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Rule Book



The IIROC Rule Book is made up of Dealer Member Rules; Universal Market Integrity Rules (UMIR); the Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) and the Transition Rule.

Additional supporting resources such as various forms, regulatory documents and agreements are also included in the links below.

Dealer Member Rules

The Dealer Member Rules (DMR) contain IIROC rules relating to dealer regulation.

Supporting Rule Resources

Regulatory Documents

Agreements

Acceptable Institutions

Form 1 (Financial Report)

Form 2 (New Client Application Form)


 

Universal Market Integrity Rules (UMIR)

The Universal Market Integrity Rules (UMIR) contain IIROC rules relating to marketplace regulation.

Supporting Rule Resources

Circuit Breaker Levels

List of SSCB Stocks

List of Highly Liquid Stocks

List of Exempt ETFs

List of Designated Indexes


 

IIROC Consolidated Enforcement, Examination, and Approval Rules (Consolidated Rules)

IIROC's Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) are a consolidated set of rules relating to:

  • standards of conduct;
  • enforcement investigation;
  • enforcement proceedings;
  • hearing committees;
  • rules of practice and procedure;
  • compliance examination approvals and regulatory supervision;
  • regulatory review proceedings; and
  • procedures for opportunity to be heard.
Supporting Rule Resources

Hearing Date Request

Motion Date Request

Notice of Pre Hearing Conference

Pre Hearing Conference Date Request

Pre Hearing Conference Form

 
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