Department of Community Services

Office of the Superintendent of Securities

Registration of Individuals

reg_indiv

Yukon Archives, Claude and Mary Tidd fonds #7189

Form 33-109F4 is to be complete and submitted by the firm electronically on NRD for all individuals seeking registration in Dealing or Advising categories, or in their capacity as officers, Directors, Chief Compliance Officer (CCO) and Ultimate Designated Person (UDP), and for its shareholders, who (directly or indirectly) hold more than 10% of the voting shares of the firm. All applicable fees will be calculated and decuted electronically on NRD. In order to be registered the individual has to comply with the Securities Act, NI 31-103, NI 33-109.

NRD user guide regarding how to submit applications and notice on NRD go to:
http://www.nrd-info.ca/nrdmanual/man_index.jsp?lang=en

Submissions are checked daily at Yukon Securities Office. After submission, criminal record check of the indivdual applying for registration as a Dealer or Advisor will be done and the results published on NRD.