Dealer Member Rules (repealed December 312021)

Dealer Member Rules (repealed December 31, 2021)

The Dealer Member Rules form the base of IIROC’s requirements for Dealer Members, with additional requirements separately documented in IIROC’s Consolidated Enforcement, Examination and Approval Rules, and Continuing Education Rules.


On December 31, 2021, the IIROC Rules consolidated and replaced the Dealer Member Rules, the Consolidated Rules and the Continuing Education Rules. 

Notices and Bulletins


Consolidated Enforcement, Examination and Approval Rules (repealed December 31, 2021)

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

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

IIROC Consolidated Enforcement, Examination and Approval Rules (pdf)


Continuing Education Rules (repealed December 31, 2021)

The Continuing Education Rules are a set of rules relating to IIROC’s Continuing Education Program.

Rule 2650 – Continuing Education Requirements for Approved Persons (pdf)

For Supporting Resources, visit Continuing Education

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.