Quick Referenc d in the Data Transfer

Quick Reference Sheet – Dat

Refer to this sheet(See Multilateral Instrument 33

Transition Firm:every dealer, adviser and unde� was a registered firm on Feb� was not a registered firm on

2003.A transition firm must have enrthat the firm applied for registra

Data Transfer individuals:Individuals who were recorded transition firm on the NRD acceNRD firm filer receives notice th

Data Transfer Submission or(DT Submission):This is the NRD submission thaindividuals. This submission cathe last submission type on thethe link:

IMPORTANT: Do not create antransfer individuals. This will remay have ONLY ONE NRD nu

Schedule for completing the Submission forIndividuals Included in the Data Transfer

Whether or not triggering events occur, firms arerequired to complete the DT submissions for alltheir individuals according to the followingschedule:

Due Date Completed DTSubmissions (%)

end of April 2004 5end of May 2004 10end of June 2004 15end of July 2004 20

end of August 2004 25end of September 2004 30

end of October 2004 35end of November 2004 40end of December 2004 45

end of March 2005 50end of April 2005 55end of May 2005 60end of June 2005 65end of July 2005 70

end of August 2005 75end of September 2005 80

plications will "trigger" a requirement to make a

a notice to update an individual's registrationbmission for the individual is completed. (Only a

on Change, or a Transfer of Registration will beis completed.)

a change to the Form 4 information for a particularer, using Form 33-109F5 Notice of Change. This

notify them of the change within 5 business days of Registration Information, sections 8.5 and 8.7.)

F5 is that it tells us the specific change that haswould have to compare each bit of information on thedual to determine whether the filing was being madeify what the change was.)

m 33-109F5, the firm must make the Submission forission. This submission (which is an electronic Formormation would be reported in the following sections

e Sheet – Completing the Submission for Individuals include

if your firm is a transition firm:-102, sec 7)

rwriter thatruary 3, 2003, or

February 3, 2003 and applied for registration before March 31,

olled to use NRD by the later of February 7, 2003, and the datetion.

on NRD as registered or non-registered individuals of ass date. (NRD access date: for an NRD firm filer, the date theat it has access to NRD to make NRD submissions)

Submission for Individuals included in the Data Transfer

t you must complete for each of your firm’s transitionn be accessed under Individual Submission, Initial. This is Intial Screen, so you may have to scroll down the screen to see

INITIAL REGISTRATION submission for your firm’s datasult in a duplicate record on the system. Any and all individualsmber on the system.

Triggering eventsThe occurrence of certain notices and apData Transfer submission.

Notice to Change Form 4 Information:The NRD system will not permit an AFR to fileinformation on NRD until the Data Transfer suNotice of Termination, an Employment Locatipermitted before a Data Transfer submission

The first time you need to notify regulators of data transfer individual, you must do so in papform must be sent to all relevant regulators tothe event. (See Multilateral Instrument 33-109

(The reason we require a paper Form 33-109occurred. Without this paper filing, regulators NRD filing with our paper records of the indivito report a change to information and to ident

Within 15 business days of submitting the ForIndividuals Included in Data Transfer subm33-109F4) is only required if the change in inf

a Transfer, June 2004 Page 1 of 3

end of October 2005 85end of November 2005 90end of December 2005 95

end of March 2006 ALL

(refer to Multilateral Instrument 31-102, sec. 7.5)The Progress Report on Submissions for Individuals Included inthe Data Transfer (see page 3) is a useful tool for tracking yourwork.

Location of employment for individualsWhen NRD launched, all individuals sponsored by yourfirm were loaded onto the system with the firm's headoffice as their location of employment. Move individualsinto their correct branches, if applicable.

To move individuals into the correct location, make an"Employment Location Change" submission to NRD.There is no NRD user fee associated with this type ofsubmission, and no regulatory fee in any jurisdictionexcept the Yukon. Therefore, in most cases, you will notneed to apply for a refund. This submission does nottrigger a requirement to complete a Data Transfersubmission.

of the submission:

Item 1 Name; Item 15 Civil Disclosure; or

Item 14 Criminal Disclosure; Item 16 Financial Disclosure.

This submission must be current and include the updated information. (See Multilateral Instrument31-102 National Registration Database, sections 7.7 and 7.8.)

Once the Data Transfer submission for an individual is made and the individual's registrationinformation is recorded on Form 33-109F4, any further changes to the individual's registrationinformation must be reported electronically through NRD only. (See Multilateral Instrument 33-109Registration Information, sections 4.1 and 5.1.) In the Filer Manual, refer to Chapter 7 – MakingNRD Submissions, and to the Submission Illustrations for full instructions.

Transfers:By using the Transfer of Registration submission, NRD allows individuals to apply to transfer their registrationprior to completing a Data Transfer submission. However, in order to receive a completed Form 33-109F4 fromthe transfer applicant, regulators require that the applicant must complete a Data Transfer submission within 15business days of the regulator’s approval of the transfer application.

Other Submissions:NRD requires that the Data Transfer submission must be made before the following submissions: Registrationin an additional jurisdiction and Registration with an additional sponsoring firm.

Quick Reference Sheet – Completing the Submission for Individuals included in the Data Transfer

es the individual record. Confirm with the submission. If you havempt a new retrieval.

individual record, click Continue.hich is very similar to an Initial pre-entered, and some of that data

onverted incorrectly, re-enter the to the legal name, use the text boxon”. Do not use this page to

Some fields show default values that you must update in this submission. Forexample, on the Personal Information screen, every field besides the date of birthcontains a default value. Replace these values with the true place of birthinformation, gender, eye and hair colour, height and weight.

