Transfert de l’inscription à une autre entreprise

Individuals may automatically transfer their registration from one sponsoring firm to another sponsoring firm if:

• both firms are in the same jurisdiction
• the individual is seeking to transfer between sponsoring firms without changing categories of registration
• the individual joins the new sponsoring firm within 90 days of leaving the former sponsoring firm
• there have been no changes to the information submitted in Items 13 through 16 of the individual’s Form 33-109F4 Registration of Individuals and Review of Permitted Individuals, other than 13.3a, since the individual left their former sponsoring firm
• the individual was not dismissed, asked to resign, or did not resign voluntarily by the former sponsoring firm following an allegation against the individual of criminal activity, a breach of securities legislation, or a breach of the rules of a self-regulatory organization (SRO)

If these conditions are met, the individual must complete Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals and the sponsoring firm must submit the form through the National Registration Database (NRD). A fee does not apply to automatic transfers.

Individuals who do not qualify for an automatic transfer must:

• apply to have their registration reinstated using Form 33-109F4, if their registration has been suspended
• submit an application, if their registration has been revoked
• pay applicable fees