Dealing Representative of an Investment Dealer
Regulation 31-103 respecting Registration Requirements and Exemptions sets out the minimum education and experience requirements for each registration category.
To obtain a representative's certificate, the future professional must:
Step 1: Meet the education and experience requirements
The Investment Industry Regulatory Organization of Canada (IIROC This link will open in a new window) defines the proficiency requirements for the dealing representative's members. For further information on proficiency and education requirements, consult IIROC rule 2600
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Step 2: Enrol in the NRD
The employer submits the registration form via the NRD This link will open in a new window.
Exceptions
Entente France-Québec (Information available in French only)
Dealing Representative of a Restricted Dealer
Regulation 31-103 respecting Registration Requirements and Exemptions sets out the minimum education and experience requirements for each registration category.
To obtain a representative's certificate, the future professional must:
Step 1: Meet the education and experience requirements
The authority concerned determines, on a case-by-case basis, the education and experience required to register as a dealing representative of a restricted dealer.
Step 2: Enrol in the NRD
The employer submits the registration form via the NRD This link will open in a new window.
Derivatives dealing representative (IIROC only)
To register as a representative, the future professional must:
Step 1: Meet the education and experience requirements
The Investment Industry Regulatory Organization of Canada (IIROC This link will open in a new window) defines the proficiency requirements for its members' derivatives dealing representatives.
For further information on proficiency and education requirements, consult IIROC rule 2600 This link will open in a new window.
Step 2: Enroll in the National Registration Database (NRD)
The employer submits the enrollment form via the NRD This link will open in a new window.