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Dealer Member Regulatory Resources



Dealer Member Rules (current until May 31, 2020) IIROC Rules (effective June 1, 2020) IIROC Notices
2020

Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
2019
     19-0222 - Rules Notice – Guidance Note – CE Rules – Guidance on IIROC’s Continuing Education Program (December 19, 2019)     19-0221 - Rules Notice – Technical – Continuing Education Rules – Late Filing Fee for Continuing Education Reporting (December 19, 2019)     19-0220 - Rules Notice – Notice of Approval/Implementation – CE Rules – Continuing Education Rule Amendments (December 19, 2019)     19-0219 - Rules Notice – Notice of Withdrawal – Dealer Member Rules – Withdrawal of amendments to Dealer Member Rules and Form 1 relating to the futures market segregation and portability customer-protection regime (December 19, 2019)     19-0217 - Rules Notice – Guidance Note – Dealer Member Rules – Helping IIROC Dealer Members with Compliance – Role of Guidance (December 17, 2019)     19-0216 - Rules Notice – Guidance Note – Dealer Member Rules – Electronic client complaint record retention (December 17, 2019)     19-0213 - Rules Notice – Guidance Note – Dealer Member Rules – Cash Segregated in Trust for Clients with an Acceptable Institution (December 12, 2019)     19-0212 - Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Amendments to IIROC Dealer Member Rule 1200.3 and Notes to Statement D of Form 1 regarding free credit cash segregated in trust for clients (December 12, 2019)      19-0201 - Rules Notice – Notice of Implementation – Dealer Member Rules – Anti-Money Laundering Compliance Guidance (November 25, 2019)      19-0200 - Rules Notice – Request for Comments – IIROC Rules – Proposed Derivatives Rule Modernization, Stage 1 (November 21, 2019)     19-0195 - Guidance Note – Notice of Approval/Implementation – Dealer Member Rules [IIROC Rules] – Frequently Asked Questions –Mandatory Cybersecurity Incident Reporting (November 14, 2019)     19-0194 - Rules Notice – Notice of Approval/Implementation – Dealer Member Rules [IIROC Rules] – Amendments Respecting Mandatory Reporting of Cybersecurity Incidents (November 14, 2019)     19-0181 – Rules Notice – Notice and Request for Comments – Dealer Member Rules – Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC (October 17, 2019)     19-0180 – Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Housekeeping amendments to Form 1 for use in, and consistency, with the Plain Language Dealer Member Rules Rule Book (October 17, 2019)     19-0179 – Rules Notice – Notice of Approval / Implementation – Dealer Member Rules – Amendments Respecting Client Identifiers for Reportable Debt Transactions (October 17, 2019)     19-0177 – Rules Notice – Guidance Note – Dealer Member Rules – Limitation of Liability Clauses (October 10, 2019)     19-0160 – Rules Notice – Technical Notice – UMIR and Dealer Member Rules – Information on the Implementation of Client Identifier Amendments (September 6, 2019)     19-0158 – Rules Notice – Request for Comments – UMIR and the IIROC Rules – Proposed Guidance Respecting Non-Clients (September 5, 2019)     19-0157 – Rules Notice – Request for Comments – UMIR and the IIROC Rules – Proposed Amendments Respecting Non-Clients (September 5, 2019)     19-0155 – Rules Notice – Request for Comments – Dealer Member Rules – Proposed amendments to IIROC Dealer Member Rule 1200.3 and Notes to Statement D of Form 1 regarding free credit cash segregated in trust for clients (August 29, 2019)     19-0154 – Rules Notice – Request for Comments – Dealer Member Rules – Republication of Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations (August 29, 2019)     19-0153 – Rules Notice – Guidance Note – Dealer Member Rules – Order Execution Only Dealers and the use of automation in the account opening approval process (August 28, 2019)     19-0147 – Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Investment in a Dealer Member – Changes to Forms and Guidance (August 22, 2019)     19-0146 – Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Amendments to Form 1 for use in, and consistency, with the Plain Language Dealer Member Rules Rule Book (August 22, 2019)     19-0145 – Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Amendments to Client Identification and Verification Requirements (August 22, 2019)     19-0144 - Rules Notice - Notice of Approval/Implementation - IIROC Dealer Member Plain Language Rule Book Implementation (August 22, 2019)     19-0134 - Rules Notice - Notice of Approval / Implementation - Amendments Respecting Provision of Price Improvement by a Dark Order (August 8, 2019)     19-0133 - Rules Notice - Technical - Use of Identifiers and Notification Requirements Respecting Certain Order Execution Only Accounts (August 6, 2019)     19-0117 - Rules Notice - Request for Comments - Continuing Education Rules – proposed amendments (July 11, 2019)      19-0118 - Rules Notice - Request for Comments - Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions (July 11, 2019)      19-0109 - Rules Notice - Guidance Note - Fully-paid Securities Lending (June 17, 2019)      19-0101 - Rules Notice - Notice of Approval/Implementation - Amendments to Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers (June 6, 2019)      19-0093 - Rules Notice - Technical - Request for Participation on the Crypto-Asset Working Group (May 24, 2019)      19-0092 - Rules Notice - Guidance - Managing Conflicts of Interest arising from Soliciting Dealer Arrangements (May 23, 2019)      19-0089 - Rules Notice - Technical - Changes to the Implementation Date of Amendments to Transaction Reporting for Debt Securities (May 16, 2019)      19-0087 - Rules Notice - Technical - List of acceptable clearing corporations and acceptable securities locations (Depositories and Clearing Agencies) (May 14, 2019)      19-0076 - Rules Notice - Notice of Approval/Implementation - Minor Contravention Program and Early Resolution Offers (April 25, 2019)      19-0052 - Rules Notice - Notice of Approval/Implementation - Amendments to Transaction Reporting for Debt Securities (March 28, 2019)      19-0051 - Rules Notice - Guidance Note - E-Signatures (March 26, 2019)      19-0046 - Rules Notice - Guidance - Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms (March 14, 2019)      19-0045 - Rules Notice - Guidance - Joint CSA/IIROC Consultation Paper 23-406- Internalization within the Canadian Equity Market (March 12, 2019)      19-0036 - Rules Notice - Notice of Approval/Implementation - Housekeeping amendments to Form 1 to adopt IFRS reporting requirements for leases (March 5, 2019)      19-0035 - Rules Notice - Notice of Approval/Implementation - Housekeeping amendment to Schedule 7A of Form 1 (March 5, 2019)      19-0027 - Rules Notice - Request for Comments - Proposed amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 regarding agency tri-party arrangements (February 21, 2019)      19-0025 - Rules Notice - Exemption - Exemption from section A.1(c) of IIROC Dealer Member Rule 3200 (February 19, 2019)      19-0008 - Rules Notice - Guidance Note - IIROC Compliance Priorities (January 15, 2019) Rules Notice - Technical - List of Securities Eligible for Reduced Margin (LSERM) Rules Notice - Technical - Custodial/Bare Trustee Agreements Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
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Bulletins Member Regulation Notices