National Registration Database 101

This seminar will provide a general overview of the National Registration Database (NRD) online system.  This will include a presentation on how to navigate the system and an introduction to:

• the most common types of submissions which are filed on the system for the regulators’ review,
• the most common types of reports which can be generated, and
• how fees are submitted.

This seminar will also identify common NRD issues encountered as well as provide general tips on completing and filing NRD submissions.

A separate webinar regarding amendments to NI 33-109 – Registration Information published in December 2021 and related NRD implementation topics will be held on March 1, 2022.

Who should attend

• Ultimate designated persons and chief compliance officers
• Authorized firm representatives such as compliance officers, administrative staff, operational staff, registration officers, compliance consultants and internal / external legal counsel of registrants

Why should you attend

• Gain an enhanced understanding and become more familiar with using NRD
• Troubleshoot common NRD issues
• Obtain general tips on how to file various submissions and how to generate reports