Welcome to IIROC

The Investment Industry Regulatory Organization of Canada is the pan‑Canadian self‑regulatory organization that oversees all investment dealers and trading activity on Canada’s debt and equity marketplaces.

IIROC is committed to protecting investors, protecting market integrity, and building Canadians’ trust in financial regulation and the people managing their investments.

New to IIROC?
Learn about how we protect investors and support healthy Canadian capital markets.

Several years ago, IIROC started a project to rewrite, reformat, rationalize, and reorganize its Dealer Member Rules in plain language. IIROC’s Member Regulation Policy team will host six webcasts and provide an overview of each of the IIROC Rules Series. 

View IIROC’s full list of CE accredited webcasts

IIROC Highlights

IIROC applauds government of Newfoundland and Labrador for enforcement powers

IIROC welcomes the Government of Newfoundland and Labrador's passage of Bill 16, An Act to Amend the Securities Act, that strengthens investor protection, and safeguards seniors and vulnerable retail investors.

IIROC-IIAC to Host an Innovation Forum

IIROC and the IIAC will host a live virtual conference on Thursday, December 9, from 12:45 pm to 4:00 pm (ET) to discuss innovation in the Canadian investment industry. Andrew J. Kriegler, IIROC’s President and CEO will deliver the opening remarks.

IIROC Rules, Form 1 and Guidance

The IIROC Rules, Form 1 and related guidance will be effective on December 31, 2021.