{"id":185,"date":"2025-12-29T18:49:19","date_gmt":"2025-12-29T18:49:19","guid":{"rendered":"http:\/\/hykaz.net\/securities\/registration\/faqs\/"},"modified":"2026-02-26T17:05:04","modified_gmt":"2026-02-26T17:05:04","slug":"faqs","status":"publish","type":"page","link":"https:\/\/hykaz.net\/fr\/securities\/registration\/faqs\/","title":{"rendered":"FAQs"},"content":{"rendered":"<p class=\"wp-block-paragraph\"><strong>Securities Registration FAQs<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>1. How do I obtain my NRD number?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">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.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">If your working location is in Manitoba and you require your NRD number, please email&nbsp;<a href=\"mailto:registrationmsc@gov.mb.ca\">registrationmsc@gov.mb.ca<\/a>. Please include your full legal name, date of birth, and previous employer information.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>2. How do I choose a dealer or an adviser?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Choosing the right adviser is an important process. You can find helpful tips in our Investing Basics, Getting Started brochure.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>3. What courses do I need to become registered?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Certain courses are required for the different categories of registration. View a list of the required courses under Part 3.4 of\u00a0<a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/521225\/1\/document.do\" target=\"_blank\" rel=\"noreferrer noopener\">National Instrument 31-103<\/a>.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>4. How long are my courses valid?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">For time limits on examination requirements, refer to Part 3.3 of National Instrument 31-103.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>5. Do I need to file a Criminal Record Check with my application?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Yes, all Manitoba residents must file a\u00a0<a href=\"http:\/\/hykaz.net\/fr\/form\/criminal-record-check-form\/\" target=\"_blank\" rel=\"noreferrer noopener\">Criminal Record Check<\/a>\u00a0with their application for registration.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>6. How much does registration cost?<\/strong><\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>$300 to register as an individual sponsored by a firm<\/li>\n\n\n\n<li>$750 to register as a firm under Part 7 of National Instrument 31-103<\/li>\n\n\n\n<li>$1,000 to register as a firm under&nbsp;<em>The Commodity Futures Act<\/em><\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">For other registration fees, refer to the\u00a0<a href=\"http:\/\/hykaz.net\/fr\/securities\/registration\/fees\/#focus\" target=\"_blank\" rel=\"noreferrer noopener\">Fees<\/a>\u00a0section. For NRD system fees information and submission fees, please visit NRD-Info.ca<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>7. Who do I notify if I move?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">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.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>8. Can I obtain copies of my Notice of End?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Your former sponsoring firm must provide copies of your Notice of End, as set out in Part 4.1 of Companion Policy 33-109.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>9. Who do I contact if I have problems completing an NRD submission?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">If you are having difficulty completing an NRD submission, please notify your firm\u2019s authorized firm representative.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>10. How do I find out if a firm or individual is registered with the Manitoba Securities Commission?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">The National Registration Search contains the names of all registrants (individuals and firms) in Canada. Click&nbsp;<a href=\"https:\/\/www.securities-administrators.ca\/registration\/are-they-registered\/\">here<\/a>&nbsp;to search the National Registration Search.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>11. What are the responsibilities of the ultimate designated person?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">The responsibilities of the ultimate designated person are outlined under Part 5.1 of National Instrument 31-103.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>12. What are the responsibilities of the chief compliance officer?<\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">The responsibilities of the chief compliance officer are outlined under Part 5.2 of National Instrument 31-103.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">If you have any other questions, email\u00a0<a href=\"mailto:registrationmsc@gov.mb.ca\" target=\"_blank\" rel=\"noreferrer noopener\">registrationmsc@gov.mb.ca<\/a>.<\/p>","protected":false},"excerpt":{"rendered":"<p>Securities Registration FAQs 1. How do I obtain my NRD number? Every individual who applies for registration through the National [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":162,"menu_order":2,"comment_status":"closed","ping_status":"closed","template":"template-child-switcher.php","meta":{"_acf_changed":false,"_uag_custom_page_level_css":"","site-sidebar-layout":"default","site-content-layout":"","ast-site-content-layout":"default","site-content-style":"default","site-sidebar-style":"default","ast-global-header-display":"","ast-banner-title-visibility":"","ast-main-header-display":"","ast-hfb-above-header-display":"","ast-hfb-below-header-display":"","ast-hfb-mobile-header-display":"","site-post-title":"","ast-breadcrumbs-content":"","ast-featured-img":"","footer-sml-layout":"","ast-disable-related-posts":"","theme-transparent-header-meta":"","adv-header-id-meta":"","stick-header-meta":"","header-above-stick-meta":"","header-main-stick-meta":"","header-below-stick-meta":"","astra-migrate-meta-layouts":"default","ast-page-background-enabled":"default","ast-page-background-meta":{"desktop":{"background-color":"var(--ast-global-color-5)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""},"tablet":{"background-color":"","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""},"mobile":{"background-color":"","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""}},"ast-content-background-meta":{"desktop":{"background-color":"var(--ast-global-color-4)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""},"tablet":{"background-color":"var(--ast-global-color-4)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""},"mobile":{"background-color":"var(--ast-global-color-4)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""}},"footnotes":""},"class_list":["post-185","page","type-page","status-publish","hentry"],"acf":[],"_hostinger_reach_plugin_has_subscription_block":false,"_hostinger_reach_plugin_is_elementor":false,"uagb_featured_image_src":{"full":false,"thumbnail":false,"medium":false,"medium_large":false,"large":false,"1536x1536":false,"2048x2048":false,"trp-custom-language-flag":false},"uagb_author_info":{"display_name":"Manitoba Financial Services Agency","author_link":"https:\/\/hykaz.net\/fr\/author\/manitoba-financial-services-agency\/"},"uagb_comment_info":0,"uagb_excerpt":"Securities Registration FAQs 1. How do I obtain my NRD number? Every individual who applies for registration through the National [&hellip;]","_links":{"self":[{"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages\/185","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/comments?post=185"}],"version-history":[{"count":6,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages\/185\/revisions"}],"predecessor-version":[{"id":4732,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages\/185\/revisions\/4732"}],"up":[{"embeddable":true,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages\/162"}],"wp:attachment":[{"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/media?parent=185"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}