Dealer Member Rules (repealed December 312021)

Dealer Member Rules (repealed December 31, 2021)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Consolidated Enforcement, Examination and Approval Rules (repealed December 31, 2021)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Continuing Education Rules (repealed December 31, 2021)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

Welcome to CIRO.ca!

We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.