Registration Record Requests for Individuals

Approved Persons associated with CIRO Dealer Members, or former Approved Persons, may request their own registration record. This may be done by submitting a Registration Record Request Form to Registration Staff using the following webform: Registration Record Request Form (PDF).

Individuals may also specify that the requested file be delivered directly to the Dealer Member as part of a CIRO Dealer Member’s recruitment process.

The registration record consists of the most recent record of the individual’s main application form on the National Registration Database, Form 33-109F4 Registration of Individual and Review of Permitted Individuals.

Please note that an individual seeking a copy of a Form 33-109F1 Notice of End of Individual Registration or Permitted Individual Status regarding the cessation of their registration status should request a copy of the form from their former sponsoring firm.

CIRO staff will make best efforts to provide a copy of a registration record within 5 business days of receipt of the request.

CIRO does not charge a fee for a registration record request.

Other requests for information

General

Individuals have a statutory right in certain Canadian jurisdictions to access their personal information held by CIRO, subject to certain exceptions. If an individual makes a direct request for disclosure of their personal information, CIRO will respond in accordance with the applicable legislation. Additional information may be reviewed here: Privacy.

Individuals should contact other regulators directly if the individual is registered with a Canadian Securities Administrators (CSA) securities regulatory authority. The CSA’s National Registration Search website can be used to confirm the individual’s registration status in CSA jurisdictions.

The Financial Industry Regulatory Authority (FINRA) BrokerCheck service may be utilized to obtain details regarding registration and licensing information on current and former FINRA registered individuals. This

Quebec residents

Requests for information under the Access Act

Individuals have the right to access their personal information and to request the correction of any inaccurate, incomplete, equivocal, or illegally collected, disclosed, or stored information in accordance with the Act respecting Access to documents held by public bodies and the Protection of personal information (CQLR, c. A-2.1) (Access Act).

The Autorité des marchés financiers (AMF) handles requests to access or correct personal information. Please visit the AMF website for more information: Information Access | AMF.

Please write to the Information Access Officer by mail or email if you would like to request access or correct your personal information:

Benoit Longtin, Assistant Corporate Secretary
Information Access Officer
C/O Gestion de l’information
Autorité des marchés financiers
800 Rue du Square-Victoria, Suite 2200
Montréal, Quebec H3C 0B4
[email protected]