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 2900 This link will open in a new window.

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 2900 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.