copies of your Notice of Termination are to be provided by your former sponsoring firm, as set out in Part 4.1 of CP 33-109.

Who do I contact if I have problems completing an NRD submission?
If you are having difficulty completing an NRD submission, please notify your firm’s Authorized Firm Representative.

How do I find out if a firm or individual is registered with The Manitoba Securities Commission?
The National Registration Search contains the names of all registrants (individuals and firms) in Canada, with the exception of those registered solely with the Ontario Securities Commission.  Click here to search the National Registration Database.

What are the responsibilities of the Ultimate Designated Person?
The responsibilities of the Ultimate Designated Person are outlined under Part 5.1 of NI 31-103.

What are the responsibilities of the Chief Compliance Officer?
The responsibilities of the Chief Compliance Officer are outlined under Part 5.2 of NI 31-103.
Please refer all questions to