IIROC

Protecting Investors and Fostering Fair and Efficient Capital Markets across Canada.


Watch the 6-minute IIROC video which explains

"What We Do..."

SPEAKING EVENTS

June 20-21 – Toronto
2013 IFIE-IOSCO Global Investor Education Conference
Hosted by IIROC

 

Strategy Institute Conference: Registrant Regulation Summit
Access CEO April 10 keynote address 

 

 

Know your advisor

Investment Industry Regulatory Organization of Canada (IIROC)


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Access our rule books for dealer and marketplace regulation. Get information on registration, compliance, surveillance and continuing education.
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Learn the value of working with a registered advisor. Get help making a complaint and accessing options for resolving disputes. Use our investor tools and resources, including the IIROC AdvisorReport.
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IIROC Dealer Member Rules
  •Supporting Rule Resources
      »Lists
      »Agreements
      »Acceptable Institutions
  •Form 1 (Financial Report)
  •Form 2 (New Client Application Form)
UMIR Marketplace Rules
  •Supporting Rule Resources
      »Circuit Breaker Levels
      »List of Highly Liquid Stocks
      »List of Exempt ETFs
      »List of Designated Indexes
  •Transitional and Consolidated Rule