FORM 31-102F2 ENROLMENT OF CHIEF AUTHORIZED FIRM REPRESENTATIVE TO: NRD Administrator 85 Richmond Street West, Toronto, Ontario M5H 2C9 AND TO: Each Firm Filer that appoints the undersigned as its Chief AFR using the User ID assigned in respect of this enrolment S T R I C T L Y C O N F I D E N T IA L Please select one box: First Enrolment as a chief AFR Request for a new user ID in connection with this enrolment as a chief AFR. Currently, you have one or more active user IDs as a chief AFR with one or more firm filers. Do not provide any of your current user IDs to the firm filer enrolling you via this Form 31-102F2. Note: If this form was already completed in respect of a previous enrolment by you as a chief AFR and you wish to use the user ID assigned in respect of that enrolment, do not complete this form. Provide a current user ID to the firm filer enrolling you. The firm filer must include this user ID in section 2 of Form 31-102F1 Enrolment Form – Firm Filer. General Instructions: A. This form may be downloaded from the NRD web site at www.nrd.ca. B. All sections must be completed. A manual signature is required by the chief AFR. C. This form must be accompanied by Form 31-102F1 completed by the firm filer when delivered to the NRD administrator. The names completed in section 1 of this form must match the names completed in section 2 of the Form 31-102F1. D. The personal identification number referenced in section 3 of this form is to be kept strictly confidential. For security reasons, the chief AFR may chose to return this completed form, together with Form 31-102F1, to the NRD administrator on behalf of the firm filer. E. Return this form by prepaid mail or personal delivery to the NRD administrator at the address above or, if this form is accompanied by an amended Form 31-102F1, it may be returned to the NRD administrator by fax to 1-800- , or, in both cases, to such other address or fax number as may be provided on the NRD web site. Page 1
Section 1 Chief AFR Information Last name: First name: Middle name: Direct phone number: Fax number: E-mail address: ( ) ( ) Extension if applicable: The chief AFR requests that the NRD administrator deliver to the chief AFR a confirmation of the set up of the firm filer below and/or a confirmation of the appointment of the chief AFR by that firm filer. Further, the chief AFR requests that the NRD administrator deliver to the chief AFR a confirmation for any other firm filer that has appointed the chief AFR as its chief AFR using the same user ID used in connection with this enrolment. The delivery of any confirmation to the chief AFR shall be by fax or e-mail, as selected below, using the fax number or e-mail address provided by the chief AFR in section 1, as may be amended in NRD. Select one only: fax e-mail If no selection is made or if both selections are made, delivery of the confirmation to the chief AFR shall be by fax. Section 2 Firm Filer Information Legal name of the firm filer that has Firm NRD number (if firm filer has previously appointed the chief AFR: enrolled and is changing the chief AFR or any chief AFR information): Section 3 Personal Identification Number Select four to six numbers as the unique confidential personal identification number (“PIN”) of the chief AFR. The PIN will be required to allow the chief AFR to access the NRD web site. The chief AFR will be asked to reset his or her password after accessing the NRD web site for the first time. It is the sole responsibility of the chief AFR to implement appropriate security precautions to ensure that the PIN selected below is kept strictly confidential. Page 2
Section 4 Acknowledgements of Chief AFR The chief AFR confirms that he or she has accepted the appointment by the firm filer as the firm filer’s chief AFR . If the undersigned has elected to use the same user ID assigned in connection with this enrolment for any other firm filer, the chief AFR confirms that he or she has accepted the appointment by any other firm filer as that firm filer’s chief AFR. The chief AFR acknowledges that the electronic payment of fees on behalf of the appointing firm filer(s) from each firm filer’s NRD account may be authorized by the chief AFR as chief AFR, or by any other AFRs appointed by or on behalf of such firm filer. Notice – Collection and Use of Personal Information The personal information that you provide on this form or otherwise through NRD to the NRD administrator will be used to facilitate your access to and use of NRD and will not be used for any other purpose. The NRD administrator will retain your completed Form 31-102F2 as evidence of your enrolment as a chief AFR. The information you provide on this form or otherwise through NRD will not be disclosed to any third party except for any of the Canadian securities regulatory authorities or their authorized representatives for purposes of the administration or enforcement of securities legislation in the applicable jurisdictions. For information about the use of the information collected on this form or to obtain access to the information you have submitted, contact the NRD administrator at the address or telephone number provided above. The chief AFR acknowledges that all access to and use of NRD shall be subject to the terms mentioned above. The chief AFR agrees to update the information submitted in section 1 of this form within 5 business days of the change. The chief AFR agrees that an executed copy of this form delivered to the NRD administrator by fax shall have the same effect as an originally executed copy delivered to the NRD administrator. Print name of chief AFR: Last name: First name: Second name: Third name: Signature of chief AFR: Date (dd/mm/yyyy) Page 3
You are being directed to the most recent version of the statute which may not be the version considered at the time of the judgment.