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Dealer Member Regulatory Resources




Dealer Member Rules (current until December 30, 2021) IIROC Rules (effective December 31, 2021) IIROC Notices
2021
21-0079 – Rules Notice – Guidance Note – Exemption Procedure for Bulk Account Movements (April 22, 2021)21-0078 – Rules Notice – Notice of Approval / Implementation – Amendments to Dealer Member Rules and IIROC Rules regarding Exemptions for Bulk Account Movements (April 22, 2021) 21-0059 – Rules Notice – Notice of Withdrawal – Dealer Member Rules [IIROC Rules] and UMIR – Withdrawal of proposed amendments to adopt the Minor Contravention Program (April 8, 2021) 21-0058 – Enforcement Notice – Dealer Member Rules [IIROC Rules] and UMIR – Staff Policy Statement – Early Resolution Offers (April 8, 2021) 21-0032 – Rules Notice – Request for Comments - UMIR /Dealer Member Rules – Proposed margin requirements for structured products (February 25, 2021) 21-0028 – Rules Notice – Notice of Approval/Implementation - Dealer Member Rules – Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations (February 18, 2021) 21-0009 – Rules Notice – Notice of Withdrawal - UMIR and IIROC Rules – Proposed Amendments and Proposed Guidance Respecting Non-Clients (January 14, 2021)Rules Notice - Technical - List of Securities Eligible for Reduced Margin (LSERM) Rules Notice - Technical - Custodial/Bare Trustee Agreements 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