The securities division of The Manitoba Securities Commission protects investors and promotes fair and efficient capital markets throughout the province by conducting operations including registrations, processing of applications and prospectuses, preparing matters for the referral to the Commissioners and conducting investigations, prosecutions and other hearings.
It is important that businesses and the public be able to search for the registration status of people working in Manitoba in securities, real estate and financial institutions. Being registered means these individuals have completed the requirements needed to be granted registration status.
Securities: The National Registration Search allows the public to search the names of all registered individuals and firms in Canada. Click here to access the National Registration Search.
Securities Registration FAQs
1. How do I obtain my NRD number?
Every individual who applies for registration through the National Registration Database is assigned a unique NRD number. This number does not change. Use it for all NRD filing purposes.
If your working location is in Manitoba and you require your NRD number, please email registrationmsc@gov.mb.ca. Please include your full legal name, date of birth, and previous employer information.
2. How do I choose a dealer or an adviser?
Choosing the right adviser is an important process. You can find helpful tips in our Investing Basics, Getting Started brochure.
3. What courses do I need to become registered?
Certain courses are required for the different categories of registration. View a list of the required courses under Part 3.4 of National Instrument 31-103.
4. How long are my courses valid?
For time limits on examination requirements, refer to Part 3.3 of National Instrument 31-103.
5. Do I need to file a Criminal Record Check with my application?
Yes, all Manitoba residents must file a Criminal Record Check with their application for registration.
6. How much does registration cost?
- $300 to register as an individual sponsored by a firm
- $750 to register as a firm under Part 7 of National Instrument 31-103
- $1,000 to register as a firm under The Commodity Futures Act
For other registration fees, refer to the Fees section. For NRD system fees information and submission fees, please visit NRD-Info.ca
7. Who do I notify if I move?
If you move, you must notify your compliance officer immediately. Firms have 15 days to notify the regulators of a residential address change. For more information, see Appendix A of Companion Policy 33-109.
8. Can I obtain copies of my Notice of End?
Your former sponsoring firm must provide copies of your Notice of End, as set out in Part 4.1 of Companion Policy 33-109.
9. Who do I contact if I have problems completing an NRD submission?
If you are having difficulty completing an NRD submission, please notify your firm’s authorized firm representative.
10. How do I find out if a firm or individual is registered with the Manitoba Securities Commission?
The National Registration Search contains the names of all registrants (individuals and firms) in Canada. Click here to search the National Registration Search.
11. What are the responsibilities of the ultimate designated person?
The responsibilities of the ultimate designated person are outlined under Part 5.1 of National Instrument 31-103.
12. What are the responsibilities of the chief compliance officer?
The responsibilities of the chief compliance officer are outlined under Part 5.2 of National Instrument 31-103.
If you have any other questions, email registrationmsc@gov.mb.ca.