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Dealer Member Regulatory Resources



Dealer Member Rules (current until December 30, 2021) IIROC Rules (effective December 31, 2021) IIROC Notices
2020
20-0088 - Rules Notice – Securities listed on Canada and U.S. exchanges eligible for margin (April 28, 2020) 20-0086 - Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds (April 27, 2020) 20-0079 - Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Revised Implementation Date of the IIROC Dealer Member Plain Language Rule Book and Update on the Client Focused Reforms (April 16, 2020) 20-0033 - Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Housekeeping changes to Form 2 (February 13, 2020) 20-0007 - Rules Notice – GNotice of Approval/Implementation – IIROC Rules – Guidance Review Project – Group 1 (January 13, 2020) 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