The individual’s categories have been converted. Verify that the jurisdictions andthe registration and IDA approval categories (if applicable) in each jurisdiction are

The steps to follow for this submission are very similar to the Initial RegistrationSubmission. Refer to the Filer Manual (v1.3), Submission Illustrations – InitialRegistration for more details. Be advised that this is not an update submission –you must disclose all information that has been previously filed pertaining to anindividual.

After you select Submission for Individuals included in the Data Transferfrom the list of Individual Initial submissions, the system asks, “Who will becompleting the individual application?” Select either “Individual Applicant”or “Authorized Firm Representative” from the list displayed. If you select“Individual Applicant” the system will guide through the steps to generate aUser ID and password for the individual who will be completing their ownregistration. See the Filer Manual (v1.3), Submission Illustrations – How toSet up an Individual to complete an Initial submission.

The system validates your information and retrievthat this is the correct individual before proceedingretrieved the wrong individual, click Cancel to atte

When you are sure you have retrieved the correctThe system guides you through the submission, wRegistration submission, except that some data isis non-editable (jurisdictions and categories).

TIP: Item 1 – Name – if the legal name has been ccorrect name here. If you are making a correctionto explain the reason as “data conversion correcti

Submission Illustration: Submission forIndividuals Included in the Data Transfer

Quick Reference Sheet – Data Transfer, June 2004 Page 2 of 3

Retrieve the record of the individual by entering their NRD number, Last and Firstname, and the date of birth. All these elements are required to retrieve therecord. Do not enter a Second or Third name.

TIP: The date of birth must match the permanent record. If you are unable toretrieve the record, there might be a date of birth error on the permanent record.You can verify the permanent record by performing an Individidual Search for theperson in question.

disclose PREVIOUS name changes.correct. If these are not correct, submit a Registration with an additionaljurisdiction and Change or surrender of individual categories, and thennotify the regulator that the correction has been made.

e Data Transfer

IMPORTANT:� Do not create an INITIAL REGISTRATION submission

for your firm’s data transfer individuals. This will resultin a duplicate record on the system. Any and allindividuals may have ONLY ONE NRD number on thesystem.

The creation of a duplicate individual on NRD wouldpose many difficulties, so please be diligent in verifyingrecords before proceeding with any submission onNRD.

� The system will warn you if you have created anindividual on the system with the same birth date andname as an existing individual. If you receive thismessage, you should investigate the matter andcontact your regulator if need be.

� You can assign the Data Transfer Submission to theindividual. See the Filer Manual, SubmissionIllustrations - How to Set up an Individual tocomplete an Initial submission for full instructions onthis process.

� In completing the DT Submission, you mustdisclose ALL the information pertaining to anindividual. This submission is not merely to

ividuals - REPORTS

ess Report on Submissionsport to keep track of the status ofin your firm.

of 3 criteria :)

pleted)

entage the three statuses. This isleting the Data TransferTERAL INSTRUMENT 31-102,

Quick Reference Sheet – Completing the Submission for Individuals included in thEmployment Location defaults to the Head Office. If the individual works from adifferent location, click Cancel on the Employment Location screen to execute a searchfor the correct location of employment. The Filer Manual (v1.3) illustrates the selectionof an employment location in the submission illustrations – Initial Registration.

All elements of the Data Transfer must be verified for completeness and accuracy. Inthe instance where information does not exist, be sure to complete all fields with thepreviously disclosed data. Where fields are filled with default data, be sure to replaceall defaults with the correct information. In the instance of an error in registrationcategories, use the Change or surrender of individual categories to ensure that theindividual’s information on the permanent record is correct. If name and date of birthare incorrect, overwrite existing data with correct information.

If regulators deem some information incomplete, they will ask you to file a notice tofulfill their disclosure requirements.

For details on the Complete Submission process, see the Filer Manual (v1.3),Submission Illustrations, Initial Registration. This section provides the screen flowas well as complete instructions.

After you complete the certification screen and click Send to Regulators, you will seethat the submission does not appear in your Sent to Regulators list, as would othersubmission types:

Keeping Track of your Data Transfer ind

NRD features a Report (under Admin Tools) called Progrfor Individuals included in the Data Transfer. Use this rethe Data transfer submissions for the converted individuals

You can generate the report according to any combination � Employment Location (Branch, Sub-Branch, Head Office� Jurisdiction� Submission Status (Not Started, Work in Progress, Com

The report also provides a breakdown by number and perca quick way to check that your firm is on schedule for compsubmissions, according to the schedule laid out in MULTILAsection 7.5. See page 1 of this handout for the schedule.

Quick Reference Sheet – Data Transfer, June 2004 Page 3 of 3

update the permanent record but serves toestablish the permanent record on NRD.To view the submission, perform an Individual Submission Search. Submission

History shows that no fee has been charged, and that the submission is approved:

For instructions on generating this report, see the Filer Manual (v1.3), Chapter 8 – AdministrativeTools, Section G. Reports.

Need more details?� Refer to our Info site at www.nrd-info.ca.

The site is updated regularly with tips andtools for using NRD.

� Refer to the Filer Manual (available atwww.nrd-info.ca).