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Comarm has a team of experts who can assist clients with their ongoing firm and individual registration requirements, as required by National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information and SRO Rules.

Our Registrations services include:

  • Filing amendments to the firm’s Form 33-109F6 Firm Registration
  • Conducting a “fit and proper” test on registration applications
  • Preparing and filing of all types of individual and firm registration applications
  • Assessing registration exemption requests
  • Filing firm and individual annual registration renewals
  • Acting as Chief Authorized Firm Representative (AFR) and managing the firm’s NRD database

Comarm can also assist Canadian firms who are registered in the US with FINRA or the SEC. We have an in-house expert on the US registration system (“CRD”), and we can act as your CRD Administrator to review and process filings.

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