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Equity Markets Report of Marketshare by Marketplace (Current) Download in ZIP format Report of Marketshare by Marketplace (Historical 2015–Present) Download in ZIP format Report of Marketshare by Marketplace (Historical 2007-2014) Download in ZIP format Download in PDF format Short Sale Trading Statistics Summary Debt Markets Bond and Money Market Secondary Trading Statistics Monthly Client Debt Margin Download in PDF format

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Who We Regulate

List of regulated dealer firms
List of Exchanges and ATSs Individuals (IIROC AdvisorReport)

Rule Book

IIROC Dealer Member Rules
  •Supporting Rule Resources
      »Regulatory Documents
      »Agreements
      »Acceptable Institutions
  • Form 1 (Financial Report)
  • Form 2 (New Client Application Form)
Universal Market Integrity Rules (UMIR)
  •Supporting Rule Resources
      » Circuit Breaker Levels
      »List of SSCB Stocks
      » List of Highly Liquid Stocks
      » List of Exempt ETFs
      » List of Designated Indexes
      »List of Protected and Unprotected Marketplaces April 2018-March 2019
      »List of Protected and Unprotected Marketplaces April 2017-March 2018
      »List of Protected and Unprotected Marketplaces July 2016–March 2017
Consolidated Rules
Continuing Education Rules
Transition Rule
  •Transition Rule (as at September 1, 2016)
  •Former Transition Rule

Notices

All Notices
Enforcement Notices
Rules Notices
  •UMIR Notices – All
      » UMIR Request for Comments
      » Archived RS Notices

  • Dealer Rules - All
      » Request for Comments
      » Proposed Policy
      » Archived IDA Notices & Bulletins
Membership Notices
Marketplace Notices
Education Notices
Administration Notices
Registration Review Hearings

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Halts & Resumptions

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IIROC Policy on Halts

Regulatory Reporting

DEA and Routing Arrangement Notice Form
OES Notice Form
Notice of Basis Order Form
IIROC Services
National Registration Database
SIRFF Filing Access
Short Sale Calculation and Reporting - User Guide

Inquiries & Complaints

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Public/Investor Complaints & Inquiries
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Surveillance Contacts
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IIROC AdvisorReport

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