CIRO Supervisor Practice Questions - CIRO Supervisor Exam

The Dealer Member must notify CIRO by updating the National Registration Database (NRD) within 15 days of the opening. The Dealer Member must obtain prior written approval from CIRO at least 30 days before any trading activity occurs at the new location. No notification is required for sub-branches as long as they are supervised by an existing registered Branch Manager. The Dealer Member must submit a physical application form to CIRO within 5 business days of opening, and the location cannot trade until a physical audit is completed.