Dealing Representative of an Exempt Market 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

One of the following two conditions must apply:

or

Step 2: Enrol in the NRD

The employer submits the registration form via the NRD This link will open in a new window.

Chief Compliance Officer of an Exempt Market 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

One of the following two conditions must apply:

Step 2: Enrol in the NRD

The employer submits the registration form via the NRD This link will open in a new window.